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SENATE: From the Senate Office
Proposed Policy Relating to Copyrights and Commitment of
Effort for Faculty
Proposed Revisions to the Handbook for Faculty and Academic
Administrators
(Deletions in brackets; insertions underlined)
Adopted by the Senate Executive Committee
November 8, 2000
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 [of the authors] 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. [It is recommended that whenever authors transfer interests
in copyrightable works, they should secure for the University the right
to reproduce such copyrightable works, free of royalties, for use in instruction.]
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. [The Trustees of the University of Pennsylvania
declare that if necessary to fulfill its obligations to a sponsor,] 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 [assignment] 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 [assignment] 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 [such] 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 [faculty,] 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 made for hire" are those works that are prepared
by the author pursuant to the express direction of a supervisor, or pursuant
to specific provisions incorporated within a position description, or pursuant
to part of the requirements of an academic degree.] 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.
[to the academic administrative department or unit supporting the creation
of such work, except that the Center for Technology Transfer shall be entitled
to recover its out-of-pocket expenses and any previously negotiated service
fee not to exceed 20% of gross revenue. Such net revenues shall be used
in the fulfillment of the research, academic, or administrative mission
of the department or unit.]
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. [In the event that a copyrightable work may also be
defined as materials in the Patent and Tangible Research Property Policy
and Procedures, the source of commercial income, i.e. whether it is derived
from a patent or copyright license, shall determine whether a particular
intellectual property falls under the provisions of the University's Patent
Policy or Copyright Policy.] 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.
V.E.3. Audio-Visual 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 [Related Procedures] 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 [President] 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.
Additional Definitions
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
work.
Authors: The University faculty [emeritus faculty, visiting faculty,
scientists or others, adjunct faculty, post-doctoral employees, or other
employees, or students,] 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
microprocessor chips.
Almanac, Vol. 47, No. 12, November 14, 2000
| FRONT
PAGE | CONTENTS
| JOB-OPS
| CRIMESTATS
| SENATE: Proposed Policy: Copyrights & Commitment of Effort for Faculty | PENN LAW: Sesquicentennial
| BENCHMARKS: Law School History | PENNs WAY 2001: Week 2 | TALK
ABOUT TEACHING ARCHIVE | BETWEEN
ISSUES | NOVEMBER at PENN
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