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General Description
Requirements
Policy Provisions
Performance Evaluation
Subject Experts
Intellectual Property Policy
Policy

Document Number: HR--106 Revision #: 1.0
Document Owner: Executive VP Date Last Updated: 08/17/2012
Primary Author: Legal Counsel Status: Approved
Date Originally Created: 11/21/2011

General Description
Description:

Intellectual Property policy and its delineation


Purpose:

The purpose of this policy is to promote the free search for truth and excellence by faculty, staff, students and visitors at the University while guarding the rights of authors of intellectual property and the rights and appropriate interests of the University in the use of its facilities and resources.

 


Scope:

All faculty, staff, students, and administrators


Responsibility: Executive VP
Legal Counsel
VP for Academic Affairs

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Requirements
Relevant Knowledge: In order to comply with this policy you should know:
State statutes
Standards of good practice
Standard company policies
Federal statutes
Current University policy

Terms and Definitions: Additional training

Corrective Action

Loss of privilege, general

Suspension

Suspension-student

Termination

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Policy Provisions
1.

Basic Principles and Purpose


Cumberland University (the “University”) subscribes to the Statement of Principles on Academic Freedom and Tenure jointly agreed upon by the American Association of University Professors and the Association of American Colleges (now the Association of American Colleges and Universities).  This Statement says that “Teachers are entitled to full freedom in research and in the publication of the results, subject to the adequate performance of their other academic duties; but research for pecuniary return should be based upon an understanding with the authorities of the institution.”  

 

The purpose of this policy is to promote the free search for truth and excellence by faculty, staff, students and visitors at the University while guarding the rights of authors of intellectual property and the rights and appropriate interests of the University in the use of its facilities and resources.

 


2.

Traditional Academic Work - Author Owns Intellectual Property

 


The AAUP Statement on Copyright (1999) states that “Prevailing academic practice is to treat the faculty member as the copyright owner of works that are created independently and at the faculty member’s own initiative for traditional academic purposes.”  The University historically has not, and does not now, assert any claim or ownership interest in the categories of traditional academic work, including, but not limited to: textbooks, class handouts and presentations, research articles, proposals or monographs, student theses or dissertations, paintings, drawings, sculpture, musical or dramatic compositions and performances, poetry, and popular fiction and nonfiction, whether in paper or electronic form.  

 

Staff members may also produce works that are covered under this policy, and enjoy ownership of the intellectual property so created.

 

Students enjoy academic freedom and the right to free inquiry and expression. Such inquiry and expression may result in the production of traditional academic works. Students enjoy ownership of the intellectual property so created. Students serving as interns may also be subject to the intellectual property policies of the outside agency to which they are assigned.  The recognition of students’ intellectual property rights shall not be interpreted to contradict any University policies regarding student publications.

 

Visitors to the campus enjoy academic freedom and the right to free inquiry and expression. Such inquiry and expression may result in the production of traditional academic works.  Visitors may enjoy intellectual property rights to such work, subject to the University’s policies regarding access to and use of its facilities.

 


3.

Course Materials for Online Usage


Online course materials are not treated as traditional academic work under this policy.

 

For purposes of this policy, the term “online course materials” does not include one or more course materials posted on education software to support and/or enhance a traditional class.  The term “online course materials”, for purposes of this policy, is defined by the medium on which such materials are placed and/or by courses conducted entirely online.  Courses conducted online are “online course materials” under this policy regardless of whether they are placed on a Cumberland Website, as defined below, or on educational software utilized by Cumberland University.  “Online course materials” are made accessible at www.cumberland.edu, or at any site(s) offered to students and/or the general public as an official website of Cumberland (said sites referred to hereafter as “Cumberland Websites”).  Under this policy, “online course materials” includes all information, tools, programs and/or materials created for use in a course of instruction, including, but not limited to: lecture notes, syllabi, course descriptions, power point slides, presentations, lectures, handouts, homework assignments, problem sets, quizzes, tests, exams, assessment rubrics, exercises, experiments, labs and any other original works, whether in paper or electronic form, used by an instructor to teach a class.  

 

This section of the policy regulates materials that are posted on Cumberland Websites.  The procedure set forth below is a balancing of the faculty members’, staff members’ and students’ rights as the author of works created independently, at their own initiative for traditional academic purposes and/or to pursue free inquiry and expression against the University’s right to control the manner in which its resources are utilized.  It is recognized that online course materials which are posted on a Cumberland Website requires exceptional University resources in the form of manpower, computer servers, memory, maintenance, etc.  For this reason, Cumberland has a vested interest in controlling the manner and amount in which its resources are utilized.  In general, the procedure set forth below does not assume that the University has ownership of online course materials..  

 

Faculty members, staff members and students of the University who post University course materials online grant the University a nonexclusive, perpetual, transferable, royalty free license in the online course materials to keep those materials on the University’s servers and use them for educational and/or administrative purposes.

 


4.

Work for Hire - University Owns Intellectual Property

 


Materials written, created, produced or otherwise generated “for hire” are defined as inventions, creations, manuscripts, course materials or other works or things of commercial value which are written, created, produced or otherwise generated by persons, including, but not limited to faculty and staff members, who are engaged by the University specifically to write, create, produce or otherwise generate such materials or to conduct the research or other activity which produced anything included in the material(s), or who are released from other University responsibilities in order to write, create, produce or otherwise generate materials at the initiative of the University.  Works for hire are the exclusive property of the University.

 


5.

Joint Works - University and Author Co-own Intellectual Property

 


Traditionally, “co-authorship” means that two or more faculty members, staff members, or students, often from different academic institutions, have collaborated on a creative work and are co-owners of the intellectual property.  This traditional understanding of co-authorship is to be treated as traditional academic work under this policy.

 

Under some conditions, the University may assert co-authorship and thus co-ownership of intellectual property.  Such conditions may exist if there is significant use of the University resources and/or if, due to an outside sponsorship, the faculty member, staff member or student contractually shares intellectual property rights with some entity not under the control of the University.

 


5.1

Significant Use


Use of office or classroom space, libraries, general computational facilities or equipment routinely used in the regular performance of academic duties, does not constitute significant use of University resources.  The use of specialized experimental or computational laboratory facilities or equipment or other special instrumentation is not considered significant use if it involves brief periods of time or limited use, e.g. for exploratory tests.  Significant use includes utilization of University laboratories or special instrumentation outside of the expected use deriving from regular teaching and professional activities; dedicated assistance by University employees; special financial assistance beyond sabbatical leaves, faculty development grants or monies obtained through other ordinary competitive processes; or extensive use of shared facilities.

 

If the University determines that the production of intellectual property is governed by this “significant use” policy, it may reasonably request reimbursement for any unusual financial or technical support, possibly in the form of compensation from future royalties.  The University should consider whether an assertion of co-ownership of the copyright or patent has a detrimental impact on the free inquiry of faculty, staff or students before making such assertion.  If any questions arise, they should be directed to the Vice President of Academic Affairs (who will work directly with University legal counsel), who will provide guidance on this topic.

 


5.2

Outside Co-Sponsorship


Materials written, created, produced or otherwise generated pursuant to or under the sponsorship of an outside foundation, agency or government and under the auspices of a University grant shall be subject to the copyright, patent and exploitation terms and conditions of said grant, contract or agreement.

 

Where said grant, contract or agreement obligates the faculty member, staff member or student to share or convey intellectual property rights to the outside sponsor or third party, the University shall be given the right to review the contract and assess whether it has an interest in asserting co-ownership of the rights.  This is especially the case when the ownership of intellectual property rights by an outside agency would remove the knowledge created from general distribution, such as in the creation of ‘trade secrets.’  Where no obligation to convey to the sponsor exists, all rights revert to the author, subject to the terms of this policy.

 

In the case of government contracts or grants, the government always retains the right to duplicate and use the works for government purposes pursuant to the contract terms.

 


6.

Notification Requirements


It is the obligation of the author of intellectual property to notify the Vice President of Academic Affairs (who will work directly with University legal counsel) in writing if Section V may be applicable.  When notification is made, the University will determine on a timely basis if the intellectual property produced is subject to Section V, and if so, whether the University wishes to assert a claim of co-ownership.

 

It is the obligation of the faculty member, staff member or student entering into contractual arrangements for the production of intellectual property that may be governed by Section V and that may assign rights to an outside sponsor or third party to notify the University and permit the University to review the contract and its terms.

 


7.

Reciprocity

 


For works governed by Section V, if the intellectual property right is retained by the author, the University shall enjoy nonexclusive, royalty-free license to the work for internal educational and administrative purposes.  Conversely, when the University holds all or part of the copyright, the author shall retain the right to take credit for creative contributions, to reproduce the work for his or her instructional purposes, and to incorporate the work in future scholarly works produced by said author.

 

For works governed by Section IV, the author shall retain the right to take credit for creative contributions, to reproduce the work for his or her instructional purposes, and to incorporate the work in future scholarly works produced by said author.

 


8.

Disputes and Appeals


8.1

Disputes


Disputes between the author(s) and the University over ownership of intellectual property rights or the application of policies governing intellectual property rights will be heard by an ad hoc committee convened for the purpose, made up of the following five persons:  (a) two persons named by the author(s); (b) two persons named by the University; and (c) one person named by the four members previously seated to serve as chair (or on the first occasion in which the committee convenes, as named by the chair of the Faculty Assembly).  Legal counsel shall not be allowed to attend any hearing, but may assist the parties outside of the hearing.  The decision of the ad hoc committee will take the form of findings of fact, conclusions, and a recommended resolution.  The findings of fact, conclusions, and recommendations must be based solely on the hearing record, pertinent University policies and procedures, and the law.  The committee’s recommended resolution shall be made to the Vice President of Academic Affairs, who shall make and issue a written decision to accept or reject the committee’s recommended resolutions on the disputed issue. If the Vice President of Academic Affairs issues a decision concurring with the committee’s recommended resolution, but he or she reaches that conclusion based on a different analysis than the committee, or if the Vice President of Academic Affairs rejects the committee’s recommended resolution, he or she shall include an explanation for the basis of his or her decision in the written decision.

 


8.2

Appeals


Either party may appeal the decision of the Vice President of Academic Affairs.  Initial appeals shall in writing and addressed to the Vice President of Academic Affairs as a “Request for Reconsideration” of his of her decision on the issue.  The Request for Reconsideration shall include the party’s reason(s) for requesting the reconsideration.  The Vice President of Academic Affairs shall render a written decision on the Request for Reconsideration.  Appeals may be made from the Vice President of Academic Affairs’ decision on the Request for Reconsideration to the President, who shall make and issue the final decision.

 


9.

Rights Sharing


For intellectual property for which the faculty member, staff member or student retains ownership rights, the author and the University may by mutual agreement enter into an arrangement under which the costs, ownership, and rewards of the property are shared by the author and the University.

 


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Performance Evaluation
Performance Metrics: Compliance with standard policy and procedure
Compliance with federal mandate

Consequences: Further training
Job Termination
Loss of privileges
Suspension
Suspension-student

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Subject Experts
The following may be consulted for additional information.
Executive VP

Legal Counsel

VP for Academic Affairs

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