University Agenda

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CONGREGATION 4 November

Degree by Special Resolution

The following special resolution will be deemed to be approved at noon on 4 November, unless by that time the Registrar has received notice in writing from two or more members of Congregation under the provisions of Tit. II, Sect. vi, cl. 6 (Statutes, 1995, p. 13) that they wish the resolution to be put to a meeting of Congregation.

Text of Special Resolution

That the Degree of Master of Arts be conferred upon the following:

PETER DONALD MCDONALD, MA status, D.PHIL., St Hugh's College

BENT NIELSEN, Nuffield College

HOWARD WILLIAM SMITH, M.PHIL., Oriel College

AMY BETH ZAVATSKY, MA status, D.PHIL., St Edmund Hall

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CONGREGATION 19 November 2 p.m.

¶ A Guide to Procedures in Congregation, including the statutory arrangements for giving notice of opposition to items on the agenda, is printed at pp. 1074-81 of Examination Decrees, 1996, and at pp. 19-28 of Statutes, 1995. A member of Congregation seeking advice on questions relating to procedures in Congregation, other than elections, should contact the Senior Assistant Registrar responsible as indicated in the University's Internal Telephone Directory (currently Mr D.M.M. Hall, telephone: (2)70236); questions relating to elections should be addressed to the Head Clerk (currently Mr P.W. Moss, telephone: (2)70190).

Promulgation of Statutes

Explanatory note to Statute (1)

A number of members of Congregation have suggested that it would be helpful if, when elections in Congregation are held in future (namely, to Council, the General Board, and a number of other university bodies), information were made available to the electors, both about the individual candidates and about the functions of the bodies to which the elections were being held. Similar suggestions were made in para. 508 of the recent report to the Commission of Inquiry by Coopers & Lybrand on the governance of the University. Council has approved this idea, on the understanding that the information about the candidates should be strictly factual, describing their present position and relevant activities within the University and elsewhere, and should not include any statements of intent or quasi-political `platforms'.

There is, however, a practical problem, in that the present statutory timetable does not allow enough time for the publication in the Gazette of biographical information about each candidate between the final closing date for nominations and the date of the election. Council accordingly promotes the following statute to make the closing dates for two-member and six-member nominations one week earlier in each case than at present. If the statute is approved, the timetable for elections which are held on the normal date of the Thursday of Fifth Week will be as set out below.

Thursday of `Noughth' Week. First publication in the Gazette of the invitation of nominations. This will include a brief description of the functions of each committee or other body concerned, and will be reprinted in the Gazette in First and Second Weeks. (The statute prescribes a minimum of twenty-eight days' notice, viz. the Thursday of First Week, rather than thirty-five, but it is the intention that notice should always in normal circumstances be published one week earlier than the statutory latest date, in the same way as at present notice is given on the Thursday of First Week rather than the latest possible date of Thursday of Second Week.)

Monday of Second Week (4 p.m.). Closing date for two-member nominations.

Thursday of Second Week. Publication in the Gazette of two-member nominations (without biographical information).

Monday of Third Week (4 p.m.). Closing date for six-member nominations.

Thursday of Third Week. Publication in the Gazette of six-member nominations (without biographical information).

Thursday of Fourth Week. Publication in the Gazette of all nominations, together with biographical information about each candidate.

Friday of Fourth Week (at the latest). Voting papers sent out to members of Congregation.

Thursday of Fifth Week (4 p.m.). Closing date for the return of completed voting papers.

At least one of the nominations in respect of each candidate will have to be made on an official form (obtainable from the Head Clerk, in the University Offices), countersigned by the candidate, setting out the candidate's biographical details. In order to ensure the equitable treatment of all candidates, the publication of the details so provided will be at the Vice-Chancellor's discretion.

(1) Whereas it is expedient to change the periods of notice required by the procedure for elections in Congregation, THE UNIVERSITY ENACTS AS FOLLOWS.

1 In Tit. II, Sect. IX, cl. 1, concerning the minimum notice of elections in Congregation (Statutes, 1995, p. 14), delete `twenty-one days' ' and substitute `twenty-eight days' '.

2 Ibid., cl. 4 (a), concerning the closing date for two-member nominations (p. 15), delete `seventeenth day' and substitute `twenty-fourth day'.

3 Ibid., concerning the closing date for six-member nominations, delete `tenth day' and substitute `seventeenth day'.

4 Ibid., cl. 4 (b), concerning nominations, after `times above prescribed,' insert `and in such form as shall be prescribed by the Vice-Chancellor,'.

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Explanatory note to Statute (2)

The following statute, and the decree to be made by Council if the statute is approved, which are promoted on the recommendation of the General Board's Review Committee for the University Museum and with the support of the Board, change the name of the University Museum to Oxford University Museum of Natural History, and make consequential amendments to the museum's name elsewhere in the University's legislation.

(2) WHEREAS it is expedient that the name of the University Museum should be changed to Oxford University Museum of Natural History, THE UNIVERSITY ENACTS AS FOLLOWS.

In Tit. VIII, Sect. VI, cl. 1 (Statutes, 1995, p. 62), after `Committee for the Scientific Collections in the' delete `University Museum' and substitute `Oxford University Museum of Natural History'.

Decree to be made by Council if the Statute is approved

In Ch. III, Sect. III, § 4, cl. 4 (6), concerning the Pitt Rivers Museum (Statutes, 1995, p. 250), Sect. LVII, cl. 1 (6), (7), concerning the Committee for the Museums and Scientific Collections (p. 306), and Sect. LXXI, title and cl. 1, concerning the Committee for the Scientific Collections in the University Museum (p. 317), Ch. VII, Sect. IV, § 3, cl. 3 (v), concerning university lecturers (p. 491), and Ch. XI, Sect. V, § 16, item [17], concerning the Science Departments (p. 713), § 18, item [3], concerning the University Parks (p. 713), and Sect. X, Appendix, concerning harassment (p. 729), in each case delete `University Museum' and substitute `Oxford University Museum of Natural History'.

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Explanatory note to Statute (3)

In Trinity Term 1986 Council and the General Board set up a committee to consider, inter alia, the University's future policy on all aspects of intellectual property (including copyright in books and other copyrightable material). The committee reported to Council and the Board in Michaelmas Term 1989. Its main conclusions, which were adopted by both Council and the Board, were twofold:

(a) first, the committee took the view that in principle intellectual property rights should vest in the University, not in its employees and its students as under the existing policy;

(b) secondly, the committee took the view that no distinction should be made between different forms of intellectual property (for example, between inventions of equipment, devices, and computer software), except that ownership of copyright in books, unless specifically commissioned by the University, should not be claimed.

Following the decision to adopt the policy, extensive discussions about the policy and its implementation took place with many groups in the University. In the light of these discussions, both Council and the General Board reaffirmed the new policy, but felt that it was important for the policy itself to be clearly stated in the University's legislation. To this end, a new Title X of the Statutes was enacted in Trinity Term 1995 (Gazette, Vol. 125, pp. 1075, 1274; see now Statutes, 1995, pp. 73–6).

Para. 8 of the explanatory note to the new Title X stated, `Council intends to make a decree (as specified in the final clause of the statute) which will set out the procedures for the commercial exploitation of intellectual property.' It was recognised, however, that the procedures adopted might require amendment in the light of the conclusions reached by the ongoing review of technology transfer arrangements under the chairmanship of the President of Wolfson. In addition comments were sought and received from a number of parties within the University and from Counsel regarding the wording of the new legislation.

The Technology Transfer Arrangements Committee having now reported and comments from such parties having been received, the text of Section IV of Title X of the University's Statutes, as amended in Trinity Term 1995, has been revised to clarify various points of detail, and a new section has been drafted (for addition to Title XIV, `Of Other Matters which require to be governed by Statute') to provide expressly that (as was always made clear) the University's intellectual property policy covers students as well as employees, agents, and appointees.

Council accordingly now promotes the following legislation, which sets out the arrangements which shall apply (subject to the preservation of vested interests) in respect of intellectual property generated by employees, agents, or appointees of the University with effect from 1 July 1995 and by students with effect from 1 September 1995. If the statute is approved, Council will make the accompanying decree, which will set out the procedures for the commercial exploitation of such intellectual property.

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(3) WHEREAS it is expedient for certain changes to be made to the legislation governing intellectual property generated within the University, THE UNIVERSITY ENACTS AS FOLLOWS.

1 In Tit. X (Statutes, 1995, p. 76), delete Sect. IV and substitute:

`Section IV. Of Intellectual Property

1. Subject to clause 2 below and to the provisions of the Patents Act 1977, and unless otherwise agreed in writing between the person concerned and the University, the University claims ownership of the following forms of intellectual property; in the case of (c), (d), (e), and (f) the claims are to inventions made, and works created, by staff in the course of their employment by the University, and by persons engaged by the University under contracts for services who work on research projects:

(a) works generated by computer hardware or software owned or operated by the University;

(b) films, videos, and multi-media productions made with the aid of university facilities;

(c) patentable and non-patentable inventions;

(d) university-commissioned works;

(e) computer software, firmware, and related material not within (a), (b), (c), or (d), but only if it may reasonably be considered to possess commercial potential;

(f) registered and unregistered designs and topographies.

2. Notwithstanding clause 1 above, the University shall not assert any claim to the ownership of copyright in books, articles, lectures, and other similar works apart from those specifically commissioned by the University, or in computer-related works other than those specified in clause 1 above.

3. "Commissioned works" for the purpose of clauses 1 and 2 above are works which the University has specifically called upon the person concerned to produce, whether in return for special payment or not. However, save as separately agreed between the University Press and the person concerned, works commissioned by the University Press in the course of its publishing business shall not be regarded as "works commissioned by the University".

4. The provisions of this section shall apply to the holder of any contract of employment or contract for services which was accepted on or after 1 July 1995 by the person concerned, provided that they shall not apply to any person who, having been appointed to a post for a limited term before that date and being eligible for reappointment to the same post, was or is so reappointed on or after that date.

5. The policy set out above shall be administered in accordance with procedures which shall be determined from time to time by Council by decree.'

2 In Tit. XIV (Statutes, 1995, p. 112), insert new Sect. VI as follows and renumber existing Sect. VI as Sect. VII:

`Section VI. Of Intellectual Property generated by Junior Members

1. Subject to clause 2 below and to the provisions of the Patents Act 1977, and unless otherwise agreed in writing between the student concerned and the University, the University claims ownership of the following forms of intellectual property; in the case of (c), (d), (e), and (f) the claims are to inventions made, and works created, by students in the course of or incidentally to their studies:

(a) works generated by computer hardware or software owned or operated by the University;

(b) films, videos, and multi-media productions made with the aid of university facilities;

(c) patentable and non-patentable inventions;

(d) university-commissioned works;

(e) computer software, firmware, and related material not within (a), (b), (c), or (d), but only if it may reasonably be considered to possess commercial potential;

(f) registered and unregistered designs and topographies.

2. Notwithstanding clause 1 above, the University shall not assert any claim to the ownership of copyright in books, articles, lectures, and other similar works apart from those specifically commissioned by the University, or in computer-related works other than those specified in clause 1 above.

3. "Commissioned works" for the purpose of clauses 1 and 2 above are works which the University has specifically called upon the student concerned to produce, whether in return for special payment or not. However, save as may be separately agreed between the University Press and the student concerned, works commissioned by the University Press in the course of its publishing business shall not be regarded as "works commissioned by the University".

4. Students shall sign any documents necessary in order to give effect to the claim made by the University in clause 1 above; and shall waive any rights in respect of the subject-matter of the claim which may be conferred on them by Chapter IV of Part 1 of the Copyright, Designs and Patents Act 1988.

5. The provisions of this section shall apply to any student beginning any course of studies (including research) on or after 1 September 1995.

6. The policy set out above shall be administered in accordance with procedures which shall be determined from time to time by Council by decree.'

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Decree to be made by Council if the Statute is approved

1 In Ch. VIII (Statutes, 1995, p. 522), insert new Sect. XI as follows and renumber existing Sect. XI (as inserted by Supplement (3) to Gazette No. 4408, 22 July 1996, p. 1409) as Sect. XII:

`Section XI. Procedures for the Administration of the University's Intellectual Property Policy

1. Where any person who is subject to the provisions of Tit. X, Sect. IV or of Tit. XIV, Sect. VI (such person being hereinafter referred to as –researcher–) creates intellectual property[1] which, in his or her opinion, is capable of commercial exploitation, he or she shall report its existence to the Head of Department (or equivalent) and to the Registrar. The next step shall depend upon the source of funding:

(a) Isis Innovation Limited ("Isis") shall be responsible for the exploitation of research funded with research council grants the conditions of which do not require the assignment of intellectual property to the research council or its nominee, or to industrial collaborators;

(b) whenever the conditions of research council grants do include such a requirement, and whenever there is a similar requirement in an agreement for research sponsored by some other party, the research council, industrial collaborator, or sponsor shall be given the responsibility for exploitation;

(c) in all other cases, the University's preferred route to exploitation is through Isis, but a researcher who wishes to exploit the intellectual property by some other means may do so, subject to receiving permission from the General Board. Approval shall be granted only if the alternative means of exploitation result in a reasonable return to the University from royalties or equity or other means of sharing profits which may accrue[2].

2. Whenever exploitation is entrusted to Isis, the Managing Director of that company shall be consulted at an early stage.

3. In the event of a disagreement concerning the ownership of the intellectual property, which cannot be resolved between the researcher and the University, the matter shall be referred to an independent expert to be agreed between the researcher and the University. If such agreement is not reached within thirty days, the independent expert shall be a barrister specialising in intellectual property law, who shall be nominated for the purpose by the then Chairman of the General Council of the Bar. The expert's fee shall be paid by the University, but shall constitute a first charge on any profits which may accrue, whether to the researcher or to Isis or the University, whichever party or parties is or are held by the expert to be the owner of the intellectual property. In the interpretation of the University's Intellectual Property Policy, the expressions `in the course of employment' and `generated by computer' are to be ascribed the meanings given to them in the Copyright, Designs and Patents Act 1988[3].

4. Where it is decided to seek exploitation of intellectual property to which the University lays claim, discussions between interested parties shall be held to determine the appropriate action to be taken. This may include one or more of the following:

(a) the retention of confidentiality and strict avoidance of prior disclosure;

(b) the filing of a UK patent application in the name of Isis or the University, with the researcher as named inventor;

(c) the identification of potential licensees;

(d) the assignment of the rights to Isis and/or to a third party;

(e) the formation of a company to exploit the technology.

5. Notwithstanding paragraph (a) of clause 4 above, Isis and the University may on a confidential basis consult appropriate experts in the field of the intellectual property in question, in order to assist with the assessment of innovation and its commercial potential.

6. Where it is decided to seek exploitation, the researcher shall provide reasonable assistance in the exploitation process by, for example, promptly assigning his or her rights to Isis and/or a third party specified by the University, providing information promptly upon request, attending meetings with potential licensees, and advising on further development.

7. Whenever exploitation is entrusted to Isis, revenue received as a result of the exploitation of any item of intellectual property after meeting any professional fees and expenses, and any other costs necessarily incurred in protecting the intellectual property and negotiating the arrangements for exploitation, shall be distributed as follows:

Total aggregate
receipts
Researcher(s) General Fund Department Isis
Up to £30k 85% 10% [4] 0% 5%
From £30K and up to £300K 45% 20% 20% 15%
From £300K and up to £3,000K 22.5% 26.25% 26.25% 25%

In other cases (unless alternative distribution arrangements are approved by the General Board) the distribution shall be:

Total aggregate
receipts
Researcher(s) General Fund Department
Up to £30k 85% 12.5% [4] 2.5%
From £30K and up to £300K 45% 30% 25%
From £300K and up to £3,000K 22.5% 40% 37.5%

If the aggregate receipts exceed £3m, the distribution of the excess shall be subject to negotiation.

The researcher's entitlement shall continue to be paid to him or her should he or she leave the University; and in the event of the researcher's death, the entitlement shall continue for the benefit of his or her estate.

8. If (exceptionally) development of the intellectual property has received a contribution from a college's resources, appropriate ad hoc adjustments to the normal distribution pattern shall be made by the University and the college concerned. The policy shall not affect any right which colleges may have in terms of intellectual property generated by their employees in the course of their college employment.

9. Where more than one researcher is involved, the distribution of their share of the income between themselves shall be a matter for them to determine; save that where there is failure to agree, the distribution of income shall be prescribed by the Vice- Chancellor, taking into account each individual's contribution.'

2 This decree shall be effective from 1 July 1995.

Footnotes

1. In these procedures the term "intellectual property" refers to the items detailed in Tit. X, Sect. IV, cl. 1 and Tit. XIV, Sect VI, cl. 1, and to any associated know-how and information.
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2. Members of the University who wish to seek approval from the General Board are asked to contact the Director of the Research and Commercial Services Office in the first instance.
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3. An explanatory note is available from the Research and Commercial Services Office.
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4. Ten per cent to fund National Insurance contributions.
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