1. Student Innovation | Ownership of Student Developed Inventions at UM

2. Introduction UM Patent Policy Student Rights in an Invention Who is Considered an “Employee”? When are Students University “Employees”? When Would the University Claim Ownership? Intro FAQs Test Your Knowledge For More Info Student Innovation | Introduction

3. UM Patent Policy (CR&R 100.020) The ownership of rights in inventions developed by a student enrolled at a campus of the University of Missouri System is governed primarily by Collected Rule and Regulation (“CR&R”) 100.020 – the “Patent Policy.” Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

4. UM Patent Policy (CR&R 100.020) The information provided herein is designed to assist with questions about intellectual property for student-developed inventions, but it is not a substitute for the University’s Collected Rules & Regulations. The Collected Rules & Regulations supersede any interpretations given herein. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

5. Students may be: Employees of the University Ownership is governed by CR&R 100.020 Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

6. Students may be: Employees of the University Non-employees of the University Class projects, student competitions, extracurricular activities, free time Ownership is governed by CR&R 100.020 Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

7. Students may be: Employees of the University Non-employees of the University Graduate or undergraduate students Ownership is governed by CR&R 100.020 Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

8. Ownership is governed by CR&R 100.020 Co-ownership between the student and the University would occur if a University faculty member or other employee is a named inventor along with a student. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

9. Ownership rights in inventions developed by students CR&R 100.020.C.2 and 100.020.D.6 Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

10. Students will be entitled to own any Invention or Plant Variety made during their enrollment as a student of the University except when the student meets the definition of “Employee” and the invention or plant variety was developed in the course of the student-employee’s service to the University. Ownership rights in inventions Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

11. Who is considered an “Employee” under the University’s Patent Policy CR&R 100.020.C.2? Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

12. Under UM Patent Policy CR&R 100.020.C2, “Employee” shall mean: 1.Any person receiving compensation from the University for services rendered, regardless of whether the employee be full-time or part-time, or Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

13. Under UM Patent Policy CR&R 100.020.C2, “Employee” shall mean: 2.Any person receiving compensation paid through the University from any funds in its hand for distribution, or Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

14. Under UM Patent Policy CR&R 100.020.C2, “Employee” shall mean: 3.Any person that has voluntarily elected to enter into a written agreement with the University in exchange for the University’s agreement to treat such person as an “Employee” for purposes of this policy. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

15. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info Under UM Patent Policy, compensation is key to determining whether an individual is an “Employee.” So, as it relates to students, what is considered compensation ?

16. Compensation does not include student financial aid including, but not limited to, scholarships, grants, loans, tuition waivers and educational fee reductions generally available to University students and unrelated to any provision of services by the student to the University. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

17. Compensation does include the receipt of a stipend for performing research, working in a laboratory, or creating computer software. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

18. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info Students receiving compensation for services rendered to the University that are unrelated to research, investigation or the creation of computer software are not “Employees.”

19. The University will not claim ownership when: The Invention or Plant Variety was developed by a student as part of a University class project using no greater University resources that those generally available to all other students within the class or than those available to the student as part of his/her enrollment with the University. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

20. The University will not claim ownership when: The Invention or Plant Variety was developed by a student as part of a University approved student competition using no greater resources than those generally available to all other students within the competition or than those available to the student as part of his/her enrollment with the University. Prize ≠ Compensation Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

21. The University will not claim ownership when: The Invention or Plant Variety was developed by a student as part of a University approved extracurricular activity using no greater resources than those generally available to all other students participating in the activity or than those available to the student as part of his/her enrollment with the University. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

22. The University will not claim ownership when: The Invention or Plant Variety was developed by a student on his/her own free time, outside of any University class or sponsored activity, and using no greater University resources than those generally available to all other students as part of their enrollment with the University. Student Innovation | Introduction Intro FAQs Test Your Knowledge For More Info

23. Frequently Asked Questions Class Projects Extracurricular Activities Assigning to the University Determining Ownership Student Innovation | FAQs Intro FAQs Test Your Knowledge For More Info

24. Frequently Asked Questions Class Projects Extracurricular Activities Assigning to the University Determining Ownership Student Innovation | FAQs Intro FAQs Test Your Knowledge For More Info

25. Student Innovation | FAQs Intro FAQs Test Your Knowledge For More Info Who owns an invention that a student develops in a for-credit course that the student is taking? QUESTION Answer on next slide…

26. Student Innovation | FAQs Intro FAQs Test Your Knowledge For More Info Unless otherwise agreed to in writing, the intellectual property associated with that invention belongs to the student. This is the case no matter who paid for the course (e.g., the student received a scholarship for the course). ANSWER

27. QUESTION Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Who owns the invention if an unpaid graduate student develops it as part of a thesis or a for- credit seminar having a research component? Answer on next slide…

28. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Unless otherwise agreed to in writing, the intellectual property associated with that invention belongs to the student. This is the case no matter who paid for the course (e.g., the student received a scholarship for the course). ANSWER

29. QUESTION Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Answer on next slide… Who owns an invention developed as part of a for-credit course involving a project that is either: > Externally Sponsored, for example… a project involving a problem submitted by a company that includes confidential info, or a project funded by a company that wants to own or license the resulting IP > or Internally Funded by the University? Capstone courses or other real-world classroom experiential opportunities {

30. Intro FAQs Test Your Knowledge For More Info Absent other facts (e.g., a written agreement to the contrary), the student owns the IP. Students are not required to/have a choice whether to participate in a project or activity that requires licensing or assignment of his/her IP to the University or an outside party. A student’s grade and/or evaluations of performance in the course will not be affected by the student’s decision. Student Innovation | FAQs Faculty: Contact your TTO for appropriate forms. ANSWER

31. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Answer on next slide… What should a student/faculty member do if a sponsor asks the student to sign a non- disclosure and/or non-compete agreement? QUESTION

32. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Faculty: Contact your TTO for assistance. > Students should carefully review the terms of any agreement prior to signing and may want to seek legal advice. > Faculty members are encouraged, but not obligated, to refrain from permitting an external sponsor to ask students to sign over-reaching NDAs or non-compete provisions. ANSWER

33. Frequently Asked Questions Class Projects Extracurricular Activities Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs

34. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Answer on next slide… An invention is developed by a student who works on a project to gain “real-world” experience: In a University lab Without compensation Outside of the classroom (extracurricular) On his/her own free time Who owns the invention? QUESTION

35. Intro FAQs Test Your Knowledge For More Info Unless there is a written agreement to the contrary, the student owns the invention. If the student is paid for the work involving research or investigation or the creation of computer software, the student is an “Employee” and the University may assert ownership. Student Innovation | FAQs ANSWER

36. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Answer on next slide… What happens if a student works in a University laboratory outside of class on his/her own free time to gain “real-world” experience and develops an invention, but the research being performed in the lab is federally funded? QUESTION

37. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs The faculty member should either: Ensure all students working on the research are paid such that they are “Employees” and will be required to assign their rights to the University, or Ensure that any unpaid students enter into a written agreement with the University to be treated as an “Employee.” Faculty: Contact your TTO for appropriate forms. ANSWER

38. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Answer on next slide… What happens if a student works in a University laboratory outside of class on his/her own free time to gain “real-world” experience and develops an invention, but the research being performed in the lab is funded by an industry sponsor? QUESTION

39. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Because the typical industry sponsored research agreement requires the University to grant certain IP rights to the sponsor, unpaid students should not work on such research without proper agreements in place. ANSWER

40. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Answer on next slide… How should faculty members ensure that the University owns any inventions developed as part of government-funded or industry-sponsored research if a student works in the lab to gain “real-world” experience? QUESTION

41. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Faculty should contact the TTO for appropriate forms. ANSWER The faculty member should either: Ensure all students working on the research are paid such that they are “Employees” and will be required to assign their rights to the University, or Ensure that any unpaid students enter into a written agreement with the University to be treated as an “Employee.”

42. Frequently Asked Questions Class Projects Extracurricular Activities Assigning to the University Determining Ownership Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs

43. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Answer on next slide… If a student develops an invention that he/she owns, can the student voluntarily assign his/her rights to the University and be treated like an Employee? QUESTION

44. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Yes. However, the University has the sole discretion to decide whether to accept such assignment. ANSWER

45. Frequently Asked Questions Class Projects Extracurricular Activities Assigning to the University Determining Ownership Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs

46. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs Answer on next slide… Who decides whether the University will assert ownership in a student-developed invention? QUESTION

47. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs The University’s current practice is to vest this determination with the UM System Executive Vice President for Academic Affairs (EVPAA). The EVPAA considers the recommendation from the Director of the campus TTO. The campus TTO makes an initial ownership determination. If the TTO and student agree as to the ownership, a request for approval is sent to the EVPAA. ANSWER

48. Intro FAQs Test Your Knowledge For More Info However, in the event of an ownership dispute, the matter will be referred as shown on the following slide. Student Innovation | FAQs ANSWER

49. The University of Missouri System President will make the final determination. President The Patent Committee will make a recommendation to the UM President Patent Committee Student Innovation | FAQs If agreement is not reached, the matter will be referred to the Patent Committee Patent Administrator If agreement is not reached, the matter will be referred to the Patent Administrator Campus TTO

50. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs How can a request be made for the University to make an express determination that it will not assert ownership in an invention developed by a student? Answer on next slide… QUESTION

51. Intro FAQs Test Your Knowledge For More Info Student Innovation | FAQs The student may fill out a request form that is available from the campus technology transfer office (TTO). ANSWER

52. Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge It’s Time to Test Your Knowledge!

53. A STUDENT and a RESIDENT ADVISOR (a student who is paid by the University) jointly invent a new bunk bed design working in the STUDENT’S dorm. Who owns the invention? Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge A B C D The STUDENT only The STUDENT & the RESIDENT ADVISOR The UNIVERSITY The UNIVERSITY, STUDENT & RESIDENT ADVISOR Question 1

54. Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge A STUDENT and a RESIDENT ADVISOR (a student who is paid by the University) jointly invent a new bunk bed design working in the STUDENT’S dorm. Who owns the invention? A B C D The STUDENT only The STUDENT & the RESIDENT ADVISOR The UNIVERSITY The UNIVERSITY, STUDENT & RESIDENT ADVISOR Answer 1

55. A B C D As part of a medicinal chemistry lab course, a STUDENT independently creates a novel chemical compound useful in treating Multiple Sclerosis. The STUDENT’s research is not directed by his medicinal chemistry PROFESSOR. However, sometimes the STUDENT seeks guidance from this PROFESSOR, who does research in that area, in connection with research methodology. Who owns the invention? Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge The STUDENT The STUDENT and the PROFESSOR The UNIVERSITY The UNIVERSITY and the STUDENT None of these answers is correct E Question 2

56. Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge The STUDENT The STUDENT and the PROFESSOR The UNIVERSITY The UNIVERSITY and the STUDENT None of these answers is correct A As part of a medicinal chemistry lab course, a STUDENT independently creates a novel chemical compound useful in treating Multiple Sclerosis. The STUDENT’s research is not directed by his medicinal chemistry PROFESSOR. However, sometimes the STUDENT seeks guidance from this PROFESSOR, who does research in that area, in connection with research methodology. Who owns the invention? B C DE Answer 2

57. As a result of a medicinal chemistry lab course, a STUDENT and her medicinal chemistry PROFESSOR, who does research in that area, jointly invent a novel chemical compound useful in treating a herpes virus. Who owns the invention? Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge A B C D The STUDENT The STUDENT and the PROFESSOR The UNIVERSITY The UNIVERSITY and the STUDENT None of these answers is correct E Question 3

58. Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge A B C D The STUDENT The STUDENT and the PROFESSOR The UNIVERSITY The UNIVERSITY and the STUDENT None of these answers is correct E As a result of a medicinal chemistry lab course, a STUDENT and their medicinal chemistry PROFESSOR, who does research in that area, jointly invent a novel chemical compound useful in treating a herpes virus. Who owns the invention? Answer 3

59. Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge A B C D Contact the campus TTO as early as possible Give all students enrolled in the capstone class the option to participate either in Company ABC’s project or in another project Obtain written agreements from all students participating in Company ABC’s project regarding invention ownership All of these answers are correct A STUDENT is enrolled in an engineering capstone class. Company ABC wants the students in that class to develop and test a new concrete formula. Company ABC provides $50k to the University to help develop the formula under an agreement with the University. What should the faculty member do? Question 4

60. Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge Contact the campus TTO as early as possible Give all students enrolled in the capstone class the option to participate either in Company ABC’s project or in another project Obtain written agreements from all students participating in Company ABC’s project regarding invention ownership All of these answers are correct A STUDENT is enrolled in an engineering capstone class. Company ABC wants the students in that class to develop and test a new concrete formula. Company ABC provides $50k to the University to help develop the formula under an agreement with the University. What should the faculty member do? A B C D Answer 4

61. Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge A B C D Have the University hire the STUDENT to perform the research Obtain a written agreement from the STUDENT so that the STUDENT is treated like an “Employee” under the Patent Policy Neither answer A nor answer B Either answer A or answer B A FACULTY MEMBER is synthesizing new chemical compounds for treating Multiple Sclerosis with funding from the NIH. The FACULTY MEMBER invites an undergraduate STUDENT to observe and work on the project outside of class. What should the faculty member do? Question 5

62. Intro FAQs Test Your Knowledge For More Info Student Innovation | Test Your Knowledge A B C D Have the University hire the STUDENT to perform the research Obtain a written agreement from the STUDENT so that the STUDENT is treated like an “Employee” under the Patent Policy Neither answer A nor answer B Either answer A or answer B A FACULTY MEMBER is synthesizing new chemical compounds for treating Multiple Sclerosis with funding from the NIH. The FACULTY MEMBER invites an undergraduate STUDENT to observe and work on the project outside of class. What should the faculty member do? Answer 5

63. For More Information Campus Technology Transfer Offices (TTOs) Links to More Information Intro FAQs Test Your Knowledge For More Info Student Innovation | For More Information

64. Campus Technology Transfer Offices (TTOs) Intro FAQs Test Your Knowledge For More Info University of Missouri–Columbia Office of Technology Management & Industry Relations 1601 S. Providence Road, suite 124 Columbia, MO 65211 Director: Chris Fender fenderc@missouri.edufenderc@missouri.edu Missouri University of Science & Technology Office of Technology Transfer and Economic Development 900 Innovation Drive, Suite 145 Rolla, MO 6540 Director: Keith Strassner kdstrass@mst.edukdstrass@mst.edu Student Innovation | For More Information

65. Campus Technology Transfer Offices (TTOs) Intro FAQs Test Your Knowledge For More Info University of Missouri–Kansas City Office of Technology Transfer 4747 Troost Ave., Room 120 Kansas City, MO 64110 Director: James Brazeal brazealj@umkc.edubrazealj@umkc.edu University of Missouri–St. Louis Office of Technology Transfer and Economic Development 341 Woods Hall, 1 University Blvd. St. Louis, MO 63121 Director: Tamara Wilgers wilgerst@umsl.eduwilgerst@umsl.edu Student Innovation | For More Information

66. Intro FAQs Test Your Knowledge For More Info > UM Patent Policy umsystem.edu/ums/rules/collected_rules/business/ch1 00/100.020_patent_and_plant_variety_regulations > IP Ownership Guidelines and FAQs umsystem.edu/ums/aa/oipa/studentip-faqs Student Innovation | For More Information Links to More Information

67. Thank You! NOTE: The information provided herein is designed to assist with questions about intellectual property for student-developed inventions but it is not a substitute for the university’s Collected Rules & Regulations. The Collected Rules & Regulations supersedes any interpretations given herein. University of Missouri System Columbia | Kansas City | Rolla | St. Louis