The following Policy Relating to Copyrights and Commitment of Effort
for Faculty was approved by the University Trustees at their stated meeting
on February 16, 2001. The policy appeared in Almanac for Comment
5, 2000, was subsequently considered by the Senate Committee on the
Faculty, and adopted
by the Senate Executive Committee on November 8, 2000. Developed by
a committee jointly appointed by the Faculty Senate and the Provost, the
new policy supercedes the University's existing policy on software that
appears in the Handbook for Faculty and Academic Administrators and
supplements the current Policy on Conflict of Interest. It became effective
February 16, 2001.
Policy Relating to Copyrights and Commitment of Effort
V.E. Policy Relating to Copyrights and Commitment of Effort for Faculty
V.E.1. Policy Statement on Copyrights. The
Trustees of the University of Pennsylvania, subject to the exceptions declared
in Sections V.E.1.a., V.E.1.b. and V.E.1.c. affirm the academic custom that
creators of intellectual property own the copyright to works resulting from
their research, teaching and writing and have the individual right to apply
for, own all right, title and interest to, enforce, profit by and transfer
to other parties, such as publishers, copyrights in their works under the
laws of the United States and other jurisdictions. Computer software and
courseware (the tools and technologies used to present courses), to the
extent not protected by patent law, are governed by this policy. With respect
to works such as journal articles and other similar publications, when an
author transfers an interest in these copyrightable works, the author should
use reasonable efforts to secure for the University the right to reproduce
such works, royalty free, for all traditional, customary or reasonable academic
uses. With respect to computer software and courseware, the University shall
enjoy a permanent, non-exclusive, royalty free license to make all traditional,
customary or reasonable academic uses of these works.
V.E.1.a. Sponsored Research. Exceptions to this custom may arise
when works are made under government sponsored research, industry sponsored
research, and certain grants in which the University assumes specific obligations
with respect to a copyrightable work resulting from a given sponsored program.
To the extent necessary, where the sponsored program agreement provides
that the sponsor will acquire rights to copyrightable works produced under
the program, the University will own all right, title and interest to the
copyrightable works created under such sponsored programs.
V.E.1.a.1. In accordance with such obligations, the University
will use reasonable efforts to secure an acknowledgment from the authors
of the copyrightable work prior to the commencement of the sponsored program.
Authors who are also principal investigators and have responsibility for
other authors will use reasonable efforts to secure acknowledgment from
said authors prior to the commencement of the sponsored program.
V.E.1.a.2. The University shall negotiate a license with the
sponsor in accordance with applicable provisions of the sponsored research
agreement. Net revenues realized from said sponsored research agreements
will be distributed in accordance with the procedures for the distribution
of patent royalties described in Section 2.3 of the Patent and Tangible
Research Property Policies and Procedures, except that the 17.5% research
foundation share and the 5% intellectual property fund share will be maintained
as a copyright fund share. The copyright fund will be administered by the
Office of the Provost to support the development of pedagogical innovation.
When negotiating sponsored research agreements, to the extent that University
ownership is not necessary to fulfill its obligations to a sponsor the
University shall, whenever practicable, make reasonable efforts to protect
the ownership rights of the authors.
V.E.1.b. Works Made for Hire. Exceptions to this custom also
arise when authors create works considered to be "works made for hire."
Such works are the property of the University. For purposes of this policy,
"works for hire" are those works that are prepared by the author
pursuant to the express direction of a supervisor, prepared pursuant to
the specific provisions incorporated within a position description, or
prepared in the performance of any administrative duty. Works created by
authors in the course of their instructional or research activities shall
not be considered "works made for hire."
V.E.1.b.1. Prior to the preparation of the "work made for
hire," the University may request, and if so the authors shall provide,
an assignment or other declaration of the University's ownership of that
work. Authors who are also principal investigators and have responsibility
for other authors will secure assignments from said authors prior to the
preparation of a "work made for hire." Failure to secure assignment
does not negate the University's ownership of the work. In the event of
subsequent disagreement over ownership of a "work made for hire,"
the case shall be referred to the committee noted in V.E.4.b.
V.E.1.b.2. Net revenues realized from the commercialization of
"works made for hire" will be distributed as in V.E.1.a.2.
V.E.1.b.3. The University will have the authority to waive the
"work for hire" claim where it judges that doing so is in the
interest of the University.
V.E.1.c. Exceptions to this policy arise when the faculty create
works that make substantial use of the services of University non-faculty
employees or University resources. When such support is provided the works
produced shall belong to the University unless there is explicit agreement
otherwise. The faculty member(s) and the units providing such support shall
agree in writing on the ownership of such works prior to the provision
of the support. Notwithstanding the above, the faculty member(s) may subsequently
petition the University to waive its ownership. The determining official
for this action is the Provost, or at the Provost's designation, the Dean
of the School in which the faculty member has his or her (their) primary
appointment(s) (or the Provost in the case where a Dean is the creator).
In the event of subsequent disagreement over the use of University resources
in the creation of a work, the case shall be referred to the committee
noted in V.E.4.b.
V.E.1.c.1. The reference to "substantial use of the services
of University non-faculty employees or University resources" means
the use of University funds, facilities, equipment, or other resources
significantly in excess of the norm for educational and research purposes
in the department or school in which the creator(s) hold his or her (their)
primary appointment(s). Academic year salary, office, usual library resources,
usual secretarial and administrative staff resources or usual computer
equipment, among other things, are not regarded as constituting "substantial
use of services of University non-faculty employees or University resources."
Any question about what constitutes substantial resources should be referred
to the committee noted in V.E.4.b.
V.E.1.c.2. Net revenues realized from the commercialization of
such works will be distributed as in V.E.1.a.2.
V.E.1.d. A given intellectual property may be protected in some
cases inclusively by United States patent, copyright and trademark laws,
and in some cases by only one or two such intellectual property laws, with
each body of law protecting a different feature of the given intellectual
property. Consequently, definitions in the Patent and Tangible Research
Property Policies and Procedures and the Copyright Policy and Procedures
will at times overlap. When a single license agreement incorporates more
than one type of intellectual property protection, prior to the execution
of said license agreement, a written agreement shall be executed by the
University and the authors stipulating which University intellectual property
policy is applicable.
V.E.2. Commitment of Effort (See also Conflict
of Interest policy). A full-time faculty member's primary commitment in
teaching and research is to the University of Pennsylvania. Any substantial
teaching carried out in another setting, regardless of medium, for which
students receive academic credit, must receive prior approval of the faculty
member's Dean. Any teaching, research or other activity in which the faculty
member's department or school is actively engaged will presumptively claim
the faculty member's primary effort, and carrying out these activities in
another setting will also require a specific release from such commitment
by the Dean. The Dean and Faculty of each school should decide upon those
academic activities (currently engaged in or reasonably likely to be engaged
in by the school in the foreseeable future) other than teaching and research
that are subject to the above restrictions.
Works. Any videotapes or other recordings of classes or courses intended
for students at the University of Pennsylvania belong to the University
and may not be further distributed without permission from the appropriate
school Dean. Such audio-visual works may not be used commercially without
the permission of everyone who appears in the final program.
V.E.3.a. This policy is not intended to apply to audio-visual
works or recordings that have a specific short term use such as videotapes
of lectures by job candidates, audio-visual works used to provide an alternative
lecture when students may miss class because of a religious holiday, or
audio-visual works used in teacher development programs.
V.E.3.b. Net revenues realized from the commercialization of
audio-visual works and recordings using other media will be distributed
as in V.E.1.a.2.
V.E.4. Procedures for
the Administration and Management of Copyrightable Works
V.E.4.a. Periodic Review of Policy. The Policy Statement on Copyrights
and Commitment of Effort shall be reviewed on a periodic basis by a review
committee appointed by the Provost in consultation with the Faculty Senate
to determine whether it is accomplishing its intended purposes; is in conformity
with federal and state laws, including intellectual property laws; and,
is consistent with prevailing norms in university-industry relationships.
The review committee shall make recommendations to the Provost who shall
confer with the President.
V.E.4.b. The Provost and Faculty Senate jointly shall annually
appoint a faculty committee to resolve any disputes involving the interpretation
or administration of the Policy Statement on Copyright and Commitment of
Effort. The committee may, through procedures of its own design, review,
mediate, and decide any such dispute brought before it. The Intellectual
Property Officer shall provide staff support for the committee. Any decision
of the committee may be appealed to the Provost, who will make a final
decision for the University.
V.E.5. This policy does not preclude a faculty
member's access to appeal mechanisms, such as the Committee on Academic
Freedom and Responsibility, Faculty Grievance Procedure, or the Provost.
Assignment: In addition to Section 4.0.3 of the Patent and Tangible
Research Property Policies and Procedures, the execution of a formal document
which transfers the right, title and interest of an author of a copyrightable
Authors: The University faculty who would be considered authors
under copyright laws of the United States and other jurisdictions, for such
works as books, journals, articles, text, administrative reports, studies
or models, glossaries, bibliographies, study guides, instructional materials,
laboratory manuals, syllabi, tests, proposals, lectures, musical or dramatic
compositions, films, film strips, charts, transparencies, video or audio
recordings or broadcast, computer software, CD ROMS, circuitry, microprocessor
designs and other works that may be copyrightable under laws of the United
States and other jurisdictions. In the context of computer software, for
purposes of this policy, authorship refers to those persons who conceive
and make significant intellectual contributions to the development of such
computer software, as well as to those persons who author source code, object
codes, masks, patterns and the like who would be considered authors under
the copyright laws of the United States and other jurisdictions.
Copyrightable Work: A work fixed in tangible medium that may be
copyrightable under laws of the United States and other jurisdictions.
Computer Software: The source code and the object code, and related
documentation, of computer programs and designs of computer circuitry and
Almanac, Vol. 47, No. 24, February 27, 2001
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