Intellectual Property Policy

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1 Intellectual Property Policy Purpose As a medical research organization, the Morgridge Institute for Research ( the Institute ) conducts scientific research in the public interest. The Institute has adopted this intellectual property policy ( Policy ) to help ensure that discoveries resulting from the Institute s research are made available for the benefit of the public and that intellectual property is protected appropriately to further the mission of the Institute. Policy 1. Scope and Definitions This Policy is intended to cover intellectual property realized through research conducted by the Institute. Such research may take place within the Institute s facility in the Wisconsin Institutes for Discovery or elsewhere in conjunction with the Institute. This Policy relates to both patentable and unpatentable material that may otherwise be protected through copyright, trademark, trade secret or other types of protection (e.g. biomaterial protection, technique and know how, etc). In this Policy, Affiliate or Morgridge Affiliate refers to an individual engaged in Institute research or programs and includes: full-time and part-time employees; students; individuals with joint appointments with the Institute and the University of Wisconsin - Madison or with another institution; and anyone that receives research support from the Institute. Subject Property means any invention, discovery, improvement or other tangible or intangible idea or creation, whether or not patentable, resulting from activities of a Morgridge Affiliate other than work that falls under the definition of Excepted Property as described in Section 4. The Institute has designated the Wisconsin Alumni Research Foundation ( WARF ) as its intellectual property management and technology transfer organization. Therefore, except as otherwise provided in this Policy, Subject Property is owned by WARF, and all patent, copyright, and other rights in Subject Property (together, IP Rights ) are hereby assigned to WARF. Updated May 2012 Page 1 of 7

2 2. Agreement to Comply With Policy Compliance with this Policy is a condition of engagement for all Morgridge Affiliates. Each Affiliate is required to sign a document memorializing his or her agreement to comply with this Policy prior to commencing an affiliation with the Institute. Any failure to sign shall not affect the applicability of this Policy or relieve an Affiliate from the obligations imposed by the Policy. 3. Disclosure and Reporting To assure the Institute's ability to comply with obligations arising under federal laws or in extramural sponsor agreements, and to facilitate the management of IP Rights associated with Subject Property, anyone participating in Institute research whether an Affiliate, consultant or subcontractor, is required as a condition of such participation to file disclosure reports for any Subject Property. The individual Affiliate is responsible for assuring that an invention disclosure report meeting WARF s requirements is submitted to WARF for any invention, discovery, improvement, or other tangible or intangible idea or creation, whether or not patentable or otherwise subject to intellectual property protection. WARF is responsible for determining the disposition of IP Rights in accordance with this Policy and for any required notification, whether to the federal government or to other extramural sponsors. 4. Exceptions and Rights Granted to Affiliates WARF will generally not assert rights in any invention, discovery, improvement or other tangible or intangible idea or creation, whether or not patentable, that an Affiliate develops if all of the following conditions apply ( Excepted Property ): The Excepted Property was developed entirely outside the Affiliate s relationship with the Institute; The Excepted Property was developed with no use of the Institute s facilities (including laboratory and office equipment, supplies, and library and other resources); The Excepted Property was developed with no use of Institute funds, federal funds or third party sponsorship; and Updated May 2012 Page 2 of 7

3 The Excepted Property is not significantly related to any work performed by the Affiliate for the Institute or to other Institute work with which the Affiliate is connected. In order for a particular invention, discovery, improvement or other tangible or intangible idea or creation to be deemed Excepted Property as defined in this section, an Affiliate must demonstrate to WARF s satisfaction that such invention, discovery, improvement or other tangible or intangible idea or creation meets all of the above criteria. Even if an Affiliate believes that a particular invention, discovery, improvement or other tangible or intangible idea or creation meets the above criteria, and therefore qualifies as Excepted Property, she or he must still disclose it as required in Section 2 above, in order to allow WARF to make that determination. 5. Scholarly Publications, Software and Other Materials Subject to Copyright Affiliates who author or contribute to a published scientific manuscript, journal article, student thesis, textbook, or other scholarly work own the copyright in that work unless otherwise provided in this Policy. This recognizes the independent scholarly work of Affiliates and is intended to accommodate the requirement of many publishers, including most scientific journals, that copyright be assigned by the author(s) to the publisher before publication can proceed. However, Affiliates have an affirmative obligation under this Policy to provide to WARF a copy of any manuscript, abstract or other written document prior to the manuscript, abstract or other written document being submitted for publication in any venue or medium. WARF owns all rights in any non-scholarly work of authorship created by Affiliates in the course of their employment, such as computer software, databases, user interfaces, user or other technical manuals or documentation, all of which are Subject Property under this Policy. WARF also owns all rights in works authored or co-authored by Affiliates that are prepared for WARF and/or the Institute s purposes, although these are not considered Subject Property for purposes of the disclosure and royalty-sharing provisions of this Policy. By way of example only, WARF would own all rights to any writings, photographs, videos, or sound recordings created or made by Affiliates that are prepared for possible inclusion in an internal resource, a print publication, or on Updated May 2012 Page 3 of 7

4 the Institute s website; however, these materials need not be disclosed under this Policy, and the Affiliates creating these materials have no rights to share in any royalties or other revenue received with respect to these materials. 6. Agreements That May Relate to Intellectual Property a. Materials Transfer, Research Collaboration, and Other Agreements The Institute routinely enters into agreements with other organizations, for example as a condition of receiving research materials or of using software or other proprietary technology, or in connection with research collaboration with the Institute. Affiliates shall abide by the terms of such agreements. All in-coming and all out-going material transfer agreements ( MTAs and each, individually, an MTA ) will be prepared and processed under the supervision of WARF or its designee at the Institute. It is the responsibility of the Affiliate to confirm that an MTA is in place before he/she receives material from an outside individual or entity. It is also the Affiliate s responsibility to confirm that an MTA is in place before transferring to any third party materials that are assigned to WARF, whether or not they are the subject of a pending or issued patent. b. United States Government Funding Federal law, specifically the Bayh-Dole Act, and regulations provide that the Institute, through WARF, has the right to retain title to any inventions conceived or made in whole or in part in conjunction with federally-funded grants and contracts. This includes, without limitation, patentable computer programs, as well as plants that are protectable under the Plant Variety Protection Act. The following is a summary of the most relevant provisions of the law. 1. The law gives universities and independent research institutes or their designated patent management organizations the right to retain ownership of inventions made in performance of all federal grants and contracts unless otherwise stated in the individual funding agreement. Both the Institute and UW Madison have designated WARF as their patent management organization for this purpose. 2. The Institute must have written agreements with persons performing the research, other than clerical and non-technical Affiliates, requiring prompt disclosure of inventions and, if requested by the Institute or WARF, Updated May 2012 Page 4 of 7

5 assignment of rights to any disclosed invention conceived or first actually reduced to practice in the performance of work funded in whole or in part by the federal government. The agreement developed by WARF for this purpose may be the Institute employment agreement or a separate consulting or contract agreement, as appropriate. 3. The Institute, through WARF, is required to disclose to the federal government any invention conceived or first actually reduced to practice in the performance of work funded totally or in part by the federal government. This disclosure must be made to the federal funding agency within two months after WARF receives the invention disclosure report from the Institute. 4. WARF, acting as the Institute's intellectual property management and technology transfer organization, must elect whether or not to retain title to the invention. If WARF declines to retain title to the invention, the rights to the invention pass to the federal funding agency that supported the research. 5. If WARF does retain title to an invention, the federal agency still retains a nonexclusive, nontransferable, irrevocable, paid-up world-wide license to practice or have practiced the invention for governmental purposes. The individual funding agreement may grant additional rights to the federal government. c. Sponsored Research Expectations vary regarding access to intellectual property generated as a part of a research program sponsored by third-party funding sources. Using funds from more than one source in support of a given research project, whether federal or non-federal, may create conflicting positions regarding access to rights among the various sponsors unless the use of the funds is carefully evaluated prior to the start of the work and continuously monitored throughout the course of the research. In any agreement with an extramural research sponsor, the Affiliate must consider the existing contractual obligations of the Institute or the Affiliate(s). This is especially important where the agreement under negotiation is for research that has the same or similar purpose as research conducted using personnel or resources that are funded, however minimally, by another sponsor. Obligations under existing federal or other extramural sponsorship agreements must be identified and reconciled with the agreement under negotiation. Updated May 2012 Page 5 of 7

6 When the same or similar research is supported with federal funds, however small the amount, a non-federal sponsor may receive rights to an invention only to the extent consistent with federal law. This may be accomplished through a license agreement obtained from WARF. For copyrightable works from research supported in part with federal funds, a non-federal sponsor may receive only such rights as are not reserved by the federal funding agency's regulations or the federal funding agreement. It is the responsibility of the Affiliate to evaluate and monitor funding arrangements to eliminate such conflicts and to allow WARF an opportunity to review and approve each funding arrangement prior to its acceptance. d. Data, Research Records, Laboratory Notebooks, and Other Products of Research Ownership of raw data and other immediate products of research, such as lab books and other research records, may not be transferred to a third party. Because the mission of the Institute is a charitable one to conduct scientific research in the public interest, the Institute and its faculty, staff, and students have an obligation to publish the results of the Institute s research. Allowing a sponsor to own the raw data of the research effectively forecloses the ability to publish. Therefore, it is the Institute s Policy that ownership of such materials may not be transferred to a third party. A sponsor may be granted access to the data or other research materials and, if appropriate, the sponsor may be authorized to use such material freely. However, raw data and laboratory notebooks generally fall within the confidentiality provisions of Section 8 below, and should not be disclosed, formally or informally, to any third party without complying with said confidentiality provisions. 7. Management of Subject Property WARF is responsible for the management and dissemination of Subject Property, including patentable inventions and inventions for which patent protection is not available or is not pursued but which are otherwise protectable (e.g., certain unique biological materials or computer code). Licensing of the Institute s Subject Property will be consistent with WARF policies on sharing of research tools and published materials. Updated May 2012 Page 6 of 7

7 Revenue derived from the commercialization and licensing of Subject Property will be shared with Affiliates per terms provided in the Memorandum Agreement executed between Affiliates and WARF upon acceptance of an invention disclosure by WARF. Affiliates shall provide to the Institute and WARF all cooperation that the Institute and/or WARF deem necessary or desirable to secure and enforce institutional IP Rights in Subject Property. This may include, without limitation, providing assistance to counsel in filing patent applications or other legal documents, providing testimony or otherwise participating in legal proceedings and in proceedings before the United States Patent and Trademark Office, and reviewing and signing legal documents. Such cooperation is a condition to receiving any royalties. Questions of interpretation concerning this Policy shall be submitted to WARF s General Counsel. 8. Confidentiality of Research Results and Operations Affiliates are expected to respect the confidentiality of unpublished research results, consistent with standard practice in the academic research community, and to adhere to WARF policies on the confidentiality of such information. These provisions specifically encompass raw data and laboratory notebooks as set forth above in Section 6, as well as all unpublished manuscripts, experimental results, and other information developed through participation in the Institute. Employee Signature Dated Morgridge Institute for Research By Its Updated May 2012 Page 7 of 7

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