2. Patent Policy

D. Intellectual Property
 

1. Guiding Principle
 

The University’s policies concerning intellectual property are intended to further its central 
mission--the sustained production, preservation, and dissemination of knowledge--while exercising 
due care for its fiduciary responsibility for the resources it administers.
2. Patent Policy
 

a. Basic Objectives
 

Patents are created by the Constitution and the Laws of the United States “to promote the progress 
of science and useful arts by securing for limited times to...inventors the exclusive right to 
their... discoveries.” The basic objectives of Princeton University’s policy include the following:
     1.  To maintain the University’s policy of encouraging research and scholarship without regard to 
      potential gain from royalties or other such income.
      2.  To make inventions developed in the course of University research available under conditions 
      that will promote their effective development and utilization in the public interest.
       3.  To provide adequate recognition to inventors through a share in any proceeds from their 
       inventions since University salaries are not based on the expectation of income from inventions.
       4.  To advance and encourage research and scholarly endeavors within the University with any funds 
       accruing to the University from patents.
       5.  To recognize the equity of outside sponsors in the endeavors of the University by granting 
       appropriate limited rights to the sponsors, consistent with the University’s basic objectives 
        outlined above.


b. The Dean for Research and the Office of Technology Licensing and New Ventures
 

The Dean for Research is responsible for the implementation of the Patent Policy below. The Office of 
Technology Licensing and New Ventures, part of the Office of the Dean for Research, is responsible 
for the University’s Technology Transfer Program, providing management of inventions and patenting 
and licensing services for inventions developed by members of the Princeton University community.
 

c. Relationship Between the University and Faculty, Employees, and Students


  1. All Faculty members, employees, and students, in consideration of their membership in the academic 
    community and upon the approval of this policy by the Trustees and the Faculty of Princeton 
    University, agree to handle inventions and patents resulting therefrom as follows:
    1.  The University shall own all rights in any discovery or invention resulting from research 
         carried on by any Faculty member, employee, or student
         a.  in which all or part of the cost thereof is paid from University funds or from funds 
         administered by the University, or
         b. which is made as a direct result of University duties, or
         c.  which has been developed in whole or in part through the utilization of University resources.
    2.  All such discoveries or inventions must be disclosed to the Office of Technology Licensing and 
         New Ventures as soon as practicable.
    3.  The Office of Technology Licensing and New Ventures shall determine that such discovery or 
         invention be either:
         a.  assigned outright to the discoverer or inventor in the event the discovery or invention does 
         not meet any of the criteria set forth in paragraph 1) above;
         b.  assigned outright to the discoverer or inventor if determination is made that University 
         technology transfer is not warranted
         c.  transferred to one or more patent management organizations with which the University has 
         contracted;
         d.  forwarded to the outside sponsor if such action is required under the terms of a sponsored 
         project agreement or by law.
    4.  No Faculty member, employee, or student may assign or license or agree to assign or license an 
    invention developed under the criteria listed in c.1. above without prior written consent of the 
    Office of Technology Licensing and New Ventures.
    5.  When the University and an outside sponsor enter into an agreement for research or other 
    scholarly endeavor to be conducted with funds or facilities provided by said sponsor, faculty 
    members, employees or students who utilize such funds or facilities shall comply with the 
    conditions pertaining to inventions and patents contained in said agreement and may be required to 
    agree in writing that they will so comply.

    d. Distribution of Income
     

    Any income realized by the University from its equity in an invention will be used for the purpose 
    of research or scholarly activity, with the preferential consideration being given to the field of 
    activity in which the invention was made.

    1.  For an invention in which the University owns all rights in accordance with Section c. above, 
    the inventor will be distributed the following percentages of the net income realized by the 
    University: fifty percent (50%) of the first $100,000; forty percent (40%) of the next $400,000; and 
    thirty percent (30%) of the amount in excess of $500,000. “Net income” for distribution purposes 
    means the income received by the University minus unreimbursed out-of-pocket costs, without 
    subtraction of the general expenses incurred by the University in supporting research and licensing 
    technology.
    2.  For all licenses signed after July 1, 1998, the Department or Program of the inventor shall 
    receive a portion of net income realized by the University as follows: zero percent (0%) of the 
    first $100,000; ten percent (10%) of the next $400,000; and twenty percent (20%) of the amount in 
    excess of $500,000 up to a maximum of one million dollars ($1,000,000).
    3.  For inventions which the University releases outright to the discoverer or inventor under the 
    provision of Section c. above, the University may also release all claims to any subsequent income 
    received by the discoverer or inventor.


e. Relations with Outside Sponsors


Research supported by outside funds is governed by the Policies for Sponsored Research which are 
set forth in the Rules and Procedures of the Faculty of Princeton University and also in the Rules 
and Procedures of the Professional Researchers and Professional Specialists of Princeton 
University.


When a sponsor of research at Princeton University desires a formal agreement that includes 
conditions applicable to inventions and patents, the provisions of such agreements will be 
negotiated giving full consideration to this Patent Policy and to the objectives cited in Section 
a. hereof.


3. Copyright Policy
 

a. Basic Objectives
 

Copyrights are created by the Constitution and the Laws of the United States “to promote the 
progress of science and useful arts by securing for limited times to authors ... the exclusive 
right to their writings.” The basic objectives of Princeton University’s policy as to copyrights 
include the following:
     1.  To maintain the University’s policy of encouraging research and scholarship without regard to 
     potential gain from royalties or other such income.
     2.  To maintain the basic right of any individual within the University community to write and 
     publish.
     3.  To encourage the dissemination of copyrightable materials developed in the course of University 
     activities.
     4.  To recognize each individual’s right to all income resulting from her or his writings except as 
     stated herein.
     5.  To disavow any claim of equity on the part of the University in the writings of any individual 
     simply because of the individual’s membership in the University community.
     6.  To advance and encourage research and scholarly endeavor within the University with any funds 
     accruing to the University from copyrights.
     7.  To recognize the equity of outside sponsors in the endeavors of the University by granting 
     appropriate limited rights to sponsors, consistent with the University’s basic objectives outlined 
     above.


b. The Dean for Research and the Office of Technology Licensing and New Ventures


The Dean for Research is responsible for the implementation of the Copyright Policy below. The Office 
of Technology Licensing and New Ventures is responsible for providing management of copyrights and 
licensing services for the University community.


c. Relationship Between the University and its Faculty, Employees, and Students


All faculty members, employees, and students, in consideration of their membership in the academic 
community and upon the approval of this policy by the Trustees and the Faculty of Princeton 
University, agree to handle material subject to copyright as follows:
 

     1.  The members of the Faculty of Princeton University strive to make their publications openly 
     accessible to the public. To that end, each Faculty member hereby grants to The Trustees of 
     Princeton University a nonexclusive, irrevocable, worldwide license to exercise any and all 
     copyrights in his or her scholarly articles published in any medium, whether now known or later 
     invented, provided the articles are not sold by the University for a profit, and to authorize others 
    to do the same. This grant applies to all scholarly articles that any person authors or co-authors 
     while appointed as a member of the Faculty, except for any such articles authored or co-authored 
     before the adoption of this policy or subject to a conflicting agreement formed before the adoption 
     of this policy. Upon the express direction of a Faculty member, the Provost or the Provost’s 
     designate will waive or suspend application of this license for a particular article authored or 
     co-authored by that Faculty member.
     The University hereby authorizes each member of the Faculty to exercise any and all copyrights on 
     his or her scholarly articles that are subject to the terms and conditions of the grant set forth above. 
     This authorization is irrevocable, non-assignable, and may be amended by written agreement in the 
     interest of further protecting and promoting the spirit of open access.


     2.  The University shall, except as provided by specific contract between the author and the 
     University, have the right to obtain and own copyright and to retain any income from copyrightable 
     material which is developed by individuals whose specifically assigned duties include the 
     preparation of that material.


     3.  The University supports the normal teaching and research efforts of its faculty in a variety of 
     ways. The University considers these allocations appropriate to further the individual scholarly 
     activities of the members of the University community and, except as provided above in paragraph 1, 
     makes no claim to the copyrights from products of these activities. However, under some conditions, 
     this support may include substantial resources specifically designated for the development of 
     intellectual property from which a faculty or staff member may derive personal income from the 
     outside. In such cases, the University considers it has some equity and part of the income received 
     should be used to reimburse the University for use of its resources.


     4.  When the University and an outside sponsor enter into an agreement for research or other 
    scholarly endeavor to be conducted with funds or facilities provided by said sponsor, faculty 
    members, employees or students who utilize such funds or facilities shall comply with the 
    conditions pertaining to copyrights contained in said agreement and may be required to agree in 
    writing that they will so comply. Where the University is the recipient of sponsored research 
    funding it will generally retain ownership of copyrights, especially of technical data and 
    patentable computer programs but not generally literary, artistic scholarly, or educational works 
    (even if embodied in computer software or programs). Income realized by the University from such 
    copyrights shall be distributed in accordance with the formulas in 2.d above unless the written 
    agreement requires otherwise.
 

     5.  The University shall not, except as provided by specific contract between the author and the 
     University, claim any equity in or right to the copyrights in material other than that covered by 
     paragraphs 1, 2, 3, and 4 above.
 

     6.  Ownership of the copyright in computer software shall be in accordance with the provisions laid 
     out above. However, because the analysis underlying the University’s decision as to whether it will 
     assert rights to any software may be more complex than the analysis with respect to other works, 
     software is subject to special disclosure requirements. Specifically, if the faculty member or other 
     creator believes the software has commercial potential or wishes to license or otherwise 
     commercialize the software developed, whether or not the creator believes the University would 
     assert rights to it, he or she must disclose the software to the University for a determination of 
     ownership of the respective intellectual property.


d. Materials Subject to Copyright


The types of material that may be subject to copyright include the following:


     •  Literary Works, such as books, journal articles, texts, glossaries, bibliographies, periodicals, 
     manuscripts, study guides, laboratory materials, syllabi, and tests.
     •  Musical works, including any accompanying words.
     •  Dramatic works, including any accompanying music.
     •  Pantomimes and choreographic works.
     •  Motion pictures and other audio-visual works.
     •  Sound recordings.
     •  Architectural works.
     •  Computer software.

e. Distribution of Income


Any income realized by the University from its equity in copyrightable material will be used for 
the purpose of research or scholarly activity, with preferential consideration being given to the 
field of activity in which the
copyrightable material is generated.