9.04.2 Policy.
1. Summary of the Patent Policy. The University will assume ownership of patents on qualifying inventions made by its employees and appointees, except as stated in item 9.04.2.4. In a limited number of situations, the University, through its designee, will assume ownership of patents on qualifying inventions made by students and institutional visitors. Earnings from patents subject to this policy will be distributed according to the provisions of this policy.
2. Applicability of the Patent Policy. The policy applies to inventions meeting either of the criteria below. For convenience, inventions meeting either of these criteria will be designated as "qualifying inventions." In the criteria below, "employees" includes faculty members, staff members, parttime employees, and student employees.
a. Inventions made by University employees or postdoctoral appointees in the course of their employment or appointment, or in a field or discipline reasonably related to the inventor(s)' field(s) of employment or appointment.
b. Inventions enabled by significant use of University resources when made by University employees, postdoctoral appointees, students whose inventive contribution did not arise from employment by the University, or institutional visitors not employed by the University.
3. Disclosure required. Any individual who believes that he or she has made, or contributed to the making of, a qualifying invention must disclose the invention in writing to the Dean of Graduate and Extended Studies on the Invention Disclosure Form provided by the Office of Sponsored Programs and Title III. The originating faculty, other employee, or student is the inventor.
4. University rights in qualifying inventions. The University shall assume ownership of patents to qualifying inventions. In order for the University to assume ownership, inventors subject to this policy shall assign to the University their entire right in the invention and shall provide reasonable assistance to the University in obtaining patent protection and in licensing the patent rights to others. In the case of qualifying inventions arising from federal research support, this assertion of ownership rights follows from federal law. In other contexts, the University's right to require assignment from its employees or appointees will be understood as a condition of employment or appointment. Similarly, the limited right of the University to claim ownership of patents in inventions made by students will be understood as a condition of enrollment, whereas the limited right of the University to claim ownership of patents to inventions made by institutional visitors will be understood as a condition of their access to institutional resources. Institutional visitors must acknowledge in writing their awareness of this policy before making use of institutional resources.
If the University informs in writing the University inventor(s) that it does not wish to file a patent application in any territory based on a disclosure by the inventor(s), the inventor(s) may request from the University an opportunity to take on the prosecution of the patent application. The inventor(s) may request that the University waive its rights to the invention in the territory(ies) in which the University has elected not to file. The University will not unreasonably deny such a request. However, any waiver of rights will be subject to the interests of any third parties, including, but not limited to, sponsors of the research leading to the invention. In addition, any waiver of the institution's rights in the patent application will expressly allow the University to continue to use the invention for research purposes and will be limited to the scope of the invention as disclosed and as used as a basis for the University's determination not to file an application in the territory(ies). The University's waiver of institutional interest in an invention may result in personal ownership of the invention by University inventor(s) who wish to conduct further research on the invention within the institution. Such inventor(s) should be mindful that use of personally owned patents in an institutional setting may create a conflict of interest requiring disclosure and management under the institution's policies pertaining to conflict of interest.
5. Licensure of inventions assigned to the University. Consistent with the objectives of this policy and subject to the rights of any other parties, the University will seek diligently to license to others the right to use inventions under patents assigned to it.
6. Distribution of proceeds of licensure. The University shall receive all payments due under a license and shall distribute such earnings under the terms of this policy within 90 days from the end of the quarter in which the earnings were received. Prior to any distribution, the University shall recover any out-of-pocket expenses incurred in applying for the licensed patent(s), maintaining the licensed patents(s), or defending the licensed patent(s). Also prior to any distribution under this policy, the University shall make any payments to others required by agreements, including but not limited to inter-institutional agreements for the management of jointly owned patents. Gross University earnings, less its out-of-pocket expenses,
less payments required to others, are designated as "distributable income." Distributable income shall be allocated as follows:
a. The first $50,000 of distributable, cumulative income earned under a single license will go to the inventor(s).
b. After the first $50,000 is distributed to the inventor(s), any further distributable income will be allocated as follows unless income in any fiscal year triggers the conditions below:
(i) 40% of distributable income to inventor(s)
(ii) 40% of distributable income to the University
(iii) 20% of distributable income to the department from which the invention arose
When more than one University inventor is named on any licensed patent, the inventors will receive equal portions of the share of distributable income allocated to that patent unless there is a modifying written agreement signed by all inventors and approved by the University.
If an inventor is appointed in more than one department, the related departmental shares will be equivalent to the share each contributes to the inventor's salary. If the appointing departments are in different colleges, the related collegiate shares will be pro-rated on the same basis as the departmental shares. From time to time, it may be appropriate to allocate a portion of income otherwise granted to an academic department to an organized research unit. Any share granted to a "center," "institute," or other similar, formally acknowledged organized research unit will be determined by the Dean after consultation with the organization's director as well as relevant academic officers. In making any such determination, the Dean should consider the optimal means of advancing research at the University.
2. Applicability of the Patent Policy. The policy applies to inventions meeting either of the criteria below. For convenience, inventions meeting either of these criteria will be designated as "qualifying inventions." In the criteria below, "employees" includes faculty members, staff members, parttime employees, and student employees.
a. Inventions made by University employees or postdoctoral appointees in the course of their employment or appointment, or in a field or discipline reasonably related to the inventor(s)' field(s) of employment or appointment.
b. Inventions enabled by significant use of University resources when made by University employees, postdoctoral appointees, students whose inventive contribution did not arise from employment by the University, or institutional visitors not employed by the University.
3. Disclosure required. Any individual who believes that he or she has made, or contributed to the making of, a qualifying invention must disclose the invention in writing to the Dean of Graduate and Extended Studies on the Invention Disclosure Form provided by the Office of Sponsored Programs and Title III. The originating faculty, other employee, or student is the inventor.
4. University rights in qualifying inventions. The University shall assume ownership of patents to qualifying inventions. In order for the University to assume ownership, inventors subject to this policy shall assign to the University their entire right in the invention and shall provide reasonable assistance to the University in obtaining patent protection and in licensing the patent rights to others. In the case of qualifying inventions arising from federal research support, this assertion of ownership rights follows from federal law. In other contexts, the University's right to require assignment from its employees or appointees will be understood as a condition of employment or appointment. Similarly, the limited right of the University to claim ownership of patents in inventions made by students will be understood as a condition of enrollment, whereas the limited right of the University to claim ownership of patents to inventions made by institutional visitors will be understood as a condition of their access to institutional resources. Institutional visitors must acknowledge in writing their awareness of this policy before making use of institutional resources.
If the University informs in writing the University inventor(s) that it does not wish to file a patent application in any territory based on a disclosure by the inventor(s), the inventor(s) may request from the University an opportunity to take on the prosecution of the patent application. The inventor(s) may request that the University waive its rights to the invention in the territory(ies) in which the University has elected not to file. The University will not unreasonably deny such a request. However, any waiver of rights will be subject to the interests of any third parties, including, but not limited to, sponsors of the research leading to the invention. In addition, any waiver of the institution's rights in the patent application will expressly allow the University to continue to use the invention for research purposes and will be limited to the scope of the invention as disclosed and as used as a basis for the University's determination not to file an application in the territory(ies). The University's waiver of institutional interest in an invention may result in personal ownership of the invention by University inventor(s) who wish to conduct further research on the invention within the institution. Such inventor(s) should be mindful that use of personally owned patents in an institutional setting may create a conflict of interest requiring disclosure and management under the institution's policies pertaining to conflict of interest.
5. Licensure of inventions assigned to the University. Consistent with the objectives of this policy and subject to the rights of any other parties, the University will seek diligently to license to others the right to use inventions under patents assigned to it.
6. Distribution of proceeds of licensure. The University shall receive all payments due under a license and shall distribute such earnings under the terms of this policy within 90 days from the end of the quarter in which the earnings were received. Prior to any distribution, the University shall recover any out-of-pocket expenses incurred in applying for the licensed patent(s), maintaining the licensed patents(s), or defending the licensed patent(s). Also prior to any distribution under this policy, the University shall make any payments to others required by agreements, including but not limited to inter-institutional agreements for the management of jointly owned patents. Gross University earnings, less its out-of-pocket expenses,
less payments required to others, are designated as "distributable income." Distributable income shall be allocated as follows:
a. The first $50,000 of distributable, cumulative income earned under a single license will go to the inventor(s).
b. After the first $50,000 is distributed to the inventor(s), any further distributable income will be allocated as follows unless income in any fiscal year triggers the conditions below:
(i) 40% of distributable income to inventor(s)
(ii) 40% of distributable income to the University
(iii) 20% of distributable income to the department from which the invention arose
When more than one University inventor is named on any licensed patent, the inventors will receive equal portions of the share of distributable income allocated to that patent unless there is a modifying written agreement signed by all inventors and approved by the University.
If an inventor is appointed in more than one department, the related departmental shares will be equivalent to the share each contributes to the inventor's salary. If the appointing departments are in different colleges, the related collegiate shares will be pro-rated on the same basis as the departmental shares. From time to time, it may be appropriate to allocate a portion of income otherwise granted to an academic department to an organized research unit. Any share granted to a "center," "institute," or other similar, formally acknowledged organized research unit will be determined by the Dean after consultation with the organization's director as well as relevant academic officers. In making any such determination, the Dean should consider the optimal means of advancing research at the University.
Effective Date
Approved by Board of Curators: January 15, 2026