Intellectual Property: Copyrightable Works

Scope

This Policy applies to Copyrightable Intellectual Property created by Covered Individuals in the area(s) of activity for which the University employs, appoints, or contracts with them. This policy addresses Copyrightable Intellectual Property owned by the University, Copyrightable Intellectual Property owned by the Creator(s), and Copyrightable Intellectual Property owned by the Creator(s) and assigned back to the University.

This Policy will supersede and replace UA-05, Intellectual Property Policy at the effective date. This policy only applies to copyrightable intellectual property. The new royalty distribution rates and distribution will only apply to arrangements and contracts taking place after the effective date. A separate policy (UA-24, Intellectual Property: Inventions and Patents) applies to inventions and patents.

Covered Individuals are:

1. All full- and part-time employees of the University, including all faculty, all academic appointees, and staff.
2. All full- and part-time students including volunteer students, work-study students, and students that are University employees.
3. Individuals receiving an appointment within the University, whether or not they are considered University employees and whether or not their appointments involve compensation (for example, adjunct faculty and visiting faculty and scholars).
4. All other individuals who create Copyrightable Intellectual Property in whole or part in connection with (a) a contractual relationship with the University or (b) a contracted Sponsored Activity. 

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Policy Statement

1. Through delegation by the President, the Vice President for Research (VPR) will administer this Policy through the Innovation and Commercialization Office (ICO).
2. The VPR will appoint a Copyright Policy Council (“CPC”) composed of members representative of the entire University to review and advise on Copyrightable Intellectual Property and this Policy. The CPC members shall generally serve a three (3) year term that may be renewed. At the request of the VPR or ICO, the CPC shall advise on all matters relating to this Policy. 
   
   The Copyright Policy Council shall consist of
   1. Six faculty members, selected as follows:
      1. two faculty members appointed annually—one by the IU-Indianapolis Faculty Council Executive Committee and one by the Bloomington Faculty Council Executive Committee;
      2. one faculty member from a regional campus shall be appointed annually by the University Faculty Council Executive Committee;
      3. two at-large faculty members appointed by the University Faculty Council Executive Committee, in consultation with the Vice President for Research;
      4. a faculty chair appointed and designated by the Vice President for Research; and
   2. The associate deans for research or their designee from:
      1. the School of Medicine;
      2. the College of Arts and Sciences; and
      3. two other schools—one each from the Indianapolis and Bloomington campuses—designated annually by the Vice President for Research.
   3. Two staff employees, designated by the Vice President for Research.
   4. Two students: one undergraduate student and one graduate student appointed and designated by the Vice President for Research. 
      
      To best meet the needs of the University, the VPR may use reasonable discretion to modify both the number of members and composition of the CPC. 
      
      
3. The Innovation & Commercialization Office (“ICO”), designated by the VPR, is the office responsible for the protection and commercialization of Copyrightable Intellectual Property. ICO will establish operational guidelines and procedures, subject to the terms of this Policy and any related policy, for the administration of Copyrightable Intellectual Property. This will include, but is not limited to, presiding over the Copyright Policy Council (CPC); receipt, investigation, and analysis of Intellectual Property disclosures; determination of ownership, assignment, protection, release of rights, licensing, marketing, maintenance of records; oversight of revenue collection and distribution; maintaining an inventory of registered and/or commercialized Copyrightable Intellectual Property; and writing annual reports on activities.
4. Ownership of Copyrightable Intellectual Property.
   1. Ownership by University. All right, title and interest in and to any Copyrightable Intellectual Property created by a Covered Individual is University Intellectual Property unless the Copyrightable Intellectual Property meets one of the following Exceptions:
      1. Instructional Copyrightable Works and Scholarly Copyrightable Works, unless such works are created for a Sponsored Activity or made so under the terms of (a) a contract between a Covered Individual and the University, (b) another University contract or grant, or (c) any other applicable University policy.
      2. Copyrightable Intellectual Property resulting from research performed under a grant or contract (a) to which the University is a party and (b) that expressly exempts the research and related work product from being University Intellectual Property, is not University Intellectual Property.
      3. Copyrightable Intellectual Property created by students while completing a course or other academic program in which they participate, whether for credit or not for credit, is not University Intellectual Property unless the student is taking the course in connection with their work under an employment agreement, contract, or Sponsored Activity with the University, or is volunteering in a University activity or University-related activity that leads to the creation of Copyrightable Intellectual Property.
      4. Copyrightable Intellectual Property created solely during a disclosed and approved Outside Activity.
      5. The University, through the VPR or ICO, approves in writing that the Copyrightable Intellectual Property is not University Intellectual Property.
   2. License to Copyrightable Intellectual Property owned by Covered Individuals. For all Copyrightable Intellectual Property not owned by the University, the University retains a nonexclusive, no-cost license to use Instructional Copyrightable Works, Scholarly Copyrightable Works, and Student Intellectual Property, (not owned by University), for educational, archival, and administrative purposes consistent with the University’s educational mission and academic norms. Covered Individuals shall provide the University with copies of any of the three categories of works referenced herein upon the University’s request. The period of the license to use Instructional Copyrightable Works for course instruction shall be limited to two (2) years from the date at which the Covered Individual stops teaching the course in question at the University.
   3. Assignment of Copyrightable Intellectual Property. As a condition of their employment or appointment, continued employment or appointment, enrollment with the University, or participation in a Sponsored Activity, each Covered Individual is bound by this Policy. All Copyrightable Intellectual Property that meets the criteria of University Intellectual Property as set forth in this Policy is hereby assigned to the University. Covered Individuals are bound by this Policy and thereby automatically, presently, and irrevocably grant and assign to the University all rights, title, and interests that they may have in such Copyrightable Intellectual Property. Each Covered Individual shall promptly execute such assignments and any other documents required, as determined from time-to-time by the VPR or his/her designee. The University owns and shall have the sole right to determine the disposition of University Intellectual Property under this Policy. Covered Individuals do not have the authority to assign rights in such Copyrightable Intellectual Property to third parties.
   4. University Assignment of Copyrightable Intellectual Property to Creator(s). The University, after review, may fully assign to the Creator(s) of Copyrightable Intellectual Property the University so chooses not to pursue and notify the Creator(s) of such assignment in writing. The Creator(s) may choose to re-assign back to the University previously assigned Copyrightable Intellectual Property for any reason, including the Creator(s) desire for the University to transfer and/or commercialize the Copyrightable Intellectual Property.  In this event, such re-assigned Copyrightable Intellectual Property will be covered under the terms of this Policy.
   5. Conflicting Agreements. It is understood that many research contracts, grants, and consulting agreements from or with the United States Government or its agencies, for profit and not-for-profit entities, or individuals contain provisions regarding ownership of Intellectual Property that may be at variance with this Policy, but which, if agreed to, require compliance. Notwithstanding any other provision in this Policy to the contrary, nothing in this Policy will be construed to limit the University from entering into specific written agreements with any faculty, staff, or students or with any third party (including in connection with sponsored research or Sponsored Activities) that will specify different terms regarding the ownership, distribution, and commercialization of Intellectual Property. Such an agreement will supersede the terms of this Policy if:
      1. The Creator(s) is a party to such an agreement; or
      2. The Creator(s) explicitly or implicitly consented to the terms of such an agreement prior to the creation of the Copyrightable Intellectual Property. Without limiting the generality of the foregoing, a decision of a Creator(s) to develop Copyrightable Intellectual Property when the Creator(s) knows, or should know, that such Copyrightable Intellectual Property is subject to an agreement will be considered consent to that agreement. However, continued employment or affiliation with the University is not, by itself, sufficient to establish consent as required by this section.
5. This Policy, as amended from time to time, shall be deemed a condition of employment, both while employed and thereafter, of every employee of the University, including student employees. University Intellectual Property remains University Intellectual Property regardless of whether a Covered Individual leaves the University or ceases working under a contract or Sponsored Activity. This Policy shall continue to apply while Covered Individuals are on sabbaticals and other leaves and while they are engaged in Outside Activities.
6. With the exception of specific written agreements to the contrary, and without limiting the general disclosure obligations, nothing in this Policy will be interpreted to prevent any faculty, staff, or students from sharing the results of their research and other academic activities with others, including by publishing those results. Covered Individuals may continue to use their contributions to University Intellectual Property that is copyrightable (including copies of their Research Data) for non-commercial, academic purposes. Covered Individuals retain permanent rights of acknowledgment and attribution in connection with substantial contributions to University Intellectual Property.
7. The VPR, through ICO, may transfer or commercialize any University Intellectual Property as defined by this Policy. In the event of disagreement on the intent to transfer or commercialize, the VPR, through ICO, shall have the sole right to evaluate and decide on whether to transfer or commercialize the University Intellectual Property.  In making this determination, the benefits that might accrue to both the University and the Creator(s) shall be considered.
8. If the University decides to transfer or commercialize any University Intellectual Property that is copyrighted or copyrightable, upon the University’s request, the Covered Individuals shall promptly report to ICO, through a Disclosure, any Copyrightable Intellectual Property which such Covered Individual has conceived, discovered, developed, reduced to practice and/or fixed in tangible form by them or under their direction as a Covered Individual.
9. If University Intellectual Property that is copyrighted or copyrightable is transferred or commercialized through the ICO, the ICO is authorized to distribute all Net Revenues from the transfer or commercialization of University Intellectual Property as follows, except as otherwise required by law or written agreement:  
   
   

   Percentage of Net Revenues	Entity Receiving the Net Revenue Distribution
   50%	To named Creator(s) (or heirs, successors, or assigns) – to be split equally among multiple named Creator(s) unless they agree in writing to a different split. If a named Creator(s) designates someone else to receive their portion, the named Creator(s) is responsible for complying with all tax laws and rules relating to that designation.
   20%	To IU Research and ICO – to protect, manage, transfer, and/or commercialize University Intellectual Property.
   15%	To IU Online – in support of their direct investment and commitment of resources leading to the creation of University Intellectual Property that is transferred and/or commercialized. If IU Online did not participate in the direct investment or creation of the University Intellectual Property that is transferred and/or commercialized, then the 15% will be shared with the participating Campus unit(s).
   15%	To Campus unit(s) supporting the development of the University Intellectual Property. This is normally the unit where the named Creator(s) have their primary appointment(s). Campus units should be disclosed to the ICO. In the case of disagreements, the VPR will be the deciding official.

10. ICO may negotiate equity interests or other non-monetary consideration in lieu of or in addition to revenue as part of an agreement with an external entity involving University Intellectual Property. In such cases, the University shall own such equity interests or non-monetary consideration and no Covered Individual shall have an interest or legal right in them. If the University, in its sole judgment, sells such interests or consideration, the University shall distribute the proceeds from the sale (net of the costs of the sale) as provided in this Policy.  The University does not act as a fiduciary for any Covered Individual regarding such interests or consideration.
11. Pursuant to this Policy, Creator(s) are not entitled to any distribution of revenue resulting from the non-commercial use of University Intellectual Property. Revenue resulting from non-commercial uses include all forms of revenue that are not managed by ICO under this Policy including revenue to the University in the form of tuition, certificate and credentialing programs, gifts, service fees, service agreements, professional services, and revenue generating contracts where the use of University Intellectual Property is incidental to the performance of the agreement. This Policy does not cover or preclude Creator(s) from entering into separate agreements with Campus unit(s) that pertain to revenue distribution resulting from such non-commercial uses, and such agreements are not covered by this Policy.
12. This Policy does not address arrangements that fall under Revenue Producing Activity (RPA) wherein revenue is generated from sale of products and/or services provided by the University or University employees.
13. The terms of this Policy will apply in the event of a conflict or ambiguity relating to patentable inventions and other campus or department-specific policies.
14. The ICO may recommend that rights to certain University Intellectual Property be assigned or licensed to named Creator(s) when the terms of an agreement do not prevent this and doing so is consistent with public interest. Any such assignment or license must be approved by the academic/administrative units of the named Creator(s) and must reserve appropriate rights for the University.  The VPR will have final approval on such matters.
15. The ICO shall report to the VPR at least annually on all University Intellectual Property that is transferred or commercialized.
16. Uncertainty or disagreement about whether any disclosed or undisclosed Copyrightable Intellectual Property is University Intellectual Property shall be decided by the VPR in consultation with the general counsel’s office. These decisions are final and not appealable.  However, any Covered Individual may appeal any other matter, actions or decisions of the ICO or other administrators under this Policy to the VPR, who shall make a decision on the appeal within thirty (30) days.
17. This Policy shall comply with IC 21-36-5 effective July 1, 2024, to prohibit the transfer, licensing, or sublicensing of intellectual property created with Indiana University resources to ‘prohibited persons’ as that term is defined by IC 21-36-1-2.3.

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Definitions

University Intellectual Property:  All Intellectual Property owned by Indiana University as set forth in this Policy. 

University Resources:  Funds, facilities, equipment, technology, personnel, and other support made available through the University to individuals covered by this Policy, other than incidental or insignificant use of office space and communication technologies.

Intellectual Property:  Intellectual Property means property deriving from the work of the mind or intellect, including but not limited to:  all Intellectual Property Disclosures to ICO, Copyrightable Intellectual Property, Research Data, Software, Tangible Research Property or other property produced.

Copyrightable Intellectual Property: Original works of authorship that have been fixed in a tangible medium of expression, including books, articles, photographs, works of art, films and videos, music, software (including computer programs and algorithms), traditional or electronic writings and correspondence, instructional materials, and any associated copyrights or copyright registrations.

Scholarly Copyrightable Work: Copyrightable Intellectual Property created by any Covered Individual to express and preserve scholarship as evidence of academic advancement or academic accomplishment. Such works include journal articles, research bulletins, monographs, books, blogs, plays, poems, musical compositions, tangible works of art, and other works of artistic imagination. Scholarly Copyrightable Works do not include software authored in whole or part with use of University Resources, recordings of performances by a Covered Individual made by or for the University, works of authorship created by academic appointees acting within the scope of responsibilities associated with an administrative position, works of authorship created for a Sponsored Activity, or works of authorship created by University staff acting within the scope of employment for the University. 

Instructional Copyrightable Work: Copyrightable Intellectual Property created by an academic appointee primarily for the instruction of students in the ordinary course of fulfilling their teaching duties, and that has not been specifically commissioned by the University, an external sponsor through a stand-alone agreement or Sponsored Activity, or created substantially with University Resources. Instructional Copyrightable Works consist solely of the intellectual content in those works and not any courseware—software, multimedia tools, and other technologies—that the University makes available to instructors to deliver course content. Instructional Copyrightable Works include syllabi, course descriptions, reading lists, assignments, slides, lecture notes, lab and other exercises, simulations, exams, study guides, lectures, discussion prompts, and other materials customarily used in instruction, whether delivered through in person or online instruction.

Student Intellectual Property: Copyrightable Intellectual Property created by students in connection with classes or University activities, other than Copyrightable Intellectual Property created by students in the scope of employment with the University, a contract with the University, or a Sponsored Activity.

Research Data: The recorded factual material commonly accepted in the research and scholarly communities as necessary to validate research findings, but not any of the following: preliminary analyses, drafts of scholarly manuscripts, plans for future research, peer reviews or related communications.

Revenue Producing Activity: A revenue producing activity (RPA) is established when revenue is generated from the sale of products and/or services provided by the University or University employees. This definition shall exclude all Sponsored Programs and Sponsored Activities.

Copyrightable Intellectual Property Disclosure: A formal disclosure by Covered Individuals to the University on forms provided by the University that includes relevant information relating to the copyrightable work including, but not limited to the following:  date of creation and/or publication, description of the copyrightable work, any prior or planned publication dates and distribution efforts, any sponsors of the related research, names of collaborators and their university affiliations, names of all creators and their affiliations, overview of how the copyrightable work was created, and supporting campus units.  

Net Revenue: The gross cash receipts from the transfer or commercialization of University Intellectual Property (whether by license or sale) less legal fees and any other out-of-pocket expenses incurred by the University in connection with the legal protection and transfer or commercialization of the University Intellectual Property. Revenue includes royalties, fees, milestone payments, or other financial returns received by the University from such Intellectual Property. Any revenues the University receives for non-commercial uses of University Intellectual Property is not Net Revenue.

Non-Commercial Uses of Copyrightable Intellectual Property:  Revenue the University receives in the form of tuition, certificate and credentialing programs, continuing education, gifts, service fees, service agreements, professional services, revenue generating contracts where the use of University Intellectual Property is incidental to the performance of the agreement and all other revenue that is generated by activities other than the transfer or commercialization of Intellectual Property managed by ICO.

Sponsored Activity: Research and other activities that are supported by resources received by the University from an external entity. 

Outside Activity: Consulting, teaching, or other external activities of a Covered Individual for a third party, or otherwise, outside the scope of the Covered Individual’s employment, appointment, or affiliation with the University, that complies with University policies governing such activity, including but not limited to UA-17 Conflicts of Interest and Commitment.  Outside Activities must be disclosed and approved in accordance with UA-17.

Principal Administrator: The dean of a college or school or the dean’s designee, the director of an academic or non-academic program or division, or other administrator with primary responsibility for the campus unit’s curriculum or activities.

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History

On May 9, 1997, the Board of Trustees adopted the Intellectual Property Policy (UA-05, Intellectual Property Policy) to implement the Statement of Principles on Intellectual Property (March 31, 1994) and to replace the patent policy in effect at that time. Updates to the policy became effective July 1, 2008, following approval by the Board of Trustees on May 2, 2008.

An update to UA-05 was approved by the University Faculty Council on March 26, 2013 and became effective April 11, 2013 upon approval by the Board of Trustees.

UA-05 was revised by the UFC and Board of Trustees in 2014.

This new policy was drafted in 2024, along with UA-24, Intellectual Property: Inventions and Patents, to replace UA-05, Intellectual Property Policy. The Policy was made effective upon approval by the Board of Trustees on June 14, 2024.

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