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Policy: XV.E.2 |
Issued: June 23, 1993 |
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Owner: Vice President for Research |
Latest Revision: July 1, 2011 |
The policy of the University of
Virginia is to consider and, where appropriate, assist in the patenting and
commercial development of discoveries or inventions which are the product of
University research.
2.0
Policy [Top]
Any person who may be engaged in
University research shall be required to execute a patent agreement with the
University in which the rights and obligations of both parties are defined.
See also Procedure 15-4,
"Completing Patent Policy Agreement."
This policy is intended to:
· Provide an incentive to creative intellectual effort and the
advancement of knowledge for the welfare of mankind;
· Ensure that the respective interests of the researcher (as
faculty or staff member or student), the University, any supporting sponsor,
and society are considered and protected through the development of fair
contracts and procedures;
· Assist the researcher and the University to realize tangible
benefits from inventions or discoveries; and
· Advance and encourage further research within the University
with whatever funds accrue to the University from inventions resulting from
University research.
2.2 Administrative Responsibilities
Vice President for Research: Responsibility for the administration of the University of
Virginia Patent Policy is assigned to the Vice President for Research.
The Vice President for Research
shall:
· Develop standards and procedures appropriate for the
implementation of this policy;
· Obtain, maintain, and insure compliance with signed patent
agreements between the University and each researcher, and between the
researcher and a sponsor agency as required by the terms of a grant or
contract;
· Judge whether an invention or discovery is the product of
University research;
· Advise the inventor whether an invention or discovery which
is the product of University research is patentable;
· Determine whether the University should claim equity in the
patenting of an invention or discovery which is the
product of University research, or whether all rights should be waived in favor
of the inventor. (In the latter case, the inventor should be informed in
writing by the Vice President for Research that the University relinquishes all
claims to the invention or discovery;
· Take appropriate steps on behalf of the University for
patenting and/or marketing of an invention or discovery in which the University
has an equity;
· Administer the royalties accruing to the University as a
result of the implementation of this policy;
· Establish guidelines for use of royalties accruing to the
University as a result of the implementation of this policy. Decisions
regarding the University's rights to an invention shall be made within a
reasonable time so that an inventor's options are not compromised
unnecessarily.
The Office of Sponsored Programs: In implementing the Patent Policy, the Office of Sponsored
Programs shall:
· Inform the Office of the Vice President for Research and
principal investigator of all requirements regarding patents in any grant or
contract accepted by the University of Virginia;
· With the aid of the principal investigator and in
conjunction with the Office of the Vice President for Research, provide all
invention reports and other pertinent information regarding patents as required
by the terms of a grant, contract, or agreement to which the University is a
party.
The Executive Vice President and
Provost: The Executive Vice President and
Provost shall:
· Approve the standards and procedures and any amendment
thereto developed by the Vice President for Research for the implementation of
the Patent Policy;
· Review the actions of the Vice President for Research which
are appealed by researchers and recommend appropriate action;
· Conduct an annual review of the patent program with the Vice
President for Research.
2.3 Invention
Revenue Distribution Formula
See: : http://www.virginia.edu/vpr/industry/docs/DistributionofInventionRevenues.doc
2.4
Inventions and Discoveries which are not the Result of
University Research
The University normally will
relinquish any claim to an invention or discovery which
is judged by the Vice President for Research not to be the product of
University research. However, in such cases the researcher may request that the
invention or discovery be appraised by and, if appropriate, assigned to the
University. In such cases, the terms of the agreement will be
determined by the inventor and the University.
Purpose
These Guidelines are intended to
contribute to the effective implementation of the "Patent Policy for the
University of Virginia," as approved by the Board of Visitors on April 6,
1973, and subsequently amended by defining relevant rights and obligations of
the inventor and the University, as represented primarily by the Vice President
for Research.
Responsibilities of the Inventor and
the University
Responsibility for timely and
responsible disclosure of potentially patentable inventions and discoveries
rests with the inventor. Disclosure forms are available in the Office of the
Vice President for Research . Guidance is available
from the Vice President for Research on responsible steps which should
be taken to protect the interests of the inventor and the University.
The Vice President for Research will
provide the inventor a timely response to the following:
· Is the invention or discovery the product of University
research as defined in the "Patent Policy for the University of
Virginia"? If the determination is negative, formal notification will be
given to the inventor of the absence of any vested interest of the University
in the invention or discovery. The notification will be initiated, prepared and
signed by the Vice President for Research.
· Will the University refer the invention to an outside
organization to determine the patentability and marketability of the invention?
· To which outside organization is the invention to be
referred?
An answer to these
questions will normally be expected within sixty (60) days after the submittal
of a fully executed disclosure to the Vice Provost for Research by the inventor.
The inventor will cooperate in the
patenting and licensing of the invention or discovery, whether requested by the
University, the licensee(s), or an agent or assignee of the University, e.g.,
the University of Virginia Patent Foundation or Research Corporation.
If, after the initial steps have
been taken, no further current action is judged desirable by
the Vice President for Research, the inventor may formally request the
right to pursue on his own the patenting of his invention or discovery.
2.6 Appeal of Actions by the Vice President for Research
Provision is made
for appeal to the Provost or his designee by the inventor of actions by the
Vice Provost for Research.
Grounds for appeal are alleged failure of the Vice President for Research to
fulfill the patent policy for the University of Virginia, follow these
implementing guidelines, or demonstrate due diligence to avoid compromise of
the inventor's equity in his invention or discovery. On the grounds that they
are without support in fact and are unreasonable, the inventor may also appeal
the decisions of the Vice President for Research in response to the questions
about the product of University research.
The inventor shall submit his appeal
to the Provost or his designee, who shall satisfy himself that the inventor has
made a reasonable effort to resolve his complaint with the Vice President for
Research and the substance of appeal is arguably proper. Proceedings shall be
informal but all parties shall have adequate notice and opportunity to be
heard. After hearing all relevant testimony the Provost or his designee shall
decide the merit of the inventor's grievance and advise the Vice President for
Research on appropriate subsequent action.
3.0
Definitions [Top]
Definition of University Research
and Researcher: For the purpose of this Patent policy and any documents
developed for its implementation, University research is defined as research
and related activities by any person, which are related in any way to duties or
responsibilities for which he/she has been compensated either by or through the
University; or for which facilities owned, operated, or controlled by the
University are used. Products of research eligible for copyright protection are
excluded from this definition. Modification of this definition of University
research may be effected by the terms of a contract between the University and
another public or private agency or, in exceptional circumstances, in the
patent agreement with an individual University researcher. A researcher is any
person who may be engaged in University research.
4.0
References [Top]
5.0
Approvals and Revisions [Top]
This policy should
be reviewed at lease once every five years by the University Research Policy
Advisory Committee.
Approved by the University Research
Policy Council on June 6, 1973, amended on March 5, 1974, May 28, 1976, October
7, 1978, and January 2, 1992.
Revised by the University Research
Advisory Committee on January 6, 1992.
Approved by the Rector and Visitors
of the University of Virginia on April 6, 1973; amended May 28, 1976; amended
October 7, 1978. http://xtf.lib.virginia.edu/xtf/view?docId=2006_01/uvaGenText/tei/bov_1978-10-07.xml;chunk.id=d35;toc.depth=1;toc.id=d35;brand=default
Previous version in effect from 6/23/93 to 5/31/00 available
in policy archive.
Maintained by
University Comptroller
© 2000 by the Rector and Visitors of the University of Virginia