Procedure as to limitations on claims to the Creator personal share of Net Royalties

Approved October 24, 2018 by the Harvard University Committee on Intellectual Property.

In the discussion that follows, capitalized terms will have the meaning ascribed to them in the Harvard University Statement of Policy in Regard to Intellectual Property (the “IP Policy”). 

Section V of the IP Policy sets forth the rights of Creators with respect to Net Royalties in general and to the Creator personal share of Net Royalties in particular.  Effective implementation of the provisions of Section V depends in part on the compliance of “covered persons” under the IP Policy with the requirement that they promptly report their Creations to the University’s Office of Technology Development (“OTD”).  An individual’s failure to report his or her Creation promptly compromises the ability of OTD to meet Harvard’s obligations to its external sponsors of research, which may include the U.S. government; to secure enforceable legal protection for Supported Inventions; to grant licenses to commercial partners; and to distribute Net Royalties to known stakeholders (Creators identified to OTD, Harvard’s internal operating units and, in some instances, other organizations).  In short, such failure frustrates the essential purposes of the IP Policy, which is to foster and reward innovation and translate it into public benefit.

This Procedure means to encourage the prompt reporting by each covered person of his or her Creations to OTD and to enable OTD to distribute any Net Royalties efficiently, thereby fulfilling the aims of the IP Policy.  It is as follows:

• It is the responsibility of each covered person who believes him/herself to be a Creator to report his or her Creation to OTD as required in Section I, paragraph B or Section III, paragraph B of the IP Policy, as applicable, and as otherwise required pursuant to any version of the Harvard University Participation Agreement, Harvard University Visitor Participation Agreement or other agreement with Harvard that may cover the Creation in question.

• If a covered person believes that another individual may have reported his or her Creation (for example, a Creation they have made jointly), it remains the covered person’s responsibility to confirm with OTD that, in any report of the Creation, he or she has been listed among its contributors.

• If, after Net Royalties are realized on account of a given Creation, an individual either is newly named as a Creator or makes him/herself known to OTD as a potential Creator with respect to same, such individual will be deemed to have waived his or her rights:

  • to receive any share of any past or current Net Royalties of which the Creator personal share has been distributed as of that date; and
  • if the Creation has been licensed as part of a package, to exercise the right under Section V, paragraphs E(iii) and F to participate in or to appeal the decision regarding how Net Royalties will be allocated among Creations included in such package;

provided, however, that with respect to any past or current Net Royalties of which the Creator personal share has not yet been distributed, as well as any future Net Royalties, such individual will retain his or her rights under Section V, paragraph E(i) with respect to the allocation of the Creator personal share of Net Royalties among Creators of his/her Creation, and, if the Creation is an Unpatented Material, the right of appeal provided under Section V, paragraph F with respect to administrative decisions regarding same.

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