Handbook of Operating Procedures

I.政策和一般性声明

答：概述

德克萨斯大学系统（“ UT系统”）摄政委员会（“董事会”）和德克萨斯大学休斯顿大学健康科学中心（“大学”）鼓励知识产权发展，以增强研究，奖学金，教学和发现beplay苹果手机能用吗为了公众的最大利益，创作者和研究赞助商。beplay苹果手机能用吗该政策还旨在促进《 Bayh-Dole法案》（美国法典第35条第200章，seq。）的目标，以鼓励使用联邦（例如NIH，NIH，NSF，NASA，DOD）资金开发的技术报告和商业化。

Intellectual property either developed within the course and scope of university employment of the individual or resulting from activities performed on UT System time, or with support of State funds, or from using facilities or resources owned by the UT System or any of its universities (other than incidental use) is automatically owned by the Board. The course and scope of employment includes outside activities related to the employee’s area of expertise. Final decisions regarding ownership of intellectual property developed in connection with outside employment will be made by the President or his/her designee. Employees who engage in outside activities must adhere to the procedures outlined inHOOP Policy 20 Conflict of Interest and Outside Activities。

All matters relating to the ownership and reporting of intellectual property, the commercialization of intellectual property and the distribution of income from intellectual property are governed by the UT System Board of Regents’条款和规则(“Regents’ Rules”)90101, Intellectual Property, Preamble, Scope, Authority。

B.范围

这种知识产权政策适用于(1)ll persons employed by the university, including but not limited to full and part-time faculty and staff and visiting faculty members and researchers and (2) to anyone using the facilities or resources of the university, including but not limited to students, residents, participants in certificate programs or collaboration programs, or postdoctoral and predoctoral fellows. All individuals subject to this policy assign their rights in intellectual property included under this policy (see Section 3 below) in accordance with the provisions of Regents’ Rule90101, Intellectual Property, Preamble, Scope, Authority。

All university employees, non-employees who use university facilities, visiting faculty members and researchers and those persons who are hired or funded contractually by the university to perform certain activities or services, unless otherwise exempted by the Regents’规则, shall disclose and do hereby assign all rights, interest and title to the Board for all intellectual property discovered or invented during the time employed, funded or using the facilities as specified in accordance with Regents’ Rule90101, Intellectual Property, Preamble, Scope, Authority。

Individuals subject to this Policy who create such intellectual property must promptly execute and deliver all documents and other instruments as are reasonably necessary in the university’s discretion to reflect the Board’s ownership of such intellectual property, including for purposes of satisfying requirements of the United States Patent and Trademark Office or other patent registrars. A creator of intellectual property owned by the Board has no independent right or authority to convey, assign, encumber or license such intellectual property to any entity other than the Board.

The Board will not assert an ownership interest in the copyright of scholarly or educational materials, artworks, musical compositions, and literary works related to the author's professional field regardless of the medium of expression, unless the work is commissioned by the university or the Board as a work made for hire, designated as a university project, or assigned to the university by the creators. The Board encourages such creators to manage their copyrights in accordance with the guidelines concerning management and marketing of copyrighted works (https://www.utsystem.edu/offices/general-counsel/intellectual-property) consistent with applicable university policies. Creators with questions regarding ownership of scholarly works should contact the university’sOffice of Technology Management（“ OTM”）。

As reasonably required for the limited purpose of continuing a university scheduled course offering, the Board and university retain for one year following the loss of an instructor’s services, a fully paid-up, royalty-free, nonexclusive worldwide license to use, copy, distribute, display, perform and create derivative works of materials prepared by the instructor for use in teaching such course (including lectures, lecture notes, syllabi, study guides, bibliographies, visual aids, images, diagrams, multimedia presentations, examinations, web-ready content and educational software).

beplay苹果手机能用吗雇员创建的研究数据或结果归董事会所有，除了董事会合同分配或许可此类研究数据的权利外，创作者应拥有非判定性的许可证，可以使用此类数据为其使用此类数据/她的非营利性教育，研究和学术目的在其工作范围内，但要遵beplay苹果手机能用吗守本政策的其他规定和董事’ Rules。

II. DEFINITIONS

“知识产权”包括所有类型的知识产权，包括但不限于任何发明，发现，创建，专有技术，商业秘密，技术，科学或技术发展，研究数据，作者身份和计算机软件，无论是否受专利保护是否受到保护beplay苹果手机能用吗，商标，版权或其他法律。

“Equity”被定义为包括股票，获得股票的权利或企业的所有权权益。

“关键员工”包括但不限于所有者，经理，董事，董事会成员或顾问委员会成员。

iii。程序

The OTM coordinates and assists in securing available protection for Board and university owned intellectual property and pursues development and commercialization of such intellectual property as appropriate. Such efforts are provided by either an OTM staff, through a related foundation or entity, or through other means.

A. Reporting Intellectual Property

一旦创造者认为他/她有一个新的发现，创建和/或发明，包括软件，应立即将知识产权报告给OTM。Technology Report Form(“TRF”).

TRF是由创建者编写的法律文件，该文件解释了发现或创建的内容，或者创造了什么学术工作，赞助了工作以及是否已披露或计划出版或公开演讲。对于获得专利的发明，完成的TRF应清楚地表明知识产权与现有已发表材料相比，知识产权的新的，有用和不明显的财产。即使不是大学员工，也应在TRF中列出所有知识产权的创作者。

Publicly disclosing the details of one’s intellectual property during a technical presentation in a public forum (seminar or conference) could affect patent protection. This topic is explained in theOTM手册。鼓励创造者与任何,移动电话stions prior to any such presentations.

B.评估知识产权

When OTM receives a reasonably complete and detailed TRF (as determined by the OTM), OTM will evaluate the TRF to determine the Board’s ownership interest in and rights to the intellectual property, appropriate protection (i.e., patent, copyright or research tool), commercial potential, market interest and technical merit. OTM will regularly and promptly communicate with the creators during this decision-making process.

As necessary and appropriate, OTM may consult with members of the faculty or other experts to evaluate the TRF for technical merit and to comment on the commercial potential, marketability and competitive advantages of the technology. Following initial evaluation of the TRF, OTM will make a recommendation that may include the following:

• Hold the disclosure for more information or research data from the creators;
• Seek protection (patent or copyright) on behalf of the university and Board;
• 寻求研究赞助商或被beplay苹果手机能用吗许可人。潜在的被许可人可能包括有兴趣使用或商业化技术的现有或新的创业公司；和/或，，
• 许可或向创作者释放一些或全部权利。按照摄政’ Rules，OTM将在总统决定后的20个工作日内将大学的决定通知创作者。（请参阅下面的E节）。

TRFs which OTM considers promising but are either incomplete or have insufficient information for submission of a patent application, or for which there is insufficient current interest, may be held by OTM for future pursuit. OTM will notify the creator, hold the intellectual property and monitor its development with the aim of protecting and/or licensing the invention when it has developed sufficiently. Creators must update OTM on further developments in a timely fashion.

C. Commercializing Intellectual Property

当大学决定申请知识产权保护时，OTM将与德克萨斯州检察长批准的外部法律顾问和UT系统的总法律顾问进行协调，以获得适当的保护。该大学承担了申请知识产权保护的费用。OTM在对他们的发现专利做出决定时，将适当考虑创作者的评论和建议，并将他们在专利起诉期间向他们宣布有关专利策略的决定。创建者必须在整个过程中协助，以确保获得最强的知识产权保护。

In those instances where the Board asserts its ownership interest in intellectual property, OTM will determine what course of action to follow to realize the greatest potential for the Board’s intellectual property.

OTM negotiates and administers all transactions relating to intellectual property owned by the Board for and on behalf of the university. Such arrangements may include, but are not limited to, confidential disclosure agreements, material transfer agreements, joint ownership agreements, inter-institutional agreements, option agreements and license agreements (exclusive or non-exclusive). All such agreements must: (1) include unrestricted publication rights for the university and its creator, (2) fully indemnify the Board, university and its creators and (3) include other normal and customary provisions.

D. Distribution of Income from Intellectual Property Agreements

1. Non-Equity Transactions

Intellectual property agreements may yield a variety of different financial payments, which may include, but are not limited to, up-front license fees, milestone payments and royalties (“Consideration”). All such Consideration is received by OTM, which will maintain accounts documenting intellectual property expenses, income and disbursement. Licensing income will be distributed according to the university’s policy as detailed below.

Before disbursing licensing Consideration, OTM will deduct the expenses that the university has incurred to protect, manage, market and commercialize the intellectual property. Additionally, OTM may withhold a portion of the licensing income to cover future expense obligations. The net consideration received by the university, excluding equity, will be shared between the university and the creators according to the following formula:

• 50 percent -- creators
• 5％ - 创作者的学校
• 5％ - 创作者部门，部门（或同等学历）
• 5％ - 创作者的实验室（IES）
• 35％ - 技术管理办公室

根据签署的创作者的特许权使用费共享协议或TRF中规定的百分比，将净收入的百分之五十（50％）分配给创造者或多个创造者。如果没有单独的签名分配，则根据创建者总数，将使用Pro Rata公式进行分配，除非总统另有规定确定适当的分配。实验室份额仅分配给创作者的实验室，在创作者仍然是大学员工的期间。如果创作者离开大学，则创作者的实验室份额将由OTM保留。

A creator may disclaim his/her interest in income from the intellectual property, in which case university shall receive the creator’s share and shall decide, in its sole discretion, if, how and when to disburse such income.

In the event that no school or department is clearly involved in the original development, OTM will suggest a division consistent with the intention of the division shown above. The final decision will rest with the President.

2. 基于权益的交易

In agreements with business entities relating to rights in intellectual property owned by the Board, the university may receive equity interests as partial or total compensation for the rights conveyed (Regents’ Rule90101, Intellectual Property, Preamble, Scope, Authority). In any such instance, the President may elect, at his/her option, to share an equity interest, dividend income or the proceeds of the sale of an equity interest with the creator(s) in the same manner as royalties are shared pursuant to Regents’Rule90101, Intellectual Property, Preamble, Scope, Authority。在这种情况下，可以以创造者的名义发行权益。董事会通过大学还可以在商业实体中获得股权利益，以考虑大学作为商业实体的创始人或联合创始人的角色，并且不得有义务与创作者（“大学股权”）共享此类股权利益（“大学股权”）。董事会除了接收许可或特许权使用费以外，董事会还可以接受私人或公开企业的权益。此类许可活动应按照摄政王进行’ Rules, the university’s Conflict of Interest Policy and other relevant university policies and guidelines. Where applicable, university representation on a company board of directors will be determined and appointed by the President subject to the Regents’ Rules。A member of OTM will be assigned observation rights to a company’s board of directors if such rights are included in the license agreement.

该大学的员工受孕，创建，发现，发明或发展知识产权可能会亲自在与研究，开发，许可或开发该知识产权有关的UT系统达成协议的企业实体中拥有股权利益。beplay苹果手机能用吗has an executed conflict of interest management plan with the university and such plan fully complies with the university’s conflict of interest policies and guidelines. The university may, but shall not be obligated to, negotiate an equity interest on behalf of any employee as a part of an agreement between UT System and a business entity relating to the Board’s intellectual property.

3. 股权处理和销售

大学权益的股票证书将以董事会的名义颁发，并由德克萨斯大学投资管理办公室持有和管理。在总统或高级执行副总裁，首席经营和财务官批准交易之后，该大学可能会出售大学股权。

4. Distribution of Proceeds from the Sale of University Equity

Proceeds from the sale of university equity will be distributed as follows:

• 25％ - 创作者的实验室（IES）*
• 25％ - OTM专利基金
• 25％ - 新企业基金（OTM托管基金）
• 25 percent -- Pioneer Fund (OTM managed fund).

*If a creator is no longer operating a laboratory at the university, the proceeds from the sale of equity attributable to that creator's laboratory shall be evenly divided among the remaining three funds.

除了上述基于股权的许可交易的要求外，以下内容还必须由大学完成和批准。任何创建者都打算作为公司和/或公司中的权益参与到公司的关键雇员。

• 参与的贡献者必须同意并签署由利益冲突委员会制定和批准的冲突管理计划，并由行政副校长和总法律顾问办公室批准。合并文件，包括章程，注册权利协议，股东协议和订阅协议，并在适用的情况下，必须获得大学公司顾问外的可转换需求协议或期票，并与OTM和法律事务办公室持有。
• 对于新的创业公司，必须将资本化图表存档，其中OTM显示在与大学执行许可协议时，所有参与者发行的股票数量和所有参与者的百分比所有权。

E.释放知识产权

When the university decides to release or license the invention to a creator, the following guidelines must be followed.

除非法律禁止，合同义务或其他要求，当大学决定不主张其在知识产权上的所有权时，该建议已由总统批准，并向UT系统提供通知，并向UT系统提供给总顾问的UT系统办公室这种知识产权将被告知大学将向他/她释放或许可知识产权。如果由创作者书面要求，则将准备释放或许可文件，供创作者签名和执行。如果大学决定放弃悬而未决的专利申请，则首先提出将专利申请释放回创作者，但要遵守以下发布规定。如果知识产权创建和/或发展由私人或联邦资源资助，则此类发行或任务将符合此类资金来源的相关政策。

文件发布或许可知识支撑erty rights to the creators must include as a condition of the university to release or license: (1) provisions for the university to recover patent and licensing expenses; (2) provisions for the university to retain certain income rights; and (3) a nonexclusive license to the UT System and any of its universities and academic collaborators to use the released intellectual property for patient care, teaching, scholarly and other academically related purposes and nonprofit research. Such documents may include other limitations or obligations in addition to those set forth above. If a patent application has not been filed for the intellectual property, the university may require that the creators file an application on the invention with the U.S. Patent and Trademark Office within a specified period of time. As stated above, when intellectual property rights are released to the creators, the creators must pay the university a percentage of the income he/she makes from commercializing his/her released intellectual property (“University Income from Released Intellectual Property”). This University Income from Released Intellectual Property shall not be considered royalty and shall not be subject to any distribution to the creators or their laboratories, but shall be subject to the distribution policy specified above for sale of equity.

IV. CONTACTS

• • Office of Technology Management
  • 713-500-3369
  • uthsch-otm@uth.tmc.edu
  • //www.tjghsg.com/otm/

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