Article 14: Technology Transfer, Patents And Copyright 14.1 General (a) Protection of intellectual property includes, but is not limited to, matters of patent, copyright, trade mark, and industrial design. (b) Inventors, authors and other creators (hereinafter referred to as originators) have sole ownership over their intellectual property except where the employer has contributed any assistance in the creation or development of the intellectual property, whether by way of funds, facilities and/or support or technical personnel employed by the employer beyond that which is normally provided to originators to carry out their usual duties. Originators so supported have a duty to disclose intellectual property developed to the employer. Unless specifically directed otherwise, each originator shall make such disclosure to the Provost and Vice-President (Academic). (c) Nothing contained in this Article derogates from an employee's right to assign ownership of intellectual property to the employer. (d) An employee who assigns or agrees to assign ownership of intellectual property to the employer shall execute all such documents as may be required in order to register or record such intellectual property and its assignment. 14.2 Innovation Transfer (a) Innovation Transfer represents the movements of concepts, processes and products generated and developed at Carleton University to external communities including industry, government and society at large. This transfer of technology is undertaken in a variety of ways including, but not limited to, publication of research results and concepts, consulting arrangements, conduct of seminars and conferences and various types of research arrangements. (b) The parties recognize that Carleton University supports innovation transfer in all its dimensions and the commercialization of the concepts, processes and products emerging from the research at the University. (c) Assistance for innovation transfer and commercialization is available through the Innovation Transfer Office of Carleton University. (d) Assistance for innovation transfer may take a variety of forms such as the following: technical evaluation, market evaluation, prototype development, industrial contacts and leads, business planning, new product planning, market research, financial planning, licensing arrangements, and protection of intellectual property. (e) Ownership Where the employer contributes any assistance beyond that normally provided as outlined in Article 14.1 (b) the originator(s) and the employer shall reach a mutually agreeable arrangement respecting ownership which shall be reduced to writing. (f) Exploitation (i) Exploitation of intellectual property through Innovation Transfer may be undertaken by the owner singly or in combination with another party. (ii) The parties exploiting the property shall reach a mutually agreeable arrangement including ownership and revenue sharing which shall be reduced to writing. (iii) In the event that the employee reaches an agreement to use the offices of the University or the Innovation Transfer Office of Carleton University, disputes shall be handled in accordance with Article 14.6. Individuals using the offices of external agencies should include a dispute resolution mechanism in their written agreements. (g) Article 14.2 shall not apply to intellectual property resulting from work financed by a grant or contract where the granting or contracting body, as a condition of the grant or contract, requires that any technology rights be assigned to it. 14.3 Patents (a) Patent assistance is available through the Innovation Transfer Office of Carleton University. (b) Ownership Where the employer contributes any assistance beyond that normally provided as outlined in Article 14.1 (b), the originator(s) and the employer shall each hold 50% of any right, title and interest to any invention, improvement, design or development made by the employee. (c) Exploitation (i) Exploitation of intellectual property may take the form of patenting by the originator singly or in combination with other agencies. (ii) The parties patenting the property shall reach a mutually agreeable arrangement including ownership and revenue sharing which shall be reduced to writing. (iii) In the event that the employee reaches an agreement to use the offices of the Innovation Transfer Office, disputes shall be handled in accordance with Article 14.6. Individuals using the offices of external agencies should include a dispute resolution mechanism in their written agreements. (d) Article 14.3 shall not apply to any invention, improvement, design or development resulting from work financed by a grant or contract where the granting or contracting body, as a condition of the grant or contract, requires that any patent rights be assigned to it. 14.4 Copyright (a) Non Sponsored Research and Sponsored Research under which the Employee Retains Copyright Notwithstanding the provisions of Article 14.1(b), the employee retains all rights related to literary work created by that employee which includes, but is not limited to, lectures (whether televised or not), copyright in computer program software, industrial design and artistic work (hereinafter called copyrighted property), except that where such work is covered by a signed agreement between the employer and the employee predating this Collective Agreement the prior agreement shall govern. (b) Employer Facilitated Research Where the employer has contributed any assistance in the creation or development of the intellectual property, whether by way of funds, facilities and/or support or technical personnel employed by the employer beyond that which is normally provided to originators to carry out their normal duties, the originator(s) and employer shall come to a written agreement on the sharing of royalties from the commercialization of copyrighted property. (c) Sponsored/Contracted Research with Copyright Ownership Provisions (i) Article 14.4(a) does not apply to any copyright resulting from work financed by a grant or contract where the granting or contracting body, as a condition of the grant or contract, requires that any copyrights be assigned to it. (ii) Any employee who is employed by the employer or an agent of the employer to edit a journal or magazine shall not own any copyright therein save and except for articles, reviews or literary pieces written by him/her. (iii) Where the employer specifically commissions the preparation of a particular work relating to the operations or functions of the University, the employer may enter into a contract with a member the terms of which give the employer sole or part ownership in the copyright of any such work. The employer shall provide the Association with a copy of any such contract one (1) week prior to its execution. (d) General Provisions (i) The employer shall retain a non-exclusive, royalty-free, irrevocable, indivisible and non- transferable right to the use, solely for the employer's internal use, of any audio-visual recorded instructional materials, including related printed materials which are prepared or developed by an employee in the course or his/her University employment and which are produced with the assistance of direct University funding or with the use of University production facilities free of charge or at rates substantially lower than those of the local commercial establishments provided the employee signs a written agreement to that effect. Audio-visual recorded materials shall include films, filmstrips, film loops, tape/slide programs, series of overhead transparencies, videotape or television programs, audiotapes, audio or video cassettes, together with any secondary print materials which form an integral part of the production. Where no agreement has been entered into and the employer wishes to use the material for internal use, then the matter shall be referred to the Innovation Transfer, Patents and Copyright Committee under Article 14.6. (ii) The employer shall retain a non-exclusive, royalty-free, irrevocable, indivisible and non- transferable right to the use, solely for the employer's internal use, of any computer program developed in the course of the normal administrative duties of the member or any program developed in relation to the storage and use of university data and records or any program developed for use in the degree programs of the University. (iii) No employee shall claim any copyright in any assessment, grading, report or correspondence produced pursuant to his/her normal administrative duties within the University. (e) Exploitation of Copyright (i) The owner of the copyright has the right to exploit the copyrighted property. (ii) Such exploitation may be undertaken by the copyright holder singly or in combination with other agencies. The copyright holder retains the right to assign or license copyright in whole or in part to any agency assisting in the exploitation of the copyrighted property. (iii) The parties to the exploitation of a copyrighted property shall reach a mutually agreeable arrangement including financial terms which shall be reduced to writing. (iv) In the event that the employee reaches an agreement to use the offices of the Innovation Transfer Office, disputes shall be handled in accordance with Article 14.6. Individuals using the offices of external agencies should include a dispute resolution mechanism in their written agreements. 14.5 Trade-marks Any trade-mark adopted or used in association with wares or services which are or may be subject to the provisions of Article 14 shall be owned by the persons who, pursuant to this Article, are the owners of the patent, copyright or other intellectual property in question. 14.6 Dispute Resolution Mechanism (a) The parties agree to request the Senate to establish an Innovation, Patents and Copyright Committee. Should Senate fail to establish such a Committee within two (2) months of the signing of this Collective Agreement the parties agree to create a continuing Innovation, Patents and Copyright Committee, which shall be composed of two (2) members appointed by the employer and two (2) members appointed by the Association with the chairpersonship alternating between the employer's representatives and the Association's representatives at each successive meeting. The Committee shall meet at least twice annually or at the call of any two (2) members to: (i) conduct such business as is referred to it; (ii) consider proposals for modifications or changes in Article 14 of this Collective Agreement; and, (iii) mediate any disputes arising out of this Article as per 14.6(b) below. (b) For the purpose of this Collective Agreement, the complaint stage of a grievance pertaining to innovation, patents and copyright shall be referred to the Innovation, Patents and Copyright Committee. If the Committee is unable to resolve the dispute, the remaining formal grievance and arbitration procedures provided for in Article 30 of this Collective Agreement shall apply. 14.7 Intellectual Property General Provisions (a) Passing of Rights On the death of an employee or former employee any rights which he/she had derived under this Article or any agreement made in pursuance of this Article shall pass to his/her estate. (b) Subcontracting by Employer The employer agrees not to enter into any agreement to subcontract the services of any employee without securing to the employee whose services are subcontracted, all the rights, privileges and benefits accorded him/her in this Article, nor shall universities or government departments or private companies, for the purposes of research or development or commercial exploitation or the creation of intellectual property without securing to the employees who may be seconded to or employed by such consortia, departments, or private companies all the rights, privileges and benefits accorded by this Article. If the employer makes an agreement contrary to this provision and fails to secure the said rights, privileges and benefits to said employees, the agreement shall not apply to employees unless there is a special agreement in writing between the employer and the Association, upon the recommendation of the Innovation, Patents and Copyright Committee (Article 14.6), to waive this provision in that case. 14.8 Interpretation In this Article the singular shall include the plural and the plural the singular where appropriate.