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
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.