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NORTHWESTERN UNIVERSITY COPYRIGHT POLICY
POLICY SUMMARY (click here for PDF version) NOTE: This text provides a summary of the main provisions of the Copyright Policy. For a full understanding of the policy and its details, please refer to the policy itself or contact the policy administrator. This policy is effective September 1, 2006. A. Members of the Northwestern academic community (faculty, researchers, teachers, artists, and students of all sorts) own the copyright to all their works—except when a third-party agreement disposes the copyright elsewhere, or when the creator produces work for Northwestern in an administrative capacity, or in those rare cases where s/he explicitly enters into a signed agreement with Northwestern. Works are defined as any product of research, teaching, or artistic labor. Creators must make a good faith effort to share with Northwestern without charge on a non-exclusive basis those works created during the time of their membership in the Northwestern community. B. If the creator has made a traditional work (no matter what its media of distribution), or a work of art or music generated by computer, the creator not only owns the copyright, but also the right to any and all revenue generated by the work and all its derivatives. C. If the creator has made a non-traditional work (defined as a new computer application), then the creator owns the copyright (unless the work was supported by an external grant to Northwestern prohibiting transfer to the creator). S/he also has the right to freely and openly distribute the work and to any and all revenue generated by the work and all its derivatives, EXCEPT under either one of the following two conditions:
D. The policy is administered under the authority of Northwestern's Vice President for Research. The policy is supervised by a standing faculty committee whose consent is needed to modify the policy and whose job it is to resolve disputes. A separate standing faculty committee will review creators' proposed free distribution under C.1.
NORTHWESTERN UNIVERSITY COPYRIGHT POLICY (Available in pdf format) PREAMBLE This Policy also recognizes the value of the intangible benefits that the University derives from the wide dissemination of its members' creative works, particularly the affirmation that Northwestern provides a vibrant and supportive environment for innovative creators. Such an environment enables the University to attract researchers and teachers of excellence and to retain those who are already part of the Northwestern community. At the same time, a proper balance must be maintained between Northwestern's tradition of individual academic/creative freedom and its commitment to providing financial support for creative endeavors in all academic areas of the University. To meet this commitment, as faculty and students become ever more active in the creation of new domains of knowledge, additional sources of revenue must be identified. Because copyrightable works created by members of the academic community in new media, such as computer software, may provide the opportunity for significant revenues from distribution or licensing in the future, this Policy provides opportunities for the University to invest in the creation of such products and to share in distribution and licensing revenues. These revenues, in turn, can be allocated to support creative works throughout the University. Notwithstanding the general principle set forth in this Policy that copyright ownership resides with the Creator(s) of copyrightable works, members of the faculty are reminded that the provisions of Northwestern University's policies on Conflict of Commitment and Conflict of Interest remain in effect. Any development or use of copyrighted material by members of the faculty must be consistent with the provisions of those policies. A. POLICY STATEMENT ON COPYRIGHT A.1.b. University Rights A.1.c. Applicability A.2. Exceptions Please note that in some cases involving a Work Covered by Other Agreement, the University's Patent and Invention Policy may also apply and may be in conflict with this Copyright Policy. If so, the Patent and Invention Policy will take precedence over this Copyright Policy. A.2.b. Work For Hire A.2.c. Non-Traditional Works involving the investment of Extraordinary Resources by the University (1) The created work is not a Traditional Work (2) The University has made an investment in the work of Extraordinary Resources, and (3) An agreement incorporating terms of the Standard Copyright Agreement has been signed by both parties prior to the University investment of Extraordinary Resources (as provided in Section C. and Appendix 1). Please note that there may be a case of a Non-Traditional Work involving investment by the University of Extraordinary Resources that also falls into one or more other categories of exceptions in this Copyright Policy, such as a Work Covered by Other Agreement, or a Work covered by the Northwestern University Patent and Invention Policy. The terms of this Copyright Policy shall be applicable to such a Work except to the extent it is in conflict with such Other Agreement or the Patent and Invention Policy, in which case the applicable provisions of the Other Agreement or Patent and Invention Policy, as the case may be, shall apply and take precedence over this Policy. A.2.d. Patent Policy Exemption
B.1. Northwestern University Academic Community B.2. Work For Hire B.3. Work Covered By Other Agreements B.4. Traditional Works B.5. Non-Traditional Works (i.e. Computer Software) B.6. Extraordinary Resources Extraordinary Resources should be considered the allocation of a “substantial” amount of money―or the equivalent value in the assignment of University staff―which has been specifically directed to foster the development of a particular scholarly, artistic, or commercial project. In this context, “substantial” is defined as: An allocation to a Creator in any twelve-month period equal to or greater than one-third (33 percent) of the most recently available average salary for Northwestern University faculty (assistant professor and above) as reported to the AAUP and published annually in the March/April issue of ACADEME. Cost-share contributions to grants that are paid out of University funds and reductions in Facilities and Administration charges on sponsored projects below the ordinary amount for the unit, the category of sponsor, and the category of work will be considered Extraordinary Resources if, when combined with other extraordinary resources they exceed the threshold for a “substantial” amount of money as specified in this policy. For purposes of this Copyright Policy only, government or private sponsored research monies shall not constitute a University investment of Extraordinary Resources. In contrast, government or private sponsored research monies do constitute University resources under the Northwestern University Patent and Invention Policy.
C.1 The Standard Copyright Agreement (attached as Appendix 1, which is herein incorporated as part of this policy) is used in cases of Work Covered By Other Agreements and in cases of Non-Traditional Works which involve the investment of Extraordinary Resources by the University. In the latter cases, the Agreement must be signed in advance of the allocation of Extraordinary Resources by the member of the Northwestern Academic Community who is accepting the Extraordinary Resources on behalf of the Creator(s) of the anticipated work and by the person with authority for allocating the resources, e.g., the Vice President for Research, the Director of Information Technology, or the relevant dean or department chair. Any person with authority for allocating such extraordinary resources must a) inform the Vice President for Research before resources are allocated that a Standard Copyright Agreement will be signed or b) seek from the Vice President for Research approval to waive in a particular case the requirement for such an agreement. Should a project that initially receives only ordinary funding or staff support at some point be allocated Extraordinary Resources, a Standard Copyright Agreement must be executed prior to the allocation of additional funds making the University investment exceed the Extraordinary Resources threshold. In the absence of a signed and dated Copyright Agreement, the Creator(s) of the work will own the copyright to the creative work with rights to any and all revenues derived from all the products of that work. C.2. It is to be expected that all the provisions in the “Standard Copyright Agreement” (found in Appendix 1) are the norm. In certain rare cases, however, it may be permissible to modify provisions in the Standard Copyright Agreement to take into account conditions particular to the case in hand. For instance, in situations where the University makes an allocation of Extraordinary Resources to a project already underway, the terms of the revenue sharing in provision 6.F of the Standard Copyright Agreement. might be altered. In all such cases, however, any modifications must be agreed to in advance by the Creator(s) and the Vice President for Research, and included as an amendment to the Standard Copyright Agreement.
D.1. Administration There will be a standing Faculty Copyright Committee (“The Committee”) to consider revisions to this Policy and to review disputes. The Committee will be composed of five members: two non-administrative faculty members appointed by the University administration and three appointed by the General Faculty Committee. The Committee shall meet at least once a year. D.2. Policy Revisions D.3. Dispute Resolution At least once a year, the Faculty Copyright Committee shall issue a report to the university community concerning the disputes it has heard since the previous report. This report should list the number of disputes, their nature, the recommendations of the Committee, and the final disposition of the dispute. This report should be written in a way that protects the privacy of the individuals involved.
2. The Creator(s) acknowledge the prospective allocation by the University of Extraordinary Resources toward a Computer Software project that may result in Works that are subject to copyright protection. (For a definition of the terms in capital letters, see the Northwestern University Copyright Policy.) 3. These activities (“Activities”) consist of: [Insert brief description]. 4. Any copyrightable Non-Traditional products (“Works”) of these Activities are subject to this agreement. 5. Anyone who makes a significant creative or scholarly contribution to the Works (except for work done by Work-for-Hire (as defined in the Northwestern University Copyright Policy) staff or by faculty or students under a signed and dated Work-for-Hire agreement) shall be considered a potential Creator of that Work, and the assignment of their relative contribution shall be made by a separate agreement signed by the co-creators at the time of disclosure of the Work. 6. The Creator(s) and the University agree to the following: (b) The Creator(s) are required to disclose to the University any Works that are created as a result of the Activities. The disclosure will list the Creator(s) and describe possible opportunities for distribution or licensing (commercial or noncommercial) of the Works. (c) Content and editorial control over the Works rests solely with the Creator(s). (d) As copyright owner, the Creator(s) have the right to use, copy, modify, display, perform, create derivative works, and distribute the copyrightable work and the right to permit others to do so. (e) The right to choose distribution channels and licensing schemes (including free or open distribution) is to be decided by joint agreement between the University and the Creator(s), with the creator(s) generally taking the lead in securing such agreements. Before entering into any formal agreement with a third party, the Creator(s) must submit the agreement for review by the Office for Research. Unless the Vice President for Research notifies the Creator(s) within 30 working days of his receipt of the proposed agreement that the proposed agreement is unacceptable, the Creator(s) will be free to enter in to that agreement. In the case of disagreement between the University and the Creator(s), the matter will be submitted to the governance procedure of the Northwestern University Policy on Copyright. Before engaging in free or open distribution of works falling within the purview of the Standard Copyright Agreement, the Creator(s) must submit an application to the Open Distribution Review Committee (ODRC), which group will consist of five persons, including three designated by the General Faculty Committee and two by the Vice President for Research. Unless the ODRC notifies the Creator(s) within thirty working days, not including the period between June 15 and September 15, that the application has been denied, the Creator(s) may distribute the work as proposed. Denial of an application to ODRC may be appealed according to the Dispute Resolution process described in D.3 of the Copyright Policy. (f) Revenue from licensing of the Works will be distributed in the following manner (as a percentage of gross revenues): • 45% to the Creator(s) as personal income The Creator(s) agree to ensure that licensing revenue other than the 45 percent earmarked for the Creator(s) as “personal income” is directed to the University, and the University may demand an accounting of licensing revenue received by the Creator(s) related to works subject to a Standard Copyright Agreement. (g) If any of the Creator(s) leaves the University, he or she retains copyright ownership under provision 6.a., editorial control under provision 6.c., and the right to create derivative works and/or designate others to create derivative works under provision 6.d. Any Creator who leaves the University is also still subject to the disclosure requirements of provision 6.b. The University and all Creator(s) will continue to share revenue according to the terms of provision 6.f. even after a Creator has left the University. If all creators leave the University, then the portion formerly distributed to the discretionary research account will now accrue to the University. If, however, the University fails to renew the Creator's faculty appointment, then, in addition to his or her share of the 45 percent that is to be distributed to the Creator as personal income, the departing Creator will also receive his or her share of the 15 percent that would go into the discretionary research account as direct personal income. 7. The distribution of revenues among multiple Creators is to be determined by a separate agreement among the Creators at the time of their disclosure of any potential Works. The resolution of disputes among Creators regarding distribution over revenues and decisions covered by this agreement is to be conducted through the dispute resolution process specified by the Northwestern University Policy on Copyright. 8. Any modifications to the terms of the agreement must be explicitly stated in an attached Amendment to this Standard Copyright Agreement, which is to be duly signed and dated by both the Creator(s) and the University at the time of the signing of the Standard Copyright Agreement. 9. For this agreement to be valid, it must be signed and dated by both the Creator(s) and the relevant officer of the University in advance of the allocation of the “extraordinary resources.” This agreement applies only to the copyrightable works created during the course of the Activities described in provision 3. above. All other copyrightable works created by a Creator in connection with their employment or enrollment at Northwestern University are subject to the Northwestern University Copyright Policy, and if applicable, may also be subject to the Northwestern University Patent and Invention Policy. CREATOR(S): NORTHWESTERN UNIVERSITY: By: _______________________________ By: _______________________________ Date: _______________________________ Date: _______________________________ Date: _______________________________
APPENDIX 2: LANGUAGE WHICH MUST BE INCLUDED WITH FREE AND OPEN DISTRIBUTION OF SOFTWARE PRODUCED UNDER CIRCUMSTANCES SET FORTH IN THE NORTHWESTERN UNIVERSITY COPYRIGHT POLICY AT A.2.a. (WORK COVERED BY OTHER AGREEMENTS) Permission is hereby granted for non-profit educational and research use of {name of work} © 200X {name of creator}. Any other use, for commercial purposes or otherwise, is expressly forbidden without prior written permission of {name of creator}.
The University's copyright policy is managed by the Office for Research Integrity, under the authority of the Vice President for Research.
Please contact Tim Fournier, Associate Vice President for Research Integrity at 312.503.0054 or by email at nu-ori@northwestern.edu with any questions or comments related to the Copyright Policy. |
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Training & Education | Risk Assessment | Staff | Contact Us | Useful Links | Northwestern Home | Calendar: Plan-It Purple | Sites A-Z | Search Mailing address: Chicago: 312.503.0054 | Email: nu-ori@northwestern.edu Last modified: 05/14/08 | World Wide Web Disclaimer and University Policy Statements | © 2006 Northwestern University |
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