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THE
JOHNS HOPKINS UNIVERSITY OFFICE OF THE DEAN Effective
Date: January 30, 2003 Revised
Date: February 28, 2008 POLICY AND PROCEDURE MEMORANDUM FACULTY - 9 SUBJECT: Policy on the Ownership and Use of
Copyrightable Materials II. Rights of
Faculty and Staff Members and of the School IV. Operational
Considerations Appendix 1 –
Highlights Appendix 2 –
Reservation of Rights (for Journal Articles) I. IntroductionThe revolution in information technology has led to dramatic
shifts in the way knowledge is disseminated.
Members of the academic community are now able to create new forms of
scholarly work not conceived of even a decade ago. These changes have made it necessary for the
Johns Hopkins Bloomberg School of Public Health (The School or JHSPH) to
reexamine and clarify its policies regarding the ownership of educational
materials and other copyrightable works. This policy and procedure memorandum delineates the rights and
responsibilities of the School and its faculty, staff, and students with regard
to the intellectual property that results from sponsored project activities or
as part of their usual teaching, research, and service activities and which
fall within their scope of employment with the University. It is intended to focus on distance education
courses, lecture materials and educational web sites, software, survey
instruments, videos, assessment tools, manuals, and any current or future means
of disseminating knowledge or expertise. By longstanding custom, faculty members hold the copyright for
books, monographs, articles, and similar work, whether distributed in print or
electronically. The net result of the
policy that follows will not change this custom unless mandated under a
sponsored project. Faculty, staff, and
students should be aware that it is the policy of the School that when
publishing, they should assure certain rights as stated in Appendix 2. By clarifying the many complex issues that surround the ownership
of intellectual property, a major goal of this document is to protect the
rights of individual faculty while at the same time allowing the School and
University to protect their considerable investment and to facilitate the use
of the intellectual property to foster innovation and to extend the educational
reach of the Institution. This policy is consistent with current University policies on
copyrightable works. The policy is not
meant to replace or modify existing University policies that govern the
ownership of such intellectual property, nor does it replace policies that
address conflicts of interest; rather, this document is meant to complement the
other policies. The policies in this document were developed by faculty and
professional staff of the School’s Intellectual Property Subcommittee of the
School’s Technology Transfer Committee. Section
II of this policy lays out a series of rights and responsibilities of the
faculty and staff and the Bloomberg School of Public Health. Section III describes the ownership and
rights of student-created intellectual property. Section
IV describes a series of operational issues and requirements meant to protect
the faculty and School’s legal interests.
These include not only administrative issues, but also the appeals
process. Because of the many potentially
confusing and complex terms and issues, Section V provides a comprehensive “definition”
section. Appendix
1 provides highlights of the policy. This “accessible” appendix is meant to help
faculty put these policies in place on a day-to-day basis. II. Rights of Faculty and Staff Members and of the SchoolA. Under US and international copyright law, the
University is the owner of the intellectual property developed by full-time
faculty as part of their usual teaching, research, and service activities, or
supported by sponsored project activities.
In the case of all other employees, the University is the owner of all
intellectual property developed within the scope and course of employment. B. Intellectual property owned by the
University includes, but are not limited to, teaching materials in electronic
and print formats such as slides, lecture notes, lab exercises, web-based
pages, audio and video recordings of the faculty, distance education materials,
and material presented at professional conferences or at other educational
institutions. The University shall own all contributions to audiovisual works, in
either analog or digital form, and participation in such works shall include
permission to use such images and/or recordings in perpetuity, and to create
derivative works of same. The
University also owns the copyright in such materials as software, survey
instruments, research and teaching data, videos, assessment tools, manuals, and
any current or future means of disseminating knowledge or expertise
(hereinafter referred to as “Copyrightable Materials”).
C. Full-time faculty who develop Copyrightable
Materials in performing their usual teaching, service, or sponsored project
activities are granted a non-exclusive, no-cost license to use these materials
as part of any of their teaching or scholarly functions either inside or
outside of the University. The faculty
are granted a non-exclusive, no-cost license to use
these materials in developing traditional derivative works such as books, book
chapters, journal articles, and electronic representations of these
conventional works. The license to use
the materials and develop traditional derivative works remains in effect if a
faculty member leaves the University.
Revenues from the distribution of these traditional derivative works
shall remain entirely with the faculty authors.
The University shall retain all other rights associated with these
Copyrightable Materials, including commercialization. Specifically
with regard to audiovisual works, this section, and related sections concerning
licenses back to faculty, refer to the faculty member’s personal contribution
only, and do not include a license to any portion of the entire work
contributed by others, particularly recorded images of persons other than the
particular faculty member. 1. The above paragraph transfers
certain rights to Copyrightable Materials to faculty, for example the right to
publish and benefit financially from traditional books and articles, the right
to give outside lectures (paid or otherwise), and the right to use these
Copyrightable Materials for non-commercial purposes at another university, if
the faculty member leaves Johns Hopkins University.
2. In cases where Copyrightable
Materials are jointly developed by two or more faculty, each author retains the
right to use the Copyrightable Materials for teaching, research, or other
scholarly functions. Development of
derivative works such as books or journal articles shall be negotiated among
the authors. Likewise, if one member
leaves the University, the right to use material developed by others will need
to be negotiated with the other faculty members. Disputes regarding use of Copyrightable
Materials or development of derivative works shall be referred to the
Intellectual Property Subcommittee of the School’s Technology Transfer
Committee.
3. When faculty leave the University, or for any other reason are not
available to teach a course they developed, the University continues to own the
Copyrightable Materials and retains the right to use and revise the traditional
derivative works developed for the course, provided appropriate acknowledgement
is attributed to the faculty authors of the work itself. Where appropriate, authors of the materials
may be involved in the development of revisions. 4. When Copyrightable Materials
are developed by adjunct faculty or visiting lecturers under a
work-made-for-hire contract with the University, these materials are owned by
the University. Based on the terms and
conditions of the contract, a non-exclusive license to use the materials for
teaching and scholarly purposes may be granted to these non-University
contributors. 5. Copyrightable Materials developed by adjunct
faculty or visiting lecturers under circumstances other than a written
work-made-for-hire contract and not as a result of a sponsored project activity
remain the property of these adjunct faculty/lecturers. In this case, permission to re-use the
materials by the School shall be negotiated with these non-full time
faculty/lecturers. D. When
Copyrightable Materials developed by full-time faculty (see Section V,
Definition of Terms) or adjunct faculty (under a specific contract addressing
such issues) are commercialized, the School and the individual faculty and/or
staff members who participated in the development of these materials may have
an opportunity to share in the revenues resulting from this commercialization
in accordance with the JHU Intellectual Property Policy. E. In
instances where development of Copyrightable Materials is funded by outside
sponsors, care shall be taken that the terms and conditions of the contract or
grant do not usurp the faculty member’s and the School’s ownership rights. The sponsor may be granted certain rights as
may be permissible under the University’s Intellectual Property Policy. The School’s Office of Research
Administration will review and approve all grants and contracts to ensure that
such agreements adhere to this policy. F. Freeware or Open Source is a permissible method of distribution where no fee is charged and where the
copyright remains with the University. The School’s Associate Dean for Research
Administration can provide short, standardized copyright notices with various
levels of control for the faculty developer who wishes to keep options open so
as to be able at a later point to potentially seek commercialization of an
enhanced version of the work now being distributed for free. A decision to
release a copyrighted work as Open Source work should only be made when there
is consensus among all developers and with the support
from their Department Chair.
III. Student Created WorkOwnership
of student created intellectual property is governed by the JHU Intellectual
Property Policy. Coursework submitted by students as part of course assignments
or otherwise for evaluation shall, by submission, grant to the University and
responsible faculty a license to use the materials as needed for educational
purposes, including the right to use outside or inside services to check for
plagiarism and for other relevant purposes.
Student work done as part of a sponsored project will be owned by the
University, with use governed by the sponsored project agreement. IV. Operational ConsiderationsA. When they join the JHSPH
faculty, all individuals shall receive a copy of the School’s policy related to
the ownership of Copyrightable Materials.
These policies will be re-sent to all faculty members whenever
significant modifications are made. B. Prior to the initiation of the
development of Copyrightable Materials for use in distance education, faculty
members should meet with the Director of the Center for Teaching and Learning
with Technology (CTLT) to discuss issues related to potential joint ownership
of materials of multiple faculty members.
An agreement to address relative contributions of participants should
also ensure that written permission for use is obtained from students, faculty,
and any others whose likeness or voice is captured in the work. C. Faculty members who
have created Copyrightable Materials that may be commercialized are encouraged
to meet first with the School’s Associate Dean for Research Administration
before they distribute the work. The
developers of such work will be directed to complete a “Report of Invention” to
the office of Johns Hopkins Technology Transfer (JHTT). For copyright works that are being
commercialized, it is important to report where there is a significant new
release or major derivative work. Such
features will impact licensing, revenue, and distribution activity. The original Report of Invention (ROI) will
likely need to be updated or perhaps even a new ROI filed. D. The distribution of income shall adhere
generally to the principles outlined in the JHU Policy on Intellectual Property
that governs royalty shares for general technology transfer (e.g., patents and
inventions). 1. The
development costs supported by the School will be estimated and documented at
the time of disclosure in order to help ensure that later commercialization
agreements will be able to specify the costs that should be recouped from
royalty revenues. In any such
agreements, the first revenue dollars received will be used for recouping
expenses of creation of the materials, rather than paid over time from shared
royalties, unless otherwise specifically agreed to by the appropriate official
of the School. 2. The direct
cost of updating and sustaining the copyrightable work may be deducted from
gross revenue or royalties before net revenue is distributed with the approval
by the appropriate administrative official of the School. When there is no laboratory/research group
that created the copyrightable work, the laboratory share of net income shall
be distributed among the creators, the creator’s Department, and the School. 3. Given
the need to continuously update such materials, royalty distribution may be
re-negotiated on a periodic basis and will be based on the faculty developer’s
continued participation in the revision process. If a faculty member leaves the University, he
or she is entitled to appropriate and potentially time-limited rights and
royalties in continued commercial use by the University of the original or revised
Educational Materials. E. In developing Copyrightable Materials,
permission to use third-party content (i.e., developed by those outside of the
University) must be obtained and documented. F. The use of the name, seal, or other
trademarks of the University must be protected and managed carefully. No use is permitted for any promotional
purpose without permission from the JHSPH Associate Dean of Development and
External Relations or
his/her designee.
G. Although legal standards do not require any
specific labeling to maintain copyright, the use of the University’s copyright
notice is appropriate for the opening page (or slide), and potentially every
page (or slide) of the University’s Copyrightable Materials. Such notice is an indication that the work is
from JHU and use by others requires permission and appropriate credit to the
creator of the work. In the case of
handouts, the creators may wish to use the notice on each page. The recommended notice is presented below: Copyright
(date of publication) Johns
Hopkins University ALL
RIGHTS RESERVED (Please
contact Dr. XXXX at xxxx@jhsph.edu for
permission H. All questions concerning this policy should
be addressed to the Associate Dean for Research Administration. I. While the goal of this PPM is to offer
guidelines that are clear, it is recognized that this area is complex and
evolving. Therefore, at times
clarification, interpretation, and extension of the policies in this PPM will
be necessary. This responsibility rests
with the School’s Sub-committee on Intellectual Property, a subcommittee of the
School-wide Standing Committee on Technology Transfer. This Subcommittee will be comprised of six
members including three members of the full-time faculty (appointed by the
Dean), the Senior Associate Dean for Academic Affairs, the Director of the
Center for Teaching and Learning with Technology, and the Associate Dean for
Research Administration. It will be chaired by the chair of the Technology
Transfer Committee and staffed by the Office of Research Administration. Faculty on the Subcommittee shall serve for
three years, with at least one person rotating off each year. If desired, faculty may continue serving on
the Subcommittee for, at most, one additional three-year term. J. Should the faculty member who requests a
case review be dissatisfied with the interpretation of the policy by the Subcommittee,
an appeal is possible. A formal, written
appeal clarifying why the faculty member considers the Subcommittee’s ruling
unreasonable should be submitted to the Dean of the School. The Dean’s decision will be considered final. V. Definition of Terms
Full-time Faculty:
Members who are employees of the University and engaged in full time
research and/or teaching activities. Full time faculty members are typically
granted one of the following titles: Professor, Associate Professor,
Assistant Professor, Instructor, Senior Scientist, Associate Scientist,
Assistant Scientist, Senior Research Associate, and Research Associate. Visiting Faculty: An individual from another institution or
agency who is employed by the University for a fixed defined period, or an
individual who may be employed by another institution, but who works at a
University facility, usually for a specific defined period of time. Visiting faculty may be given the title of “visiting
professor,” “visiting associate professor,” etc. In order to be considered for such a title,
he/she must be in residence as a full-time member of the faculty. Otherwise, the appropriate part-time faculty
title is used. Part-time Faculty: Faculty employed less than full time, who may
be direct employees, or contract employees.
Part-time faculty are typically given one of the following titles:
Senior Associate, Associate, Lecturer,
Adjunct Professor, Adjunct Associate Professor, Adjunct Assistant
Professor. Distance Education (D/E): Distance Education refers to programs of
instruction which rely upon use of electronic-based course materials and
typically entails the geographic separation of instructor and student, so that
face-to-face communication is absent for some or all students taking the
course. Communication is instead by one
or more technological media. This
communication may consist of live or recorded audio and/or visual presentations
and/or material using the internet, direct signal or cable transmission by
telephone line, fiber-optic line, digital and/or analog, or other electronic
means now known or hereinafter created, and utilized to teach any course
originating or sponsored by the University. Distance Education may take place
using the internet or other form of direct communication, or it may be
presented via pre-recorded media such as CD-ROM or video tape. Distance Education includes University
courses taught to University students by electronic means. Electronic-Based Course Materials: Materials, either in print, audio, video, or
electronic form used in conjunction with a distance education course, on-site
courses and other educational offerings. Commercialization
and Copyrightable Materials: Commercialization of technology and transfer
of materials from JHU to entities outside the University is most often managed
by the office of Johns Hopkins Technology Transfer (JHTT), but may be handled
by the related offices of the individual Schools. The offering of courses as part of programs
created through Federal or State grants or sponsored (or co-sponsored) by JHU
are not considered commercialization.
Tuition or other revenue received by JHU or any of its schools or
divisions for JHU sponsored, conducted, co-sponsored, or co-conducted programs,
whether directly from students or from other sources is not considered revenue
nor is it included in revenue to be shared by creators of educational
materials. Commercialization activities
are governed by the JHU Intellectual Property Policy and policies of the
Bloomberg School of Public Health, including cost recovery and royalty revenue
sharing for the creators, the School, and the University. Projects involving distance education will be
coordinated closely with the Director of the Center for Teaching and Learning
with Technology (CTLT) whether or not the distance education material was
developed by the CTLT. Copyrightable Work: Copyright subsists (exists, is attached to)
in any original work of authorship that has been fixed in any tangible medium
of expression from which it can be perceived, reproduced, or otherwise
communicated, either directly or with the aid of a machine or device. A
Copyrightable Work includes such creations as books, journals, musical works,
videos, multimedia products, sound recordings, pictorial or graphical works,
etc. Copyright protects the expression
of an idea, not the idea itself. Such
expression must be in some retrievable form such as handwriting, type, computer
disk, magnetic tape, or other storage medium.
Copyright automatically comes into being when the idea is fixed in a
tangible medium of expression. Course: Any class or instructional
unit offered by the School. A course may
be for-credit or not-for-credit, required or not required for a degree or
certificate, and includes classes for instructional units sponsored by the
School for professional or personal development. A course does not include multi-media
developed by support personnel. Course Materials: Materials including, but not limited to,
lectures, recorded answers to questions, assignments, visual aids, web pages,
and other materials presented by the course creator and/or instructor including
but not limited to text, images, syllabi, diagrams, graphs, multimedia
presentations, videos, exercises for collaboration, simulations, and group
projects that are created to illustrate or explain the subject matter. Teaching Materials: Refers to materials designed for or related
to a particular course offering, such as traditional courses for credit or not
for credit, and course offerings for continuing education. They encompass all materials used to support
teaching and other formal knowledge dissemination processes, including distance
education courses. Freeware
or Open Source: A method of distribution under
license terms which retains the University’s copyright and imposes few
obligations on the recipient, which address limitations on use, obligations to
identify the original owner of a work, modification rights, and duty to license
back modifications under the same.
Creative Commons is a widely used license. For example, the “Attribution-NonCommercial-ShareAlike
1.0” license allows persons to exercise all rights under copyright as long as
they agree to identify the author, use the work only for noncommercial
purposes, and share any modifications under that same license. (http://creativecommons.org/about/licenses/meet-the-licenses) OpenCourseWare: A program that
provides free access to a number of the School’s course materials for
educators, students, and self-learners around the world. Faculty can find extensive information on
OpenCourseWare on the School’s website.
Copyright is retained and managed through use of the Creative Commons
notice. Usual Teaching and Service Activities: All of those duties undertaken
and tasks performed by a faculty member in furtherance of their assigned duties
as a faculty (or staff) member of JHU. Work-Made-for-Hire: Refers to a work that is prepared by an
employee within the scope of her or his employment. In addition, work performed by an independent
contractor (an outside individual or company) can be a work made for hire if: (b)
there is a written agreement which specifically provides that the
work will be a “work made for hire.”
When a “Work Made for Hire” is created the employer, or the legal entity
that commissions the work by written contract so providing, is considered the “Author”
of the work and owns the copyright. Non-Employees: By law, commissioned work performed by
non-employees—including consultants—is not owned by the commissioning party
unless there is a written agreement to the contrary. That is, the copyright to a work created by a
non-employee independent contractor is owned by the contractor unless there is
a written agreement that explicitly makes the work a “Work Made for Hire,” or
otherwise accomplishes the transfer of copyright. In the absence of such an agreement, the
commissioning party (e.g., JHU) owns only the physical copies provided, not the
underlying copyright. All JHU personnel
are cautioned to ensure that independent contractors agree in writing that
ownership of the commissioned work is assigned to JHU. The office of General
Counsel has developed contracts for use in hiring a consultant or contracting
for computer technology services and should review all contracts involving the
creation of intellectual property by consultants and contractors. The Independent
Computer Technology Services Agreement (ITCSA) form would be appropriate, for
example, when a contractor will be developing course materials, copyrighted
materials, computer software, web sites and the like. (http://ssc.jhu.edu/supplychain/forms/ictsa.pdf)
Creators of Copyrightable Work: Often many individuals contribute to
the development of a work. Those
considered creators, eligible to share in royalty revenues from
commercialization or entitled to participate in decisions about the
distribution of the work, are those who have made a substantial creative
contribution in terms of content, design, and presentation. Typically those members of the team—generally
staff and student teaching assistants—who are involved in carrying out work
directed by another do not rise to the level of creative contributor. University Support: Financial or other
support, regardless of origin, which is used in the discovery or development of
intellectual property (including educational materials) and is provided through
University channels. Provision of an
appointment shall not in and of itself be construed as University support for
purposes of this definition. Funds which
flow through the University, such as funds for sponsored research, are considered
University funds, and the use of such funds to support creation of intellectual
property is University support. Highlights
of the Johns Hopkins Bloomberg School of Public Health As a guide to JHSPH faculty, this appendix provides an outline of
current School policy on copyright and ownership of Copyrightable Materials. 1) The University holds the copyright on all
teaching materials (such as lecture notes, power point slides, educational web
pages) developed by full-time faculty.
It also holds the copyright on work done by part-time and adjunct
faculty in cases where they have a work-made-for-hire contract to develop such
materials. 2) Faculty have the right to use material they
create to give outside lectures and to develop “traditional” scholarly works
such as books and articles. Any revenue
(e.g., book royalties or lecture fees) shall belong to the faculty member. 3) Should a faculty member leave the University,
they may take Copyrightable Material they developed with them to be used (at no
cost) for scholarly, non-commercial purposes. 4) Copyrightable Materials developed by the
faculty member may be distributed outside of the School (with appropriate
copyright notices). Any
commercialization of these materials, either by the faculty member or other
parties, must be coordinated by the School and will be governed by the
University’s technology transfer policies. 5) Should multiple faculty be involved in the development
of Copyrightable Materials, the use of these jointly developed materials
outside of the University (e.g., as part of a book or as part of a lecture at
another university) must be negotiated among all parties. 6) The School has the right to use distance
education materials or any other Copyrightable Materials developed by its
faculty for commercial purposes. For
such commercial ventures, the faculty who created the material will share in
any revenue, once start up and maintenance expenses are recouped. 7) Faculty members should place appropriate
copyright notices on material they distribute both within and outside the
Bloomberg School of Public Health. This
is especially critical if the material is shared widely. 8) Any questions related to these issues should
be directed to the Associate Dean for Research Administration. Clarification and review of specific cases
will be handled by the School’s Subcommittee on Intellectual Property. This outline does not cover all
possible circumstances. For further
clarification faculty members are directed to the full policy and other
relevant documents and web sites. In 1998, the Dean
approved a JHSPH policy on ownership and use of educational materials developed
by the MacKenzie Committee. That policy
permits faculty to assign copyright to a publisher of traditional works of
authorship. In order to retain rights
for JHU, it would be helpful, but not required, to provide a
University-approved reservation of rights statement. Faculty could include a copy of this
Reservation of Rights each time they sign a publication agreement with a
journal. Effective April 7, 2008 for
NIH-funded awards, the author is required to reserve the rights specified in
Paragraph 9. Reservation
of Rights (for
Journal Articles) The
author transfers to (publisher) the exclusive rights comprised in the copyright
of the article, except that the author retains the following: 1) All proprietary
rights, including copyright or other ownership interest in any formula, equation,
or questionnaires in the article or attachment to the article, is retained by
the University. 2) The right to make
copies of all or part of the work for the author’s or University’s use in
teaching. 3) The right to use,
after publication, all or part of this material in works by the author in print
or electronic format. 4) The right to
include all or part of this material in the author’s thesis or dissertation. 5) The right to make
copies of the work for internal distribution within the institution which employs
the author or at this University. 6) The right to use
figures and tables from the work, and up to 25 percent of the text, for any
purpose. 7) The right to make
oral presentation of the material in any forum. 8) In the case of work
prepared under US Government contract, the US Government may reproduce,
royalty-free, all portions of the article and may authorize others to do so,
for official US Government purposes only, if the contract so requires. 9) In the case of work
prepared under an NIH award, the author may provide a copy of the final
manuscript to the NIH upon acceptance for Journal publication for public
archiving in PubMed Central as soon as possible but no later than 12 months
after publication by the Journal. The
author agrees that all copies made under any of the above conditions will
include notice of the publisher’s copyright. |
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