Intellectual Property Procedures – April 13, 2010

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INTELLECTUAL

PROPERTY PROCEDURES

Procedure

Type:

Management

Initially

Approved:

April 13, 2010

Procedure

Sponsor:

Provost and VP,

Academic

Last

Revised:

April 13, 2010

Administrative

Responsibility:

AVP, Research,

Scholarship and

Community

Engagement

Review

Scheduled:

April 2025

Approver:

Executive Leadership Team

PROCEDURES

RESPONSIBILITIES

1.1

A cornerstone of Mount Royal’s definition of scholarly activity is that researchers

have an obligation to ensure that research and scholarship results are subject to

peer-review: typically through the process of publication or through public

dissemination.

1.2

This is particularly important in terms of contracted activities, where restrictions on

publication may contradict this basic tenet.

1.3

This responsibility for publication or public dissemination is shared by all material

Contributors to the work.

1.4

In reporting research results, all Creators of a publication must examine and accept

responsibility for its contents, and all members of a research team must ensure

that appropriate credit be given for the contributions of all Contributors. For

additional information, refer to the Integrity in Research and Scholarship policy.

1.5

If and when activities related to the commercialization of Intellectual Property

covered in the Policy on Intellectual Property being: Members have a responsibility

to inform Research Services of the activity. In the case of where Specialized

University Resources have been used, this disclosure will be necessary to

determine the appropriate revenue sharing agreement as detailed in the policy on

Commercialization of Intellectual Property.

RECOGNITION

2.1

Creators of a publication comprise all those individuals who have made a

significant intellectual or scholarly contribution to the work reported, and without

whose contribution the work would not be complete.

2.2

All Contributors to research projects and other scholarly works must receive

appropriate recognition for their contributions.

2.3

The order of listing of Contributors should follow existing traditions of the discipline.

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2.4

No decisions concerning the publication or licensing of a work may be made

without the agreement of all the Creators.

2.5

Depending on the nature of a contribution, appropriate recognition may take the

form of, but is not limited to, recognition as a Creator, or recognition through an

acknowledgement or citation.

2.6

An administrative relationship to the Contributors does not merit credit, nor is

financial support sufficient on its own to merit such credit.

ACKNOWLEDGEMENT OF MOUNT ROYAL UNIVERSITY

In reporting their work, Academic Members shall acknowledge Mount Royal University for

the support it provided. In the spirit of collegiality, Creators of Intellectual Property are

encouraged to recognize financial or other contributions of the University.

USE OF MOUNT ROYAL'S REGISTERED NAMES, LOGOS AND MARKS

4.1

The University has control over the use of its name and marks and has the right to

approve or disapprove of any use of its name, insignia or other University-owned

marks. This requirement is especially important in the context of non-University

sponsored Commercialization of Intellectual Property.

4.2

Under no circumstances may the University be presented, directly or indirectly, as

creating, endorsing or warranting a particular product. Accordingly, any use of the

University's name or any University-owned mark in connection with any product,

service, research project or work, apart from indication of the institutional affiliation

of the Creator(s) and acknowledgement of support, requires explicit written

permission from University Advancement.

4.3

For additional information on the use of the University's marks, please refer to the

Graphic Guidelines, which can be found on the University website.

THIRD-PARTY RIGHTS

5.1

Mount Royal Members are expected to respect third-party Intellectual Property

rights. This obligation precludes the unauthorized use, reproduction, modification,

translation or adaptation of software, photocopied textbooks, and the like, unless

permission has been obtained from the copyright holder.

5.2

For additional information, please refer to the Integrity in Research and

Scholarship policy and the Copyright Compliance policy.

COLLABORATIVE RESEARCH

6.1

The University encourages researchers to share information and to work in

collaboration with others, where this is likely to advance the state of teaching

excellence or of knowledge.

6.2

Collaboration agreements between Academic Members and researchers at

outside institutions, agencies, and companies must specify, in advance and in

writing, how the process by which the rights to Intellectual Property arising out of

the collaboration will be determined.

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6.3

The determination of rights shall be based on the extent and nature of the

contribution, and not on differences in power or rank.

6.4

The rights of students involved in research projects, particularly with respect to

recognition and the assignment of grades, must be protected.

6.5

Where University facilities and/or funds administered by Mount Royal are involved

the University must be a party to the agreement.

6.6

Any waiver or modification of rights requires informed consent.

PATENTS

7.1

The general principles regarding patent rights in inventions created by Mount

Royal Members are stated in Article D of the parent policy on Intellectual Property.

7.2

In addition to the provisions of Article D, the Creator(s) shall keep the University

informed about all patent filings in Canada and other countries through annual

activity reports or other appropriate means.

DATA AND DATABASE MANAGEMENT

8.1

This Policy is concerned with the ownership of, and the right to use, original data

collected or measured in the course of teaching, academic and research activities

involving Members. It is not concerned with data from external sources used in

research, other than to assert the obligation that publications or theses using such

data must recognize and fully document their sources.

8.2

Ownership of data assembled by Members in the course of their research shall

normally be held by the Creator(s), subject to Article D of the parent policy on

Intellectual Property.

8.3

Members have the obligation to protect and preserve, for a reasonable period

(defined by the norms of the discipline), and to make available to other scholars

and non-commercial users, the data on which their published work is based.

8.4

The University has the obligation to provide the resources to make such data

available. For more information see the MRU policy on Integrity in Research and

Scholarship.

8.5

Exceptions to these rules are allowed only when the research is subject to

confidentiality requirements due to contractual arrangements with a sponsoring

agency, to publication delays associated with patent applications, or to ethics

constraints on research involving human subjects or animals which are contained

in the University’s ethics policies.

8.6

In the case of contractual limitations, all collaborators must be made aware of,

and agree in advance to, such constraints.

CONTRACT RESEARCH

9.1

Externally-sponsored or contract research activities should involve a legal

agreement between Mount Royal and an external agency. As such, no Mount

Royal Member, other than those designated by the Board of Governors, may sign

such an agreement.

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9.2

Contract negotiation must involve consultation with the Office of the Associate

Vice-President Research, Scholarship and Community Engagement who may

refer the matter to legal or contract specialists. For more details see the University

policy on research agreements.

9.3

In externally-sponsored or contract research activities, ownership of Intellectual

Property may be determined in whole or in part by the regulations of the sponsor,

or by the terms of the contract.

9.4

Consistent with the University’s policies on research, Academic Members must

retain the right to publish their work within a reasonable period, and to use the

results of the research in subsequent projects, recognising the limitations that may

derive from proprietary data, and must adhere to the academic and professional

standards of their disciplines.

9.5

Academic Members must also not give up their rights to academic freedom,

including the right to independent critique of the subject of their inquiry.

9.6

All Academic Members participating in such research activities must be made

aware of any ownership stipulations of the contract by the principal investigator, or

by any other designated leader of the research project.

9.7

Academic Members entering into a relationship that will limit their enjoyment of

normal academic benefits of their research must enter into it with informed

consent.

9.8

In situations where companies or agencies that fund research retain ownership of

Intellectual Property generated by that research, some other academic benefit

must be derived. That is, the research must support the generation and

dissemination of knowledge in some other way (for example, by funding student

assistants or laboratories that directly support other research).

9.9

Whether any agreement for sponsored research will result in academic benefit to

the Member(s) and the University will be decided by the Associate Vice-President,

Research, Scholarship and Community Engagement in consultation with The

Research and Scholarship Advisory Committee, the Member(s) and the

appropriate Dean as part of the contract review.

9.10

It is the responsibility of Academic Members to ensure that the terms of their

consulting agreements with third parties, which must have the approval of the

appropriate University signing authority, do not conflict with their commitments to

the University.

9.11

Each Academic Member must make the nature of her/his obligations to the

University clear to any third party for whom she/he expects to consult.

10.

CONFIDENTIAL DISCLOSURE AGREEMENTS

10.1

A Confidential Disclosure Agreement [CDA], sometimes referred to as a secrecy,

confidentiality or non-disclosure agreement, is used when one party wishes to

disclose confidential information to a second party, but wishes the second party to

maintain the confidentiality of the information. Non-disclosure provisions can either

stand alone as a separate agreement or be incorporated into a broader agreement.

10.2

In the event that a corporate sponsor wishes Members to use confidential

information, or that Members wish to disclose confidential information, such as a

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patent application, to a third party, a CDA must be entered into to protect both

parties.

10.3

All CDAs must be submitted to the Office of Research Services for review. If the

terms of a CDA extend to other participants in a project or activity, it is the

responsibility of the principal investigator to inform all participants of their

obligations under the CDA and, if necessary, to develop CDAs for them.

11.

MATERIAL TRANSFER AGREEMENTS

11.1

Materials, for example biological materials, are often distributed by scientists to

their colleagues for a variety of purposes, such as duplication and confirmation of

experimental results or evaluation of the material for alternate uses. Such

Intellectual Property is an important factor in attracting research funding. For this

reason, the University will help Academic Members review Material Transfer

Agreements [MTAs] and other agreements that arise out of their interaction with

industry.

11.2

Because MTAs often contain restrictions on Intellectual Property and publication,

all MTAs must be submitted to the Office of Research Services for review. All such

agreements must be approved by the Associate Vice-President, Research,

Scholarship and Community Engagement who shall consult with the Risk

Management Office, and must be signed by the appropriate institutional authority.

11.3

In all cases, the University requires researchers to sign an MTA to ensure that

these materials are used only for scientific research and not for commercial

applications.

11.4

If the material is being transferred for commercial application, its use shall be

governed by a license agreement.

11.5

Academic Members must enter into an MTA prior to distributing or receiving any

such materials.

11.6

If the terms and conditions of the MTA are unacceptable to the University, the

Associate Vice-President, Research, Scholarship and Community Engagement in

consultation with the researcher, will attempt to negotiate other terms acceptable

to all parties.

12.

DISPUTE RESOLUTION

12.1

The University recognizes that disputes may arise between the University and

University Members with respect to Intellectual Property and the implementation

of these procedures.

12.2

With respect to provisions of these procedures also referenced in the Collective

Agreements, the dispute resolution mechanisms outlined there shall take

precedence.

12.3

In all other cases, where an agreement cannot be reached between the

University's Associate Vice-President, Research, Scholarship and Community

Engagement and the Creator, any party to the dispute may request that the matter

be referred to the Provost and Vice-President, Academic.

12.4

The decision of the Provost and Vice-President, Academic shall be final.

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13.

EXCEPTIONS AND PERMISSIONS

13.1

Where waivers, permissions or exceptions are referenced in this document, the

parties responsible for decisions are, for major policy exceptions - the Research

and Scholarship Advisory Committee (RSAC), acting on the authority of General

Faculties Council or, in the case of minor exceptions or negotiations – the

Associate Vice-President Research, Scholarship and Community Engagement.

14.

FURTHER INFORMATION

14.1

These procedures are not intended to provide a general explanation of the legal

principles and practical implications associated with intellectual property. For a

general explanation, please refer to Intellectual Property Guidelines available from

the Office of Research Services.

DEFINITIONS

In this procedures document the following terms, when capitalized, shall have the following

meanings:

(1)

Academic Members:

shall include full-time and part-time instructors teaching credit

courses, any other person teaching a credit course,

counsellors, educational developers, librarians, those

persons from time to time designated “Academic Members”

by the Board, and any other person teaching non-credit

courses. It shall also include teaching assistants, post-

doctoral fellows, research fellows, undergraduates and other

students.

(2)

Board/Board of

Governors:

means the Board of Governors of Mount Royal University

(3)

Commercialization:

shall mean activities undertaken in order to commercially

exploit Intellectual Property. Commercialization includes sale,

assignment or licensing of IP or manufacturing or production

of goods and/or Services using Intellectual Property as well

as protection of IP, with the goal of financial return

(4)

Contributor:

shall mean an individual or organization that contributes to a

work. Possible contributions include, but are not limited to

ideas, expression, form, design, computer software and

criticism.

(5)

Creator:

shall mean the person or persons who create Intellectual

Property

(6)

Intellectual Property or

IP:

shall mean any result of intellectual or artistic activity created

by a person, that can be owned by that person including but

not limited to: Works, data, inventions, ideas, patents, patent

applications, industrial designs, trade-marks, trade names,

domain names, integrated circuit topographies, plant

varieties, computer programs, circuits, biological material,

chemical or other compositions of matter, know-how,

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confidential information and trade secrets, which can be

registered or otherwise protected under the law.

(7)

Mount Royal Members

or Members:

shall include both Academic and Non-Academic Members

(8)

Non-Academic

Members:

shall include full-time and part-time administrative,

professional, support staff and other persons paid by or

through the University and anyone working under University

auspices

(9)

Policy:

means the Intellectual Property Policy

(10) Specialized University

Resources:

shall mean University Resources that would not normally be

utilized by the individual in the normal course of duties and

would require University funding either directly or indirectly.

Examples include, but are not limited to, MRU funded grants

for the project in excess of $10,000, scientific instrumentation,

specialized library resources or personnel, additional

teaching release for faculty, or the use of research labs.

External funding may be included, depending on the nature

of the contract, awards agreement, or funding agency policy.

Examples of resources that do not apply include the portion

of a standard faculty workload dedicated to research, use of

an office computer, or hiring research assistants using grant

funds. The determination of what constitutes Specialized

University Resources in a particular context shall be made, in

writing, at the outset of commercialization activities, and

signed by the Creator and the Dean/Director of the relevant

Faculty/Unit. Otherwise, the Dean/Director shall make the

determination. Such a determination is subject to the dispute

resolution process set out in the Intellectual Property

Procedures.

(11) University:

means Mount Royal University

(12) University Resources: shall include the use of University funds, University staff,

facilities, equipment, materials, technological information, or

proprietary know-how.

RELATED POLICIES

•

Commercialization of Intellectual Property Policy

•

Integrity in Research and Scholarship Policy

RELATED LEGISLATION

•

Copyright Act (Canada)

RELATED DOCUMENTS

Intellectual Property Procedures – April 13, 2010

Page 8 of 8

•

Collective Agreement between the Board of Governors of Mount Royal University and the

Mount Royal Faculty Association

•

Commercialization of Intellectual Property Procedures

•

Confidential Disclosure Agreement

•

Integrity in Research and Scholarship Procedures

•

Integrity in Research and Scholarship: Collection, Storage and Authenticity of Data

Procedures

•

Intellectual Property Guidelines (Office of Research Services)

•

Material Transfer Agreements

•

Mount Royal Copyright Contract

•

Mount Royal University Graphic Guidelines

REVISION HISTORY

Date

(mm/dd/yyyy)

Description of

Change

Sections

Person who

Entered Revision

(Position Title)

Person who

Authorized

Revision

(Position Title)

04/13/2010

NEW

06282021

Editorial

Title Update

University Secretary University Secretary