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Title: University of Florida Intellectual property policy
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Title: University of Florida Intellectual property policy
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Language: English
Creator: University of Florida. Office of Technology Licensing.
Publisher: University of Florida. Office of Technology Licensing
Place of Publication: Gainesville, Fla.
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Full Text








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University of Florida


Contents:

A. General Comments ............ . . ... 2
B. Legal Considerations ........................... 3
C. University Inventions and Works ...... . . . 4
C.1.Definitions ......... . . . . .... 4
C.2. University Rights to Inventions and Works . . . 7
C.3. Research Financed by Outside Sponsors and Outside Consulting
Arrangements ............ ..............8
C.4. Relationships Between the Creator and the University Regarding
Inventions ......... ... .. ............... 9
C.5. Relationships Between the Creator and the University Regarding
University-Supported Works . . . .. 10
C.6. Distribution of Net Income From Works and Inventions . 10
C.7. Relationships Between Employees and the University Regarding
Business Transactions ................. .. ... 13
D. Procedures Regarding Inventions and Works . . ..... 14
D.1. Organization. ............ . . ....... 14
D.2. Making Disclosures .................. ...... ..14
D.3. Disclosure Review ......... . . . .......14
D.4. Determination of Ownership ..... . . ..... 15
E. Effective Date .............. . . . ...... 16

Appendices:
Appendix I
Section 1004.23, Florida Statutes
Universities; Powers; Patents, Copyrights, and Trademarks. . ... 17
Appendix II
Regulation 6C1-1.018, F.A.C., Works and Inventions. . ... 18
Appendix III
Article 18
BOR/UFF Collective Bargaining Agreement-Inventions and Works 21
Appendix IV
University of Florida/IFAS Policy for Program Support and
Royalty Distribution from Released Cultivars. . . .... 26
Appendix V
Sample Intellectual Property Agreement. . . . 33
Appendix VI
Sample Disclosure of Outside Activities and Financial Interests. . 34
Appendix VII
Sample Invention Disclosure ................... ..35
Appendix VIII
Sample Work Disclosure. ..... . . . 36
This document and related forms are available in their entirety at http://www.ufl. edu/otl/





Intellectual Property Policy


A.General Comments

Central to the purpose of the University of Florida are teaching, research,
and service. Research is undertaken to educate students, to stimulate a spirit
of inquiry, to solve problems, and to discover new knowledge. Patentable
inventions and other marketable forms of intellectual property may result
from research conducted by personnel of the University. The University of
Florida believes that a university has an obligation to serve the public interest
by insuring that such intellectual property is appropriately developed.

The University of Florida Intellectual Property Policy is meant to encour-
age and enable technology development and transfer for the benefit of the
public. Adequate recognition of and incentive to potential inventors through
the sharing of the financial benefits resulting from the transfer and develop-
ment of patentable inventions and other marketable forms of intellectual
property encourages the creation of such intellectual property. At the same
time, the University's share in the financial benefits provides funds for further
research at the University.

In order to have successful technology transfer, a team effort on the part
of the creator of the intellectual property, the staff of the University's Office of
Technology Licensing (OTL), the administrative staff of the creator's depart-
ment and college, and others involved in the creator's research enterprise is
necessary. Many factors must come together to make technology transfer
successful. There must be: appropriate intellectual property; an effort on the
part of the creator to assist in protecting and marketing the intellectual prop-
erty; an effort on the part of OTL to protect, market, and license the intel-
lectual property; a corporate licensee that is willing to invest the money, time,
and effort to turn the intellectual property into a marketable product; and a
market that is ready to buy the product when it has been fully developed and
is ready to be sold. The University's policy is intended to further that result.

The Intellectual Property Policy, as set forth below, is a University-level
document and applies to all "University personnel," as that term is defined in
the policy.





University of Florida


B. Legal Considerations

With the passage of the Bayh-Dole Amendments, Public Law 96-517,
entitled "The Patent and Trademark Amendments Act of 1980," the federal
government facilitated the retention of intellectual property, particularly
inventions, by universities. In this act the federal government gives nonprofit
organizations, including universities, the right to retain title to inventions
they have made in the performance of government grants and contracts. The
act reflects Congress' intention that these organizations use the patent system
as a vehicle to "effectuate the transfer of government-funded inventions to the
public."

The Intellectual Property Policy of the University of Florida is based on
Section 1004.23, Fla. Stat. (Appendix I), which authorizes the University
to license, protect, and otherwise deal with the work products of University
personnel. The University has implemented this authority through Regulation
6C1-1.018 (Appendix II), which requires that all University of Florida person-
nel disclose certain works and all inventions which that person may develop
or discover while affiliated with the University. Such a disclosure requirement
is also found in Article 18 of the Collective Bargaining Agreement between
the Board of Regents and the United Faculty of Florida (Appendix III), which
governs faculty members in the collective bargaining unit. Both the rule and
the collective bargaining agreement set forth the standards under which the
University's ownership of such works and inventions are determined. These
are explained in section C. of this policy.





Intellectual Property Policy


C.University Inventions and Works


C.I. Definitions.

For the purposes of this Intellectual Property Policy, the following defini-
tions shall apply:

a. "University" shall mean the University of Florida.

b. "University personnel" shall include all full-time and part-time employ-
ees of the University, including Academic Personnel (AP), Technical,
Executive, Administrative and Managerial Support (TEAMS), Univer-
sity Support Personnel System (USPS), and Other Personnel Services
(OPS) employees; appointees of the University, including certain faculty
members and all volunteers; persons paid by or through the Univer-
sity, including fellows; and anyone working under University auspices.
Students who are encompassed within any of these categories shall be
considered "University personnel."

c. A "work" shall include any copyrightable material, such as printed mate-
rial, computer software or databases, audio and visual material, circuit
diagrams, architectural and engineering drawings, lectures, musical or
dramatic compositions, choreographic works, and pictorial or graphic
works.

d. An "invention" shall include any discovery, invention, process, com-
position of matter, article of manufacture, know-how, design, model,
technological development, biological material, strain, variety, culture of
any organism, or portion, modification, translation, or extension of these
items, and any mark used in connection with these items.

e. "Intellectual property" includes all works and inventions.

f. A "creator" shall mean a member of University personnel who creates a
work or invention.

g. "University support" shall include the use of University funds, person-
nel, facilities, equipment, materials, or technological information, and
includes such support provided by other public or private organizations
when it is arranged, administered, or controlled by the University.

h. "Independent efforts" with regard to a work means that the ideas for
the work came from the creator, the work was not made with the use of
University support, and the University is not held responsible for any
opinions expressed in the work.





University of Florida


i. "University-supported work" shall mean a work of a creator not made
in the course of independent efforts. Notwithstanding the foregoing,
"University-supported works" do not include scholarly articles published
in journals independent of the University and theses or dissertations
of graduate students. With regard to faculty members in the collec-
tive bargaining unit, "University-supported works" do not include: (1)
books, articles, and similar works, the intended purpose of which is to
disseminate the results of academic research or scholarly study; and (2)
works developed without the use of appreciable University support and
used solely for the purpose of assisting or enhancing the faculty member's
instructional assignment. However, a work described under (2), called
an "instructional work" in this policy, must be disclosed by faculty in the
collective bargaining unit.

j. "VPR" shall mean the Office of the Vice President for Research of the
University of Florida (formerly Research and Graduate Programs, RGP).
The Vice President for Research has been designated by the Board of
Trustees and President of the University to carry out the responsibilities
of the Division of Sponsored Research as authorized by Section 1004.22,
Fla. Stat., and the implementation of Section 1004.23, Fla. Stat., con-
cerning the work products of University personnel. Only VPR shall
be authorized to commit available University funds for the expenses of
licensing and patenting of inventions on behalf of the University.

k. "OTL" shall mean the Office of Technology Licensing. This office is
responsible for all matters relating to patents, trademarks, and copyrights
as related to the identification, protection, and commercialization of Uni-
versity-owned works and inventions. The OTL represents the University
in the implementation of this Intellectual Property Policy with regard to
governmental entities, industry, and the public.

1. "UFRF" shall mean the University of Florida Research Foundation, Inc.,
a direct support, not-for-profit organization incorporated in August 1986,
in the State of Florida, to promote, encourage and provide assistance to
the research activities of University faculty, staff, and students. UFRF
may take equity interests in licensee entities. At the sole discretion of
the University, works and inventions in which the University asserts its
interests may be assigned to UFRF. If a work or invention is assigned to
UFRF, UFRF follows the same policy as the University in the distribu-
tion of proceeds.

m. "Development expenses" shall mean all moneys paid by the University
and UFRF for goods and services to protect, develop, and/or enhance
the marketability or any other aspect of a work or invention, including,
but not limited to, patent filing fees, protection of patent, marketing





Intellectual Property Policy


expenses, patent maintenance, consulting fees, prosecution expenses,
expenses incurred in dealing with equity interests, travel, attorneys' fees,
and research costs. Not included as development expenses are salaries
and general operating expenses of University administrative personnel.

n. "Gross revenue" shall mean: (1) proceeds from the sale, lease, transfer,
or other conveyance of an invention or work by the University and/or
UFRF, and (2) license issue fees, option fees, running royalties, and
equity interests paid to the University and/or UFRF by a licensee of an
invention or work, except that such equity interests, or portion thereof,
shall not be considered "gross revenue" unless and until the equity inter-
ests, or portion thereof, are sold by UFRF.

o. "Net income" shall mean gross revenues less all development expenses for
a work or invention and its improvements.

p. A "program" shall mean the specific University research program within
which an invention or work was developed.

q. "Cultivar Royalty Policy" shall mean that policy covering certain materials
developed by certain University personnel of the University's Institute of
Food and Agricultural Sciences/Florida Agricultural Experiment Station
who are involved in the breeding and development of cultivars, germplasm
lines, or other genetic material, as defined in the policy (Appendix IV).





University of Florida


C.2. University Rights to Inventions and Works

An invention which is made in the field or discipline in which the creator
is engaged by the University or made with the use of University support is the
property of the University. The creator shall share in the proceeds therefrom
subject to preexisting commitments to outside sponsoring agencies. An
invention made outside the field or discipline in which the creator is engaged
by the University and for which no University support has been used is the
property of the creator. In the latter case, however, the creator and OTL may
agree that the invention be pursued by the University and the proceeds shared
pursuant to this Intellectual Property Policy.

A work which is made in the course of independent efforts is the property
of the creator. A University-supported work is the property of the University.
The creator shall share in the proceeds from a University-supported work
subject to preexisting commitments to outside sponsoring agencies.

University personnel are required to disclose promptly, pursuant to the
disclosure procedures set forth in section D.2., all inventions and Univer-
sity-supported works, including all instructional works. All inventions must
be disclosed, even those believed by the creator to be unrelated to his or her
University duties and not involving the use of University support.

VPR has agreed that when an invention is a release cultivar, as that term
is defined in the Cultivar Royalty Policy, invented by University personnel
and encompassed within the terms of that policy (Appendix IV), the disclo-
sure requirements, the distribution of proceeds, and handling of that inven-
tion if the University asserts its interests therein, shall be governed by that
policy in lieu of paragraphs C.4., C.5., and C.6., and section D. of this policy.

University personnel have the obligation to refrain from any act that would
defeat the University's rights in any works and inventions they make as well as
the works and inventions of other University personnel. See the Intellectual
Property Agreement, Appendix V, which all such personnel are required to sign.
In order to maintain the University's rights to obtain patent or other intellec-
tual property protection of an invention or work, University personnel must
maintain the confidentiality of each invention and University-supported work
consistent with the University's decisions regarding the protection desired, com-
mercialization, and/or other uses of the invention or work. This is particularly
important for works and inventions that have been sponsored by an outside
entity through a grant or contract. If the publication of research results may
reveal an invention, University personnel must ask OTL for advice on how and
when to publish the results in order that patent protection for the invention is
not compromised. It is the University's policy to publish the research results as
soon as possible consistent with the securing of patent protection.





Intellectual Property Policy


In accordance with recognized scientific research procedures, University
personnel are required to record all research data and information accurately
and clearly and to keep all such data in a permanent and retrievable form. In
addition, with regard to a patentable invention, original laboratory data must
be kept for the life of the patent. University personnel must also securely store
tangible property (such as biological materials, chemical compounds, and
computer discs) related to an invention or work to which the University has
asserted or may assert its ownership rights. Personnel who leave the Univer-
sity may be permitted to copy their laboratory notebooks and take the copies
with them, or take samples of tangible property with them, although they
are required to maintain the confidentiality of the data contained within the
notebooks or the tangible property. The original notebooks will remain at the
University.


C.3. Research Financed by Outside Sponsors
and Outside Consulting Arrangements

It is the University's policy, except in unusual cases, to require that works
and inventions developed in the course of University research sponsored
by private persons, business and not-for-profit entities, and state and local
governmental agencies be the property of the University. An exclusive option
may be accorded to the sponsor with regard to inventions. The sponsor may
be offered the option to acquire an exclusive license within a stated number of
months from the disclosure of the invention to OTL.

Faculty and other University employees engaged in consulting work
should use great care to ensure that their consulting agreements) are not in
conflict with the University's policies on outside activities and financial in-
terests, Regulation 6C1.1011. Consulting agreements frequently require that
the consultant waive intellectual property rights as a condition of employ-
ment. Approval of such requests will be based on a determination that the
University does not possess any interest in such rights or that the agreement
is appropriately modified concerning such rights. Where consulting activities
involve a reduction to practice of inventions or works or potential inventions
or works conceived under federal sponsorship or University support, permis-
sion to waive rights to the company or the inventor will not be granted. A
determination by the University must be initiated by submitting a Disclosure
of Outside Activities and Financial Interests (Appendix VI). University
personnel engaged in approved consulting work are required to disclose any
University work or invention made in the course of the work in accordance
with the instructions of subsection D.2 of this policy.





University of Florida


C.4. Relationships between the Creator and
the University regarding Inventions

Two separate relationships between the creator and the University with
regard to inventions are recognized:

a. Inventions Made Outside the Creator's Field and Without University
Support

If an invention is made or developed without any University support in
a field other than the field or discipline in which the creator was engaged
by the University to teach, do research, or to perform other duties, the
rights to the invention will be assigned to the creator. Under these condi-
tions, the creator is, nevertheless, required to make full disclosure of the
invention in accordance with subsection D.2. of this policy so that the
University may make a determination of rights.

b. Inventions in the Field in Which the Creator is Engaged or Made with
University Support

If, after a full disclosure of an invention and review in accordance with
section D of this policy, the invention is determined to have been made
or developed in the field or discipline in which the creator was engaged
by the University to teach, do research, or to perform other duties, or the
invention is determined to have been made with University support, VPR
may, on behalf of the University:

(i) elect to waive the University's rights to the invention, thus allowing the
creator to protect the invention creation as he or she may wish. If outside
funds supported the work leading to the invention, this waiver is subject
to any provisions in sponsoring agreements. In cases in which the Uni-
versity has waived its interest and the invention was supported by federal
funding, any waiver must be to the supporting federal agency, rather
than to the creator(s). In addition, the waiver shall not affect the right of
the University and the State of Florida to royalty-free use of the inven-
tion, nor shall such a waiver be granted until any pre-existing commit-
ments to sponsoring agencies with regard to inventions are cleared. In
general, the University will not waive its rights to inventions of creators
who are full-time employees or appointees of the University.

or,

(ii) elect to acquire title to the invention by assignment (i.e., the creator as-
signs the rights to the University). The development and marketing of
the invention is at the discretion of the University and UFRF. Generally,





Intellectual Property Policy


the University or UFRF seeks to develop and market the invention and
may elect to seek patent or other legal protection. Once application for
a patent has been made, OTL will be responsible for the development
and negotiation of licensing agreements in order that the invention is
managed in a way which serves the public interest. In certain cases, the
University may elect to license the invention to the creator for a minimal
royalty, and the creator may elect to obtain patent protection.

or,

(iii) decide the invention disclosure is premature or incomplete, in which case,
the creator will be asked to resubmit the invention disclosure when ad-
ditional information is obtained.


C.5. Relationships between the Creator and
the University regarding University-
supported Works

Any University-supported work is required to be disclosed under the pro-
cedures of section D. VPR, on behalf of the University, may elect to pursue
any of the three alternatives described in C.4.b above with regard to disclo-
sures of University-supported works.


C.6. Distribution of Net Income from Works
and Inventions

With regard to any work or invention owned by the University, net
income less any foreseeable development expenses the University or UFRF
deems necessary to defend or maintain the work or invention ("net adjusted
income") will be distributed as follows:

For net adjusted income up to $500,000 (Schedule A):

40% individual creator(s)

10% programs)

7 /2% creator(s)'s department

7 /2% creator(s)'s college


35% VPR or UFRF





University of Florida


For net adjusted income $500,000 or over (Schedule B):

25% individual creator(s)

10% program

10% creator(s)'s department

10% creator(s)'s college

45% VPR or UFRF

Notwithstanding the above, all net adjusted income from UFRF's sale of
equity interests originally granted to UFRF by a licensee in lieu of cash royal-
ties or license fees shall be distributed according to Schedule B.

Distributions of income will be made semiannually on or before June
1 and December 1 of each year. This distribution schedule allows VPR or
UFRF to assure that all applicable licensing and related expenses have been
accounted for. VPR or UFRF may, at its sole judgment, withhold or delay
distribution of any income if there is a foreseeable development expense yet
to be incurred. In instances where funds are held because of foreseeable de-
velopment expenses or where expenses exceed revenue, an accounting of such
will be sent to the creator's department and college indicating the amounts
received for the current six-month period and the amount of the anticipated
expense or deficit. Once expenses are known with certainty, any excess with-
holding will be distributed.

Payments of the portion allocated to the creator(s) must be made to
creator(s) individually and cannot be assigned by the creator(s) to other
parties or entities. The only exception will be that after a creator's death,
appropriate notification by the personal representative of the creator's estate,
and court approval, if necessary, payment will be made to the creator's heirs or
devisees. An IRS Form 1099 or other appropriate form will be issued to the
creator(s) for their share of revenues. The University cannot advise individu-
als on the tax consequences of these payments. It is the sole responsibility of
the creator to inform VPR or UFRF of any changes of address for payments.

In the event there are multiple creators for an invention or work, the
creators' share will be divided equally among all creators. If the creators agree
among themselves to a different split, OTL must be notified in writing at least
one month prior to the date of the first income distribution as to the agreed-
upon division of income. The portions distributed to the academic units,
which are the academic units of the creator(s) at the time of the creation of
the invention or work, will be pro-rated when more than one unit is involved.
VPR will make the final decisions on the pro-ration of such portions to aca-





Intellectual Property Policy


demic units. In the case of licenses or other transactions involving multiple
inventions or works, VPR or UFRF shall resolve any potential conflicts con-
cerning the applicable distribution schedules after reviewing the technologies
involved.

That portion allocated to the program (or programs) remains under the
control of VPR or UFRF. If there is more than one program in which the
invention or work was developed, the program portion will be pro-rated as
determined by VPR. If a creator should leave the University, the portion allo-
cated to the creator's program will be allocated to that program as long as the
program exists and consists of research in the same area as that conducted by
the creator prior to leaving the University. If the program ends, the portion
allocated to the program will be allocated to VPR or UFRF. Any determina-
tions regarding the distribution of the program portion of net income shall be
at the sole discretion of VPR.

VPR or UFRF will utilize its share of the net income distribution to sup-
port research activities at the University. Funds allocated to academic units
must be used solely for the support of research at the University.

Distribution of income in the case of inventions of University personnel
employed by the U.S. Department of Veterans Affairs pursuant to an affilia-
tion agreement between the University and the Department of Veterans Af-
fairs shall be in accordance with the Cooperative Technology Administration
Agreement between the University and the Department.

Equity in lieu of Cash Payment

UFRF may elect to accept equity in lieu of cash payments for a license
fee or royalty. The decision to accept equity in lieu of cash is made at the sole
discretion of the UFRF and does not constitute an obligation on behalf of the
UFRF to make a disbursement of equity to the creator(s) or to departments)
and colleges) until the equity is sold.

UFRF will own and exercise all rights of ownership, including the
rights to vote equity interests on all matters which are subject to the consent
or approval of the holders of similar equity interests (including voting such
equity interests for the election of the directors, approving or disapproving
amendments to articles of incorporation, etc.). UFRF will retain and own the
equity interest until the sale or exchange of the interest. The decision as to
when to sell or exchange equity resides with the UFRF Board of Directors in
its sole discretion.





University of Florida


When selling, exchanging or otherwise disposing of any equity inter-
ests, UFRF may agree to pay such commissions or other fees or charges and
may incur such expenses as it shall determine at its sole discretion. All such
expenses are considered development expenses in determining net income to
be distributed.


C.7. Relationships Between Employees and
the University Regarding Business
Transactions

In accordance with Regulation 6C1-1.011, University employees are
required to receive appropriate permission before soliciting business from the
University by completing and submitting a Disclosure of Outside Activities
and Financial Interests (Appendix VI).

This form must be submitted by a creator employee with a financial
and/or managerial interest in a business or a contractual relationship (for
example, an employment or consulting agreement) with a business entity
which is licensing or otherwise entering into a business relationship with the
University or UFRF concerning the employee's invention or work. Disclosure
and approval of the interest or relationship must be accomplished by request-
ing an exemption under Section 112.313(12)(h), Florida Statutes. Guidelines
for submitting a request may be obtained by contacting the Vice President
for Research. Further information on outside activities, financial interests,
and conflict of interest law and policies is found in the brochure "University
of Florida Guidelines, Policies, and Procedures on Conflict of Interest and
Outside Activities, including Financial Interests," available from the Office
of Academic Affairs, academic units, and at http://rgp.ufl.edu/research/out-
side activities.html.





Intellectual Property Policy


D. Procedures Regarding Inventions and
University Works


D.I. Organization

The Office of Technology Licensing (OTL) of VPR is responsible for
all matters relating to patents, trademarks and copyrights as related to the
identification, protection, and commercialization of intellectual property.
Licensing specialists in OTL are the primary contacts for creators with regard
to the disclosure of inventions and works and during the subsequent stages of
protection, marketing, licensing, and other activities.


D.2. Making Disclosures

A timely and complete disclosure on the designated disclosure form
(Appendix VII or Appendix VIII) must be made to the Director of OTL.
Licensing specialists in OTL are readily available for assisting in the disclosure
process.


D.3. Disclosure Review

VPR, through OTL, will conduct a review of the disclosure which shall
assess the respective equities of the creator and the University in the invention
or work and determine its importance and the extent to which the University
should be involved in its protection, development, and promotion.

OTL shall recommend whether the University should assert or waive its
interest in the invention or University-supported work, based on a determina-
tion of potential technical and market value.

OTL may employ outside evaluators and other consultants to review the
disclosure, as well as to assist in the licensing, other commercialization, or
protection of the invention or work. VPR, through OTL, will determine the
University's interests consistent with the provisions of section C of this policy.
It shall be the obligation of the creator to be available to provide additional
information as needed in all stages of this procedure.





University of Florida


D.4. Determination of Ownership

The Vice President for Research (or the Director of OTL as the Vice
President's designee) shall inform the creator of the University's decision
regarding ownership and the University's legal rights as soon as practicable,
but no later than 120 calendar days from receipt of the complete disclosure in
the case of an invention and 60 days from receipt of the complete disclosure
in the case of a University-supported work.'

If the University's ownership interest is waived to the creator(s), it is
the policy of the University that the creator(s) must disclose the potential
conflict of interest created by the ownership interest when proposing research
to be conducted using University resources that could reasonably appear to
influence the financial value of the invention. In such cases the University,
through the creator(s) and appropriate administrators, must have established
the means to manage the conflict prior to conducting the research.

At any stage in the commercialization of an invention or work, VPR,
through OTL, may elect to withdraw from further involvement in the protec-
tion or commercial application of the invention or work. At the request of
the creator in such case, VPR shall transfer the intellectual property rights to
the creator, unless subject to the ownership rights of a federal agency or other
research sponsor. If the property rights are transferred to the creator, none of
the costs incurred by the University or on its behalf shall be assessed against
the creator unless they are development expenses deducted from gross rev-
enues received by VPR or UFRF prior to the transfer. The transfer shall not
affect the right of the University and the State of Florida to royalty-free use of
the invention or work.

Inventions and works in which the University has asserted its ownership
interest may be protected, marketed, and licensed as appropriate. The OTL
licensing specialist with responsibility for a particular disclosure will play a
primary role in taking appropriate action on such disclosure in close col-
laboration with the creator(s) and appropriate departments or colleges at the
University. All final decisions with regard to inventions and works in which
the University has asserted its ownership interest are made by VPR through
OTL.




1 University regulations and collective bargaining agreements provide informal appeal
and formal grievance procedures for University employees and students who
believe that they have not been afforded their rights under those regulations and
agreements. Employees and students should refer to the appropriate handbooks,
regulations, and collective bargaining agreements for further information.





Intellectual Property Policy


E. Effective Date

This policy shall be effective on July 15, 1997, with the exception of those
provisions concerning distribution of proceeds as set forth in section C.6. of
this policy, which shall become effective as follows: The proceeds from any
works or inventions which are the subject matter of any license agreement or
other transaction entered into by the University or UFRF before July 15, 1997
S shall continue to be distributed pursuant to the University of Florida Patent
Policy dated February 1993 or any previous agreement entered into by the
creator and the University. The proceeds from any other works or inventions
will be governed by the provisions of section C.6. of this policy.
16





University of Florida


Appendix I


Section 1004.23, Florida Statutes


Universities; powers; patents, copyrights, and
trademarks



Any other law to the contrary notwithstanding, each state university is
authorized, in its own name, to:

(1) Perform all things necessary to secure letters of patent, copyrights, and
trademarks on any work products and to enforce its rights therein. The
university shall consider contributions by university personnel in the
development of trademarks, copyrights, and patents and shall enter into
written contracts with such personnel establishing the interests of the
university and such personnel in each trademark, copyright, or patent.

(2) License, lease, assign, or otherwise give written consent to any person,
firm, or corporation for the manufacture or use thereof, on a royalty basis
or for such other consideration as the university shall deem proper.

(3) Take any action necessary, including legal action, to protect the same
against improper or unlawful use or infringement.

(4) Enforce the collection of any sums due the university for the manufacture
or use thereof by any other party.

(5) Sell any of the same and execute all instruments necessary to consum-
mate any such sale.

(6) Do all other acts necessary and proper for the execution of powers and
duties herein conferred upon the university, including adopting rules, as
necessary, in order to administer this section. Any proceeds therefrom
shall be deposited and expended in accordance with Section 1004.22.
Any action taken by the university in securing or exploiting such trade-
marks, copyrights, or patents shall, within 30 days, be reported in writing
by the president to the Department of State.





Intellectual Property Policy


Appendix II


Regulations of University of Florida
6CI-1.018 Works and Inventions.

(I) For the purposes of this rule, the following defini-
tions shall apply:

(a) "University personnel" shall include full-time and part-time employees of
the University of Florida, including Academic Personnel (AP), Technical,
Executive, Administrative and Managerial Support (TEAMS), Univer-
sity Support Personnel System (USPS), and Other Personnel Services
(OPS) employees; appointees of the University, including certain faculty
members and all volunteers; persons paid by or through the Univer-
sity, including fellows; and anyone working under University auspices.
Students who are encompassed within any of these categories shall be
considered "University personnel."

(b) A "work" shall include any copyrightable material, such as printed mate-
rial, computer software or databases, audio and visual material, circuit
diagrams, architectural and engineering drawings, lectures, musical or
dramatic compositions, choreographic works, and pictorial or graphic
works.

(c) An "invention" shall include any discovery, invention, process, com-
position of matter, article of manufacture, know-how, design, model,
technological development, biological material, strain, variety, culture of
any organism, or portion, modification, translation, or extension of these
items, and any mark used in connection with these items.

(d) A "creator" shall mean a member of University personnel who creates a
work or invention.

(e) "University support" shall include the use of University funds, person-
nel, facilities, equipment, materials, or technological information, and
includes such support provided by other public or private organizations
when it is arranged, administered, or controlled by the University.

(f) "University-supported work" shall mean a work of a creator not made in
the course of "independent efforts." "Independent efforts" with regard to
a work means that the ideas for the work came from the creator, the work
was not made with the use of University support, and the University is
not held responsible for any opinions expressed in the work. Notwith-





University of Florida


standing the foregoing, "University-supported works" do not include
scholarly articles published in journals independent of the University and
theses or dissertations of graduate students.


(2) Works

A work which is made in the course of independent efforts is the property
of the creator. A University-supported work is the property of the University,
and the creator shall share in the proceeds therefrom subject to preexisting
commitments to outside sponsoring agencies. University personnel are re-
quired to disclose promptly, pursuant to the University's Intellectual Property
Policy, all University-supported works, including all instructional works. The
Vice President for Research or the Vice President's designee shall inform the
creator of the University's decision regarding ownership and the University's
legal rights as soon as practicable, but no later than 60 days from receipt of
the complete disclosure of the work. Any University-supported work shall
be handled in accordance with the University's Intellectual Property Policy-
Revised November 16, 2005, which is incorporated herein by reference. The
Work Disclosure form, Revised May 2005, and the Invention Disclosure
form, Revised May 2005, incorporated in the University's Intellectual Prop-
erty Policy are available from the Office of Technology Licensing of the office
of the Vice President for Research. Copies of the University's Intellectual
Property Policy are available from Office of Technology Licensing of the of-
fice of the Vice President for Research.


(3) Inventions

(a) University personnel are required to disclose any invention made or
discovered by them promptly pursuant to the University's Intellectual
Property Policy. All inventions must be disclosed, even those believed by
the creator to be unrelated to his or her University duties and not involv-
ing the use of University support.

(b) An invention which is made in the field or discipline in which the creator
is engaged by the University or made with the use of University support is
the property of the University, and the creator shall share in the proceeds
therefrom subject to preexisting commitments to outside sponsoring
agencies. An invention made outside the field or discipline in which the
creator is engaged by the University and for which no University support
has been used is the property of the creator. In the latter case, however,
the creator and the University may agree that the invention be pursued by
the University and the proceeds shared pursuant to the University's Intel-
lectual Property Policy.





Intellectual Property Policy



(c) The Vice President for Research or the Vice President's designee shall in-
form the creator of the University's decision regarding ownership and the
University's legal rights as soon as practicable, but no later than 120 days
from receipt of the complete disclosure of the invention. Any invention
shall be handled in accordance with the University's Intellectual Property
Policy.


Authority: BOG Resolution dated January 7, 2003
History: New 5-28-80, Formerly 6C1-7.392, Amended 7-15-97,
06-15-99, Formerly 6C1-7.0392, Amended 2-5-03.





University of Florida


Appendix III


Article 18
BORIUFF Collective Bargaining Agreement
Inventions and Works


18.1 University Authority and Responsibilities.

Section 240.229, Florida Statutes, authorizes each university to establish
rules and procedures regarding patents, copyrights, and trademarks. Such
rules and procedures shall be consistent with the terms of this Article.


18.2 Definitions.

The following definitions shall apply in Article 18:

(a) A "work" includes any copyrightable material, such as printed
material, computer software or databases, audio and visual material,
circuit diagrams, architectural and engineering drawings, lectures,
musical or dramatic compositions, choreographic works, pictorial
or graphic works, and sculptural works. Instructional technology
material, as defined in Section 9.8(b), is included in this definition.

(b) An "invention" includes any discovery, invention, process, composi-
tion of matter, article of manufacture, know-how, design, model,
technological development, strain, variety, culture of any organism,
or portion, modification, translation, or extension of these items,
and any mark used in connection with these items. Instructional
technology material, as defined in Section 9.8(b), is included in this
definition.

(c) "Instructional technology material" is defined in Section 9.8(b).

(d) "University support" includes the use of university funds, personnel,
facilities, equipment, materials, or technological information, and
includes such support provided by other public or private organiza-
tions when it is arranged, administered, or controlled by a university.





Intellectual Property Policy


18.3 Works.

(a) Independent Efforts.

A work made in the course of independent efforts is the property of
the employee, who has the right to determine the disposition of such
work and the revenue derived from such work. As used in this Sec-
tion, the term "independent efforts" means that:
-5
5 (1) the ideas came from the employee;

(2) the work was not made with the use of university support; and

(3) the university is not held responsible for any opinions expressed
in the work.

(b) University-Supported Efforts.

(1) If the work was not made in the course of independent efforts,
the work is the property of the university and the employee shall
share in the proceeds therefrom.

(2) Exceptions. The university shall not assert rights to the follow-
ing works:

a. Books, articles, and similar works, the intended purpose of
which is to disseminate the results of academic research or
scholarly study; and

b. Works developed without the use of appreciable university sup-
port and used solely for the purpose of assisting or enhancing
the employee's instructional assignment.

(c) Disclosure.

(1) Upon the creation of a work and prior to any publication,
the employee shall disclose to the President or representative
any work made in the course of university-supported efforts,
together with an outline of the project and the conditions under
which it was done. Consistent with the provisions of Sec-
tion 18.3(b)(2)a., above, employees need not disclose regard-
ing books, articles, and similar works, the intended purpose
of which is to disseminate the results of academic research or
scholarly work.





University of Florida


(2) The President or representative shall assess the relative equities
of the employee and the university in the work.
0-
(3) Within sixty (60) days after such disclosure, the President or
representative will inform the employee whether the university
seeks an interest in the work, and a written agreement shall
thereafter be negotiated to reflect the interests of both parties,
including provisions relating to the equities of the employee and
the allocation of proceeds resulting from such work. Creation,
use, and revision of such works shall also be the subject of the
written agreement between the employee and the university as
well as provisions relating to the use or revision of such works
by persons other than the creator. The employee shall assist the
university in obtaining releases from persons appearing in, or
giving financial or creative support to, the development or use
of these works in which the university has an interest. All such
agreements shall comport with and satisfy any preexisting com-
mitments to outside sponsoring contractors.

(4) The employee and the university shall not commit any act
which would tend to defeat the university's or employee's inter-
est in the work and shall take any necessary steps to protect such
interests.


18.4 Inventions.

(a) Disclosure/University Review.

(1) An employee shall fully and completely disclose to the President
or representative all inventions which the employee develops
or discovers while an employee of the State University System,
together with an outline of the project and the conditions under
which it was done. With respect to inventions made during
the course of approved outside employment, the employee may
delay such disclosure, when necessary to protect the outside
employer's interests, until the decision has been made by the
outside employer whether to seek a patent.

(2) If the university wishes to assert its interest in the invention, the
President or representative shall inform the employee within
120 days of the employee's disclosure to the President or repre-
sentative.





Intellectual Property Policy


(3) The President or representative shall conduct an investigation
which shall assess the respective equities of the employee and
the university in the invention, and determine its importance
and the extent to which the university should be involved in its
protection, development, and promotion.

(4) The President or representative shall inform the employee of the
university's decision regarding the university's interest in the
invention within a reasonable time, not to exceed 135 days from
the date of the disclosure to the President or representative.

(5) The division, between the university and the employee, of
proceeds generated by the licensing or assignment of an inven-
tion shall be negotiated and reflected in a written contract
between the university and the employee. All such agreements
shall comport with and satisfy any preexisting commitments to
outside sponsoring contractors.

(6) The employee shall not commit any act which would tend to
defeat the university's interest in the matter, and the university
shall take any necessary steps to protect such interest.

(b) Independent Efforts.

All inventions made outside the field or discipline in which the em-
ployee is employed by the university and for which no university support
has been used are the property of the employee, who has the right to de-
termine the disposition of such work and revenue derived from such work.
The employee and the President or representative may agree that the patent
for such invention be pursued by the university and the proceeds shared.

(c) University-Supported Efforts.

An invention which is made in the field or discipline in which the
employee is employed by the university, or by using university support,
is the property of the university and the employee shall share in the pro-
ceeds therefrom.

(d) Release of Rights.

(1) In the event a sponsored research contractor has been offered
the option to apply for the patent to an invention or other rights
in an invention, the university will use its good offices in an ef-
fort to obtain the contractor's decision regarding the exercise of
such rights within 120 days.





University of Florida


(2) At any stage of making the patent applications, or in the com-
mercial application of an invention, if it has not otherwise
assigned to a third party the right to pursue its interests, the
President or representative may elect to withdraw from further
involvement in the protection or commercial application of
the invention. At the request of the employee in such case, the
university shall transfer the invention rights to the employee, in
which case the invention shall be the employee's property and
none of the costs incurred by the university or on its behalf shall
be assessed against the employee.

(3) All assignments or releases of inventions, including patent rights,
by the President or representative to the employee shall contain the
provision that such invention, if patented by the employee, shall
be available royalty-free for governmental purposes of the State of
Florida, unless otherwise agreed in writing by the university.

(e) University Policy.

(1) Each university shall have a policy addressing the division of
proceeds between the employee and the university.

(2) Such policy may be the subject of consultation meetings pursu-
ant to Section 2.2.

(f) Execution of Documents.

The university and the employee shall sign an agreement individu-
ally recognizing the terms of this Article.


18.5 Outside Activity.

(a) Although an employee may, in accordance with Article 19, Conflict
of Interest/Outside Activity, engage in outside activity, including
employment, pursuant to a consulting agreement, requirements that
an employee waive the employee's or university's rights to any work
or inventions which arise during the course of such outside activity
must be approved by the President or representative.

(b) An employee who proposes to engage in such outside activity shall
furnish a copy of this Article and the university's patents policy to
the outside employer prior to or at the time a consulting or other
agreement is signed, or if there is no written agreement, before the
employment begins.





Intellectual Property Policy


Appendix IV


University of Florida Policy for Program Support and Royalty Distribu-
tion from Released Cultivars

t I. General

g This University of Florida policy is based on an initiative by the Plant Breed-
ers Working Group and discussion with the Florida Agricultural Experiment
Station (FAES) to provide for program support and payment to individuals. The
Basic philosophy which shaped this policy revolves around the following concepts:


A. Plant Breeding/Development Program Support:

A maximum return of royalty payments will accrue to the support
of the overall plant breeding/development program of UF/IFAS/FAES
emphasizing plant breeding/development projects. The long-term goal
is to insure strong sustainable plant breeding/development programs in
UF/IFAS/FAES.

B. Incentive Based Royalty Distribution:

The distribution of royalties to individuals is incentive based and is
proportional to the commercial success of a given cultivar. This should
encourage more desirable traits in released cultivars which should also
result in better marketability, greater potential returns, and a greater ben-
efit to Florida agriculture. Project leaders involved in seed or vegetatively
propagated plants are treated equally.

C. Reward for Team Effort and Cooperation:

The development of new plant germplasm is often a team effort
composed of traditional breeders, developers, cooperating scientists for
the evaluation of specific traits (such as pest or disease resistance, taste,
nutritional characteristics, etc.), and more recently, molecular genetics.
The distribution of royalties to individual scientists is designed to reward
team efforts and remove disincentives to cooperation in the development
of new cultivars.





University of Florida


D. Utility Patents:

Inventions developed by Experiment Station scientists for which a
utility patent may be applied, such as patentable genes with specific plant
characteristics, will be processed through the University of Florida Office
of Technology Licensing (OTL), and are not covered by this Cultivar
Royalty Policy.

However, OTL will collaborate with FAES in the commercialization
strategy and will, to the extent of sponsorship contracts and other fund-
ing mechanisms, give good faith consideration to the distribution of the
cultivar technology within the State of Florida.

II. Definitions

A. Unit: An administrative and budgetary entity within UF/IFAS such
as departments, research and education centers, program centers and
offices.
B. Program: An organized research plan under which action may be
taken toward a goal. In this case, it refers to a program involving
new or improved cultivar development and release for commercial or
private cultivation. It is generally referred to as a research program
or project. The program is articulated as a CRIS or Experiment
Station project. Due to long-term goals, plant breeding and develop-
ment programs are described in successive projects.
C. Breeders: Experiment Station scientists who engage in plant breed-
ing for the purpose of plant improvement by appropriate genetic
techniques and subsequent testing and selection toward established
objectives.
D. Developers: Experiment Station scientists who are involved in
the process of collecting, identifying, and/or testing, leading to the
introduction of new plant germplasm or cultivars.
E. Cooperator: An Experiment Station scientist who actively and sig-
nificantly assists the breeder or developer in the creation, evaluation,
and/or introduction of a new cultivar. A cooperator may include,
but is not limited to entomologists, nematologists, plant pathologists,
economists, soil scientists, agricultural engineers, and other breeders
or developers.
The UF/IFAS Cultivar Release Policy, IMM 6C1-6.120-6
IFAS: Policy Governing Release, Protection and Introduction of
Plant Material is incorporated in this document by reference.





Intellectual Property Policy


Ill. Royalty Distribution Plan

The distribution of royalties to the individual faculty associated with cultivar/
germplasm releases whether by plant patent, PVP, trademark and/or proprietary
licensing will be based upon the following principles:

A. General Distribution:

Cultivars, germplasm lines or other genetic material generally refer-
enced as cultivars, developed by UF/IFAS/FAES plant breeders, whether
vegetatively propagated or seed propagated, will be patented, protected
by PVP certificates, trademarked and/or proprietary licensed through
the Florida Foundation Seed Producers, Inc. (FFSP), a Direct Support
Organization (DSO) of the University of Florida. Royalties and licens-
ing fees will be assigned to the FFSP. Revenues from exclusive releases
and similar agreements will be handled in a similar manner. The FFSP,
in cooperation with the Director of the Florida Agricultural Experiment
Station, will distribute royalties according to the following schedule:

1. Costs to the FFSP will be deducted before any royalty distribution
begins. Receipts above these costs make up Gross Royalty.

2. Gross Royalty = 100%, which is allocated as follows:

Retained by the FFSP: 10%

Cultivar Development Research Support Program: 70%


Cultivar Release Incentive royalty distribution:


20%





University of Florida


B. Cultivar Development Research Support Program:

The research support program funds will be distributed per culti-
var per year as follows:

1. 100% of the first $50,000 will go to the breeding program that
developed the cultivar.

2. For the next $100,000 or $50,000 $150,000
50% to the program
25% to the Unit(s) and
25% to the FAES

3. For all revenues above $150,000
33 1/3% to the program
33 1/3% to the Unit(s) and
33 1/3% to the FAES
4. Active continuing plant breeding and/or development programs will
receive program support according to the above schedule. Resources
will be provided from FFSP to the Director of the FAES for distribu-
tion. In consultation with the unit leader and the Chair of the UF/
IFAS Plant Breeders Working Group, the Director will distribute
funds to the projects of the breeder/developer and in consultation
with the faculty to breeder/developer designated cooperators.

5. It is FAES policy to maximize program support to the total UF/
IFAS plant breeding/development effort to insure long-term support
and sustainability and will use these funds for this purpose.

6. Further, in the event of personnel changes or reassignments, the
FAES Director, in consultation with the unit leader, will redirect the
resources to similar, successor, or new Florida Agricultural Experi-
ment Station breeding/development programs.

A report of this disbursement will be provided to the Chair of the
UF/IFAS Plant Breeders Working Group annually.





Intellectual Property Policy


C. The Cultivar Release Incentive Royalty Distribution:

1. The payment will be calculated as 20 percent of the annual royalty
receipts from a given cultivar for the period ending June 30 of each
year. The royalty payment would be made in December of each
eligible year by FFSP. These payments are not salary. Thus, it would
not be used to calculate average salary for the purposes of retirement,
nor would it affect normal annual adjustments appropriated by the
Florida Legislature and recommended by appropriate University
administration.

2. All Experiment Station scientists (faculty) who made a substantial
contribution to the development of the release (generally defined as
those personnel who may be listed on the cultivar release document,
patent, PVP, trademark and/or proprietary license, if applicable)
would be eligible for an annual royalty payment. The amount of the
payment would be in proportion to the percentage contribution as
defined in Section IV, A-E or as agreed to by all parties prior to the
release of the cultivar.

3. FFSP will establish a Cultivar Release Royalty Distribution Account
for each cultivar released through the Florida Agricultural Experi-
ment Station (FAES) in accordance with the UF/IFAS Cultivar
Release Policy.

4. The royalty funds from the distribution account will be transferred
from the FFSP to the faculty member. If the individual does not de-
sire to receive a personal royalty distribution payment, the FFSP will
direct the accumulated funds due to the individual to the individ-
ual's FAES research program in addition to the program support
described above. However, this decision must be made in writing
before any distribution is made to the Royalty Distribution Account.

5. The maximum amount of any annual payment to any single indi-
vidual or primary breeder/developer would be 20% of the total gross
royalty flow per release minus licensing/patenting costs. The faculty
member will be personally responsible for applicable Federal income
tax liability. The 20% royalty pool will be divided based upon the
number of shares to which the individuals are entitled. A single
breeder/developer with no cooperators will be eligible for the entire
annual royalty pool. In the event of more than one primary breeder/
developer, each will be granted a full share of the annual royalty pool
for the specific cultivar. Each cooperator will be granted a one-half





University of Florida


share of the royalty pool. See Section IV for specific examples. If
the faculty which participated in the development of a given cultivar
are no longer eligible to receive the royalty flow, those funds will
revert to the Director of the FAES for use in the support of other
breeding or cultivar development programs.

6. The maximum annual individual distributions for a given cultivar
will be based on the above formula (Section III, C, 5). However, if
the cultivar development team wishes to develop a different distribu-
tion within these maximums among themselves prior to release of
the cultivar, it may be requested and approved by the Director of the
Florida Agricultural Experiment Station (FAES). In the event of
disagreement among the development team, the above (Section III,
C, 5) distribution will apply. The Director may appoint, at his/her
discretion, a panel of three to five peers (consisting of breeders,
developers, and/or cooperators), an appropriate Department Chair
and a Research and Education Center Director to arbitrate disputes
among peers. However, it is expected that distribution will be
worked out by colleagues prior to the introduction of a cultivar.

7. This royalty distribution plan is developed as an incentive program
for UF/IFAS/FAES faculty only. In the event of the departure of
a faculty member for other employment, the royalty distribution
will cease to the departing faculty member after payment of funds
generated in the fiscal year of departure. In the event of death of
the faculty member, no further distributions will be made to the
estate, except the annual distribution for the fiscal year in which the
death occurred. In the case of retirement and being named Emeri-
tus status, the payment will continue based on the criteria in this
document. Further, if the Emeritus faculty remains active in the
UF/IFAS plant breeding and cultivar release program, he or she may
be designated cooperators or in some cases, as the breeder/developer.
In case of dispute, the Director may appoint a panel of three to five
peers to arbitrate as described earlier in this document.

The royalty distribution, upon adoption, is for both existing culti-
vars as well as future cultivars released by the Florida Agricultural
Experiment Station and assigned to the Direct Support Organiza-
tion, Florida Foundation Seed Producers, Inc. where a royalty flow
exists.





Intellectual Property Policy


IV. Specific Royalty Distribution Examples

The following are provided as examples of the distribution plan for the maxi-
mum level of individual royalties to be awarded from the annual 20% royalty
pool:

Annual royalty flow for a given year equals $100,000. Therefore, annual
royalty pool equals $20,000 or 20%. Thus:

A: Single Breeder/Developer (B/D) with no Cooperators (1 share)
1 share = $20,000
Total = $20,000

B: Two Breeders/Developers as equal partners: 1 share each
1 share = $10,000 each
Total = $20,000

C. Single Breeder/Developer (1 share) with one Cooperator
(1/2 share) = 1.5 shares total:
1 share = $13,333 B/D
/2 share = $ 6,666 Coop
Total = $20,000

D. Single Breeder/Developer (1 share) with three Cooperators
(1/2 share each) = 2.5 shares total:
1 share = $ 8,000 B/D
1/2 share $ 4,000 each Coop
Total = $20,000

E. Two Breeders/Developers (1 share each) with two Cooperators
(1/2 share each) = 3 shares total
1 share = $ 6,666 each B/D
/2 share = $ 3,333 each Coop
Total = $20,000

F. Two Breeders/Developers with three Cooperators who choose to
share equally (1 share each) = 5 shares
1 share = $ 4,000 each
Total= $20,000






University of Florida


Appendix V




INTELLECTUAL PROPERTY AGREEMENT

During my employment by, appointment with, and/or affiliation with the University of Florida, I
may discover, invent, or create work products that may be copyrighted, trademarked or patented.
I understand and agree that, because of my employment, appointment, and/or affiliation, the
University has a valid interest in all such matters whether they be writings, designs, productions,
inventions, discoveries or developments, conceived and/or made by me during any period of University
employment, appointment, and/or affiliation, as well as any related copyrights, trademarks or patent rights,
actual or potential.
As a term of my employment, appointment, and/or affiliation, I understand and agree that the
University shall own and hold any such inventions, discoveries, or any other material that may be patented
or trademarked in accordance with a determination made by the University which shall take into account
the relative contributions made by me and the University, the extent to which University resources and
J .. .. ....I J J I.. .. ... .I. .. .I. .. .. .. L oII. .. .. .. .. II.IJ.. .... iI.. ...I ....' .r
..I .1 ..I 1 ,.. ... I .I.I....1.. I. ,l, ii I, I. [ I.,...I i..i.... ..I ,. i 1 i..I i ty
I J1 ,l l ..1, 1. I ..1 .I I.. 1 Il.l.. ., ,, ... ,ll.l,,1 .. [ I,,, I. I ,.1 I ._ II I1 II.
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.I,, I II,, I II, I ...I. h I.,_ ,, I .il. ., ., M.1 ..r ,. 1.. ..1 .. II Ii. .1' .1
a [' "- ,_ *..I.. ,oa t, .I l. .h
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-I,, l, '. ,, l, I. ,II. .,, I. .I Ih I Ii ., II .., ,l1l h ,I.I. ..II h I.. _. ,, .
i ., ...., I ..I i[i. i. i I ., I II,,I I [ ,,,, ,,...I ,, ,,. ,, _1. 1 1.. '-' I

I II. h ., ,I ... .il ..h


SIGNED DATE

State of Florida, County of

The foregoing instrument was acknowledged before me this by who is
personally known to me or who has produced as identification and who did take
an oath.

(Signature) Notary, Certificate No.

(Name Typed)


Find this form at http://www.rgp.ufl.edu/otl/info4faculty.html







Intellectual Property Policy






Appendix VI



University of Florida Outside Activities and Financial

Interests Report


University of Floda
Instructions for Completing the Disclosure of
Outside Act-~ites and Fhnancal Interests Form


The University of Florida is committed, within the laws of the State, to assist faculty and staff members in their pursuit of education, research and service through
the university duties Faculty and staff members may also engage i outs de activities which provide service to the commumty andvnerease proiess~inal reputat ons
or m eome Whenever a question, or appearance of conflt, could ase between the employee s obhgation to the University and any actvity, the employee is expected
to report the situation to the supermsor ior dscusslon and. required as set forth below, to provide a report disclosing the formation prior to engaging in the
actvty The ad str aton is responsible for reew ng each dsclose to deterne If the actlv is per Ied, not permitted, or If there are conditions necessy to
manage, reduce or ehnmnate the conflicts or potential confcts before the actlinty can be permitted

n addition to completing the statement regarding activities and tinaneal interests on the annual employment contract an annual disclosure should be submaned
at the begnnmg of each acade-me year or other annual appointment for each existmg outside actlinty or inanal interest A supplemental closure shouldbe
subnmtted at such time as there Is a sigmicant change in an activnty or cinanal u interest (nature extent, funding etc) or before a new outside actv ty or financial

University System The employee should still be aware of and deal with the confit ofInterest consider-atons that may rse from the latter a rct~it es

An employees faole to report aedt iltes or inancial interests under the Un verstys rle or the appable collect ive bargaining agoeenient or to follow any conditions
Imposed pursuant to the Umverstys approval of su -es ornterests ay be groundfor dsphna aton Sch tons m ay include, but ar e not h ted
to reprnmand, ine. reduction in salary, change of assignment, prohibition of outside activities, suspension without pay. andtermlnatlon for cause If an activty or
inert has not been properly disclosed, the employee may be required to disclose thte actvty or mterest in all subsequent presentations and pubhcatons of research


Repollmg

















i an
entity in which the employee has a financial interest

g Pofessonal compensated actmtles, Includmng but not hm-ted to, actvtles for which honoraria beyond actual travel expenses are paid. teaching at another
institution, or employment as an expert witness (Note The University's reportmg form for exf a state compensation will fulfill the reporting for such
compensated actrtIes mhm the University and uth other state agencies)

h Busmess acrtvtes, mnludngselv ce on the board of directors or other management interests or position, with regd to a business entity the same
d-scphne or fieldin which the faculty or staff member is employed

Any employment, contractual relationship, or inanal interests of the employee which may create a contmumng or recurnng conflict between the
employees Interests and the performance of the employee s pubhc responsibhtles and obhgatons, mcluding t-me commitment This includes any outside
ctlvty in which the employee is required to waive rights to ntellectual property

Outside act~ites and financial interests required to be reported under federal contact and grant regulations Such dslosures may also need to be made
at the tme of the submsson of the proposal

k Outside -act~ites (employment. consulting, management and other contactual actlintes) and inanal interests in a company that supports the
employee s research or tramng actmtges in any way

2 if not others required to be reported as stated above, acttles which the employee should reasonably conclude ay create an actual or apparent confit of
interest. mcluding a conflict of tme commitments. must be reported and approved as soon as practicable

Afirmation

The signature on the completed dsclosure form afirms and cert ifes an understanding of and comphance uth the Umversty s pohces on conflict of interest, outside
artvltes and inan -al interests as well as the completeness and accuracy of the responses Inform iatlon on the Umverstys gu~idehnes and procedures may be
obtained from your academic or admimstrative units and are located on the web at htto //rep ufl eduld/researchloutside actlivt-es html1









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University of Florida




Appendix VII






UF#
CONFIDENTIAL
INVENTION DISCLOSURE

OFFICE OF TECHNOLOGY LICENSING
University of Florida

I. Introduction

This Confidential Invention Disclosure Form is used to disclose an invention as required under University of
Florida Intellectual Property Policy If copyrightable material must be disclosed, the disclosure should be on the
form entitled "Work Disclosure." An invention disclosure should be made when something new and useful has
been conceived or developed, or when unusual, unexpected, or unobvious research results have been achieved
and can be utilized. An invention includes any discovery, new and useful process, composition of matter, article
of manufacture, know-how, design, model, technological development, biological material, strain, variety,
( ,,II., .,. I ... ... .... ... ... (. .~,, .... ..... h h ..... I. ... I ..... ... I ., .... .. I I1, .. ,I m ...r ,






(. i in t in i.



II 1I1I' I OI III' 01 1I\ I \1 1<>1

1 11 111
C ...... I .h Ih 1 .,,











B. CONCISE DESCRIPTION OF THE INVENTION

1. The disclosure should enable someone having knowledge of the field to understand the technical merits
of the invention, its usefulness and possible practice applications Include essential elements (features,
concepts, or new results of the invention, whichever is most applicable), their relationship to one another,
and their mode of operation Identify the elements that are considered novel (Attach additional sheets as
necessary )



2. Please list KEYWORDS that would help someone searching for this technology to locate it easily




3. If the invention is an apparatus or system, attach drawings or a sketch and indicate if it has ever been built
or tested Use additional pages, attach drawings, manuscripts, papers, or other supporting material to
facilitate understanding the invention Attach any data which shows that the invention works







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Find this form at http://www.rgp.ufl.edu/otl/






Intellectual Property Policy


Appendix VIII


WORK DISCLOSURE

OFFICE OF TECHNOLOGY LICENSING
University of Florida

I. Purpose and Format of Work Disclosure Form

This form is used to disclose a University-supported workss, generally, copyrightable materials,
as required under University of Florida Rule 6C1-1.018, F.A.C. (explained in the University of
Florida Intellectual Property Policy). (Inventions should be disclosed on the form entitled "Invention
Disclosure.") All questions are important so please respond to each of them even if the answer is "none"
or "not applicable". If more space is needed, feel free to use additional sheets. For any questions
regarding this form, please call the office at (352) 392-8929.

II. Disclosure ofWork(s)


Title:


(short descril 1. 11 i


B B riefly describe the ... i ... I..I... ili 1 .I. 1. .1 II. r. ... 1 I .: -... ...I 11. .I .. ..I
(expected) com pletic ... 1l ...... .I .. I ... .. .....i r,,, i., r--, .: **** ....... i ....... I: ,,i-.,,,



III .,,rr.. i 1I

I, ~ r1 .1 I I ,1,1. .... I ... .1i. .1 i used in the development of the workss.


S I, ... ..1 .......I


Total hours


4.

Total costs:



B. If any of the University support described above was through a grant or contract,
please provide the following information for each such contract or grant:

Name
Grant/Contract#
Address
City, State, Zip
P.I. Name
Grant/Contract Title

What was the percentage of contribution to the work through this contract/grant?


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