General Policy Statement
faculty, staff and students of Drexel University, as part
of their normal assigned duties and scholarly activities,
carry on research which may be supported in part, or in
whole, by the University or by grants and contracts with
outside sponsors. Recognizing that many new ideas, discoveries,
and inventions inevitably flow from university research
to practical, commercial application, it is in the interest
of the University to encourage the development of such new
ideas, discoveries and inventions resulting from University
research; to reduce these inventions to practice and practical
application where resources permit; and to give adequate
recognition and incentive to the inventors by having them
share in the proceeds from any invention. Accordingly, it
is important that University policy be established to define
and protect the respective rights and obligations of the
University, its personnel, its sponsors and the public,
relative to inventions resulting from University research.
It is also appropriate and desirable that the University
share in the proceeds of any invention not only to pay the
costs of the patent program, but also to support University
research programs, facilities and personnel without which
such inventions would not have been possible.
II. Patent Policy Objectives
principal objectives of the University Patent Policy are:
to encourage creative research, innovative scholarship,
and a spirit of inquiry leading to the generation of new
knowledge, ideas and inventions;
to facilitate the transfer of University-developed research
results to commerce and industry;
to provide faculty, staff and students of the University
assistance in assessing the patentability and commercial
potential of their inventions;
to establish guiding principles for determining the obligations
and property rights of the University, inventors and sponsors
with respect to inventions;
to facilitate patent applications and licensing where
patenting of inventions is determined by the University,
or its designated agents to be desirable;
to recognize and reward the creative efforts of faculty,
students and staff of the University through the realization
of tangible benefits (royalties) derived from their inventions;
to afford faculty, staff and students of the University
the opportunity to further their research objectives and
those of the University, by disseminating the results
of their work to provide maximum benefit to the public,
while safeguarding the patent and property rights for
the University, inventor and sponsor.
without limitation, college, department, administrative
unit, group or institute, functions of which are separately
refers to all technical contributions, including inventions,
discoveries, processes, methods, uses, product/design
improvements or modifications, or combinations thereof,
conceived and/or reduced to practice during the course
of research carried out for or at the University which
are of a patentable nature.
Invention Assignment Agreement
agreement between University personnel and the University
which assigns to the University the entire title, ownership
and rights to all inventions which result from research
carried out for or at the University by the individual
for monetary consideration as described in Section V.
and/or equity consideration received by the University
in exchange for a license to use patent rights.
University Intellectual Property Committee
standing Committee of the University responsible for advising
the Vice President of Research on all matters regarding
University patents and other intellectual property (see
and full-time members of the University faculty and staff,
all other agents and employees, cooperative student employees,
undergraduate and graduate students, and postdoctoral
fellows of the University. Students on cooperative education
assignment shall be subject to the patent policy of their
employer. If the cooperative education employer does not
have a patent policy, the student may elect to operate
under this policy provided a written release is obtained
from the employer of all rights in and to said inventions.
Patent Policy Guidelines
rights and obligations of the University, its personnel
and sponsors with relation to inventions resulting from
research or other scholarly activities, and the ownership
and disposition of the property rights to these inventions,
are best defined in terms of the following categories of
research subject to a sponsored research or other agreement
between the University and a third party (herein referred
to as "sponsor");
research supported either in part or in whole by University
(c) research carried out by University personnel wholly
on their own time and at their own expense without the use
of University facilities and resources.
A. Externally Sponsored Programs
The rights of University personnel who are subject to the
terms of a sponsored research project or other agreement
are determined in accordance with the terms of the applicable
A.1 Government Sponsored Programs
is the policy of the University to comply with all applicable
regulations and requirements of any governmental body sponsoring
work at the University. The Vice Provost for Research and Dean of Graduate Policy will be responsible for apprising the
University personnel of the parameters of such requirements.
is also the policy of the University that to the fullest
extent allowed under such governmental parameters, the University
will be the owner of any inventions conceived or actually
reduced to practice in the performance of work sponsored
by any governmental unit.
A.2 Private, Industrial, Foundation and Other Sponsored Programs
in unusual cases, it is the University's policy that all
inventions (whether or not patentable) developed in the
course of research supported by any non-governmental sponsor,
are the property of the University, and the University will,
consistent with this Policy, be responsible for securing
any patents and for payment of costs incurred in securing
those patents. To the extent that the sponsor pays all direct
and indirect costs of the project, the sponsor will be given
an option to obtain an exclusive, royalty-bearing license
to practice any invention conceived or actually reduced
to practice during the sponsored research project. Said
option must be exercised within one year after the date
of patent filing for the licensed invention. As part of
any such license, the University will require of the licensee
diligent performance for timely commercial development and
early marketing of the invention.
is the policy of the University that sponsored research
grants or contracts contain no provisions inconsistent with
this Patent Policy.
B. University Sponsored Programs
involving the use of funds, space, personnel, equipment
or facilities administered by the University, but without
any University obligations to others in connection with
such support, are the property of the University.
University personnel will disclose to the Vice Provost for Research and Dean of Graduate Policy all information relating
to an invention, and will execute such assignments, waivers,
or other documents as the University may require for expeditious
patenting and commercial exploitation of said invention.
When the University elects to undertake patenting and licensing
of said invention, the inventor will share in the proceeds
from the licensed patent in accordance with the Distribution
of Income (see Section V). The term "inventor"
may mean joint inventors, in which case the inventors' share
of proceeds will be paid as though they were a single entity
and divided equally unless there exists a prior agreement
covering inventors' distribution.
The University shall make its decision to initiate a process
of filing an application for patent within 120 days following
receipt of an invention disclosure. In those cases in which
the University elects not to file an application for a patent,
and in which the University has no obligation to sponsors
or patenting organization, the inventor may request transfer
of the entire right and title to said invention after the
120 day period. This request must be in writing and made
to the Vice Provost for Research and Dean of Graduate Policy
who will refer the request to the University Intellectual
Property Committee for their recommendation. The Vice Provost for Research and Dean of Graduate Policy will either
grant the request or advise the inventor of the University's
plan to file an application for patent.
In those cases in which the University has filed an application
for a patent, and in which the University has obtained a
patent without obligation to sponsors or third party patenting
organization, and no arrangement has been made for commercial
development within a three (3) year period after the issue
date of the patent, the inventor may request transfer of
the entire right and title to said invention. This request
must be in writing and made to the Vice Provost for Research and Dean of Graduate Policy who will refer the request
to the University Intellectual Property Committee for their
recommendation. The Vice Provost for Research and Dean of Graduate Policy will either grant the request or advise
the inventor of the University's plans for commercial development
of the subject invention. If the request is granted, the
University shall retain a five percent (5%) interest in
the issued patent.
University personnel involved in research sponsored by the
University or an external sponsor, will sign an Invention
Patent rights resulting from research carried on by a student
in fulfillment of requirements for an academic degree, including
the preparation of a thesis or dissertation, are construed
as making use of University resources and are subject to
the Patent Policy. Inventions made by students in sponsored
projects or using University facilities and resources are
the property of the University. Student inventors will sign
an Invention Assignment Agreement evidencing the fact that
the entire right and title to said invention belongs to
the University for monetary consideration as stated in Section
V. Disposition of said invention shall be in accord with
this Patent Policy. Undergraduate students of the University
are not subject to this portion of the Patent policy.
All original data, notebooks, laboratory records and other
documents relating to University owned inventions shall
be the property of the University.
which the inventor can demonstrate result from research
or other work conducted on the inventor's own time without
use of Drexel University resources such as University funds,
space, personnel or facilities, are the property of the
inventor. The University undertakes no responsibility with
respect to such inventions. However, at the option of the
inventor, such inventions may be assigned to the University
and processed as University-sponsored inventions hereunder.
It shall be the responsibility of the inventor to demonstrate
that substantial use of University resources was not involved
in any inventor-retained invention. The University will
not construe the payment of salary, nor the provision of
office or library facilities as constituting use of University
funds, space, personnel or facilities. However, substantial
assistance given by one or more faculty or staff members
to an inventor specifically pertaining to the invention
will constitute substantial use of University resources.
University personnel engaged in consulting activities or
in business must ensure that their agreements with other
parties do not conflict with this Patent Policy or with
the University's commitments to external sponsors. University
personnel must make clear to those with whom they make such
agreements their obligations to the University, and should
apprise other parties of the terms of this Patent Policy.
The University's rights, and the individual's obligations,
will in no way be abrogated or limited by the terms of such
third party agreements.
Distribution of Income
In all cases where the entire right and title to an invention
belong to the University, the net income from the invention
shall be distributed according to the schedule shown below
in Section A.1. For the purposes of this Patent Policy,
net income will mean gross royalties actually received by
the University less out-of-pocket expenses paid by the University
for patent filing, prosecution, licensing, maintenance,
enforcing or defending patents, and other related patenting,
marketing and licensing expenses for said invention.
Schedule of Net Income Distribution
the first $10,000 of net income:100% to the inventor.
the next $500,000 in cumulative net income: 50% to the inventors,
25% to the Office of the Vice Provost for Research and Dean of Graduate Policy, 25% to the inventor's Institutional
the next $1,000,000 in cumulative net income: 40% to the
inventors, 35% to the Office of Vice Provost for Research and Dean of Graduate Policy, 25% to the inventor's Institutional
cumulative net income in excess of $1,510,000: 25% to the
inventors, 50% to the Office of Vice Provost for Research and Dean of Graduate Policy, 25% to the inventor's Institutional
For the purposes of this section V, the royalty distribution
shall be divided equally among or between the institutional
units, unless the University is provided with an alternative
royalty distribution schedule agreed upon by the heads of
the respective units and the Vice Provost for Research and Dean of Graduate Policy or his or her designee. In the event
a unit ceases to exist, the distribution of the unit's funds
shall be determined by the Vice Provost for Research and Dean of Graduate Policy or his or her designee.
When royalty income is in the form of equity interest, distribution
of equity will be made between inventor(s) and the Office
of Vice Provost for Research and Dean of Graduate Policy
at the time equity is transferred to the University, and
in equal shares. The Office of Vice Provost for Research and Dean of Graduate Policy will share with the inventor's
Institutional Unit(s) the income generated by its equity
interest at the time said shares, or portion thereof, is
Inventors may be faculty, students, staff, consultants and
other employees of the University, or combinations thereof.
When more than one inventor is involved, the responsibility
for determining the relative royalty distribution among
the inventors rests solely with the inventors. Unless the
inventors provide the University with an alternative royalty
distribution schedule agreed upon by them, royalty distribution
shall be distributed equally between or among the inventors.
In any event, the University assumes no responsibility or
liability in disputes among inventors concerning the sharing
of royalties among the inventors.
In cases where the inventor clearly owns the patent but
where the inventor and the University agree to have it processed
as a University-sponsored invention, the income distribution
will be as defined above.
In cases where the inventor assigns the patent to the University
as a gift, the inventor shall have the right to determine
the distribution of the inventor's share and the remaining
portion of income distribution shall be as defined above.
In the case where the inventor does not wish to exercise
the right to allocate his/her share, then the Vice Provost for Research and Dean of Graduate Policy shall determine
the distribution of the inventor's share.
right of an inventor to receive income hereunder shall extend
for the term of the Patent and any renewals thereof and
said right may be assigned or bequeathed by the inventor.
The Vice Provost for Research and Dean of Graduate Policy
shall be responsible for the administration of the Drexel
University Patent Policy.
A University Intellectual Property Committee shall make
recommendations to the Vice Provost for Research and Dean of Graduate Policy on matters regarding University patents
and other intellectual property.
The University Intellectual Property Committee shall consist
of two (2) members appointed by the Faculty Council, one
(1) member appointed by the Vice President for Academic
Affairs, one (1) member appointed by the Vice Provost for Research and Dean of Graduate Policy. In addition, a Chairperson
of the Committee shall be appointed by the President. At
least 3 members of the Committee must be selected from the
full-time, tenure track faculty.
Members of the University Intellectual Property Committee
shall serve for no more than two successive terms of two
years each. The members appointed by the Faculty Council
shall be appointed in alternate years; the member appointed
by the Vice President for Academic Affairs shall be appointed
in an odd-numbered year, while, the member appointed by
the Vice Provost for Research and Dean of Graduate Policy
shall be appointed in an even-numbered year. The Chairperson
of the Committee shall serve in that position at the pleasure
of the President.
All appeals and disputes shall be forwarded in writing to
the Vice Provost for Research and Dean of Graduate Policy
through the Intellectual Property Committee. These appeals
and disputes shall be initially reviewed by the University
Intellectual Property Committee which shall make its recommendations
to the Vice Provost for Research and Dean of Graduate Policy
within 60 days after receiving the dispute. The Vice Provost for Research and Dean of Graduate Policy shall make a
determination of the dispute within a period of 30 days
after receiving the Committee's recommendation.
appeal from the determination of the Vice Provost for Research and Dean of Graduate Policy shall be made within 30
days to an arbitration panel consisting of three members,
including a member of American Arbitration Association (AAA)
to be agreed on by the parties in accordance with the rules
of the AAA. The other members shall be selected by the opposing
parties. The arbitration proceeding shall be conducted in
accordance with the rules of the AAA then in effect as interpreted
by the AAA member who shall serve as the chairman of the
panel. The basis for the panel's decision will be the provisions
of this patent policy. Submission to arbitration before
this panel shall be the sole means of resolving disputes
hereunder. The decision of the panel will be final and unappealable
and may be enforced in any court of competent jurisdiction.
The award of the arbitration panel shall be made in writing
and need not present the panel's vote on each issue, but
merely the resolution of each issue. Costs incurred in arbitration
shall be borne equally by inventor and university in an
amount up to but not exceeding $5,000; costs in excess of
$5,000 shall be borne by the university and credited against
current and/or future royalties received by the university
for the subject invention held in dispute.
No assignment of rights, transfer of ownership, license
or other arrangements concerning the disposition of University
owned patents may be entered into except by authorized officials
of the University.
Patent Development Procedures
Inventors shall transmit disclosures of inventions to the
Vice Provost for Research and Dean of Graduate Policy
on forms provided for that purpose. To safeguard the rights
of the inventor and the University, timely reporting is
required. University personnel shall make a timely disclosure
to the Vice Provost for Research and Dean of Graduate Policy.
Inventions should be reported as soon after conception as
possible to permit prompt evaluation and to avoid unnecessary
delays in publication. Failure to make a timely disclosure
of an invention may compromise the patentability of an invention,
loss of domestic and/or foreign rights or business opportunities
to an invention. Upon receipt of disclosure the Senior Vice
President for Research and Graduate Studies will evaluate
the disclosure to determine ownership of the invention.
If agreement on ownership cannot be reached between the
Vice Provost for Research and Dean of Graduate Policy
and the inventor, the Vice Provost for Research and Dean of Graduate Policy will forward the matter to the Intellectual
The Intellectual Property Committee will review the disclosure
to determine ownership and commercial potential. When necessary,
the Committee may request an oral presentation by the inventor
supported by such visual material as may be required. The
Committee may also solicit outside evaluation and interest
from potential licensees through the distribution of a non-confidential
disclosure prepared by the inventor. The Vice Provost for Research and Dean of Graduate Policy shall make available to
the Intellectual Property Committee sufficient resources
to support its evaluation of invention disclosures.
The Committee shall make a recommendation to the Vice Provost for Research and Dean of Graduate Policy as to whether
the University should pursue patent development of said
invention. The Vice Provost for Research and Dean of Graduate Policy shall then decide whether the University will pursue
patent development of said invention. If a decision is made
to pursue a patent, inventor shall provide additional information
or material as needed in this and subsequent stages of this
If the invention is accepted for patenting, the invention
shall also be accepted for commercialization on a best efforts
basis by the University or its designated agents.
The University will endeavor to complete the above described
review procedure as expeditiously as feasible under the
circumstances pertaining at the time the review is undertaken.
If the Vice Provost for Research and Dean of Graduate Policy
decides the university will not pursue patent development
of said invention, the University shall have waived its
right to pursue development of the invention, and release
all such rights to the inventor, except that the University
will retain a non-exclusive, royalty-free license to practice
the invention for its own purposes. In exploiting or developing
any released invention, the inventor shall not use University
facilities and resources, or the name of the University.
Only the Vice Provost for Research and Dean of Graduate Policy or his or her designee may commit University funds
for patent development.