Cambridge University Press et al v. Patton et al

Filing 300

RESPONSE re 279 Order, Proposed Injunctive Relief filed by Cambridge University Press, Oxford University Press, Inc., Sage Publications, Inc.. (Attachments: # 1 Exhibit 1, # 2 Exhibit 2, # 3 Exhibit 3, # 4 Exhibit 4, # 5 Exhibit 5)(Rains, John)

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FACULTY
HANDBOOK
NEW YORK UNIVERSITY
A private University in the Public Service

PUBLISHED 2008 BY NEW YORK UNIVERSITY

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Table of Contents
Page

Introduction

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LETTER FROM THE PRESIDENT
ETHICAL COMMITMENT
FOREWORD

The University
HISTORY AND TRADITIONS OF NEW YORK UNIVERSITY

A Brief History of New York University
University Traditions
ORGANIZATION AND ADMINISTRATION

The University Charter
The Board of Trustees
University Officers
The University Senate
University Councils and Commissions
Organization of Schools, Colleges, and Departments
LIBRARIES

A Brief History
Library Facilities and Services
New York University Press
PUBLIC AFFAIRS
OFFICE FOR UNIVERSITY DEVELOPMENT AND ALUMNI RELATIONS

University Development
Alumni Relations

The Faculty
ACADEMIC FREEDOM AND TENURE

Title I: Statement in Regard to Academic Freedom and Tenure
Title II: Appointment and Notification of Appointment
Title III: Rules Regulating Proceedings to Terminate for Cause the Service of a
Tenured Member of the Teaching Staff, Pursuant to Title I, Section VI,
of the Statement in Regard to Academic Freedom and Tenure
Title IV: General Disciplinary Regulations Applicable to Both Tenured
and Non-Tenured Faculty Members
OTHER FACULTY POLICIES

Faculty Membership and Meetings
Faculty Titles
Responsibilities of the Faculty Member
Compensation
Sabbatical Leave
Leave of Absence (paid and unpaid)
Faculty Grievance Procedures

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Retirement
University Benefits
Legal Matters
SELECTED UNIVERSITY RESOURCES FOR FACULTY

Office of Faculty Resources
The Administration of Sponsored Research and Training
Faculty Resource Network
The Center for Teaching Excellence
Visiting Scholars Program

The Students
THE ADMINISTRATION OF STUDENT AFFAIRS

Office of Student Life
Student Affairs at the School of Medicine
Academic Discipline
Student Press
Privacy of a Student’s Educational Records

Selected University Policies
SELECTED POLICIES CONCERNING THE PROTECTION OF RIGHTS AND OTHER MATTERS

NYU Code of Ethical Conduct (6/22/99)
Statement of Policy on Equal Opportunity and Anti-Discrimination (6/19/72)
Affirmative Action Policy (6/19/72)
Anti-Harassment Policy (2006)
Preventing Threatening or Violent Behavior in the Workplace (2003)
Statement of Policy on Faculty Responsibility to the University (12/10/84)
New York University Supplemental Guidelines for Disclosure and
Review of Conflicts of Interest in Research (2/9/95)
Legal Protection for Faculty Members (12/14/81)
Procedures for Termination or Reorganization of Academic Programs
(12/10/79 and 12/1/97)
Policy on the Employment of Members of the Same Family (long standing)
University Practice with Respect to Memberships and Subscriptions (10/4/71)
Guidelines for the Implementation of the Family Educational Rights and
Privacy Act of 1974 (11/19/74)
Guidelines for Sponsored Research (4/26/06)
Principles and Procedures for Dealing with Allegations of Research Misconduct
(4/17/86 and modified administratively September 2007)
Conflict of Interest (5/23/66)
Statement of Policy on Patents (11/26/56)
Statement of Policy on Copyrights (1/24/72)
Statement of Policy on Computer Software Copyrights (6/5/89)
Statement of Policy on Photocopying Copyrighted Materials (5/9/83)
Statement of Policy on Honorary Degrees (11/25/68)

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SELECTED POLICIES CONCERNING GOOD ORDER IN THE CONDUCT OF
UNIVERSITY AFFAIRS

Guidelines for the Use of University Facilities (5/13/71)
New York University Rules for the Maintenance of Public Order (5/26/69)
Statement of Policy on Student Conduct at New York University (2/29/68)
Student Disciplinary Procedures (2/9/78)
Policy on Solicitation (10/14/68)
Speakers and Other Campus Visitors (2/29/68)
Guidelines Regarding Protest and Dissent (5/2/91)
Policies on Substance Abuse and Alcoholic Beverages (2007)
Statement of Policy on Smoking (1995 and updated 2003)

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141

Statement of Policy on Photocopying Copyrighted Materials
(Policy Statement on Photocopying of Copyrighted Materials for Classroom and Research Use
Approved by the Board of Trustees, May 9, 1983)
In December, 1982, nine publishers commenced a lawsuit against the University and nine
members of the faculty (as well as an off-campus copy shop) alleging that the photocopying and
distribution of certain course materials, without the permission of the copyright owners of the
materials, violated the Copyright Act (17 U.S.C. §§ 101 et. seq., 90 Stat. 2541, Pub. L. 94-553).
It has become increasingly clear that the subject of photocopying for classroom and research
purposes is of significant concern to the faculty, who have inquired about issues such as when
photocopying may be done without the consent of the copyright owner; when and how
permission to photocopy should be obtained; how exposure to liability may be reduced; and
under what circumstances the University will defend them against claims of copyright
infringement arising out of photocopying for classroom and research use. To assist the faculty in
resolving these issues, to facilitate compliance with the copyright laws, and as part of the
settlement of the publishers’ lawsuit, the University is issuing this Policy Statement9.
1.

2.

9

The principles of the copyright law are designed to promote the creation, publication, and
use of works of the intellect. These principles include both the exclusive rights of
copyright owners to determine certain uses of their works (in not-for-profit as well as
commercial contexts), and certain exceptions including the doctrine of “fair use”. These
precepts are in the mutual interest of the university, author, and publisher communities
and of the public.
Under the copyright laws, certain photocopying of copyrighted works for educational
purposes may take place without the permission of the copyright owner under the doctrine
of “fair use” (presently set forth in Section 107 of the Copyright Act). This principle is
subject to limitations, but neither the statute nor judicial decisions give specific practical
guidance on what photocopying falls within fair use. To achieve for faculty greater
certainty of procedure, to reduce risks of infringement or allegations thereof, and to
maintain a desirable flexibility to accommodate specific needs, the following policies
have been adopted by the University for use through December 31, 1985 (and thereafter,
unless modified). On or before December 31, 1985 the University will review these
policies to determine their effect and whether modifications, based on our experience,
might be needed. If members of the faculty experience any problems or have suggestions,
they are asked to communicate them to the Office of Legal Counsel.

This Policy Statement supersedes the document entitled “Interim Guidelines Concerning Photocopying for Classroom
Research and Library Use” which was distributed on January 18, 1983.

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A.

The Guidelines set forth in Appendix I are to be used to determine whether or not
the prior permission of the copyright owner is to be sought for photocopying for
research and classroom use10. If the proposed photocopying is not permitted under
the Guidelines in Appendix I, permission to copy is to be sought. An explanation of
how permissions may be sought and a procedure for furnishing to the
administration information concerning the responses by copyright owners to
requests for permission is set forth in Appendix II. After permission has been
sought, copying should be undertaken only if permission has been granted, and in
accordance with the terms of the permission, except as provided in the next
paragraph.

B.

The doctrine of fair use may now or hereafter permit specific photocopying in
certain situations, within limitations, beyond those specified in the Guidelines11 or
those that might be agreed to by the copyright owner. In order to preserve the
ability of individual faculty members to utilize the doctrine of fair use in
appropriate circumstances without incurring the risk of having personally to defend
an action by a copyright owner who may disagree as to the limits of fair use, a
faculty member who has sought permission to photocopy and has not received such
permission (or has received permission contingent upon conditions that the faculty
member considers inappropriate) may request a review of the matter by General
Counsel of the University. If upon review the General Counsel determines that
some or all of the proposed photocopying is permitted by the copyright law, the
General Counsel will so advise the faculty member. In that event, should any such
photocopying by the faculty member thereafter give rise to a claim of copyright
infringement, the University will defend and indemnify the faculty member against
any such claim in accordance with the provisions of the Board of Trustees policy
on Legal Protection for Faculty Members (see page 84).

10

To minimize intrusiveness and over-centralization, the responsibility for making this determination will continue to reside
with the individual faculty member. In making this determination, the faculty member should carefully consider all sections
of the attached guidelines.
11
The guidelines contained in Appendix I were negotiated by education, author, and publishing representatives in 1976 and
were incorporated in the House of Representatives report accompanying the Copyright Act of 1976. The introductory
explanation of the guidelines in the House Report describes their relationship to the doctrine of fair use as follows:
Agreement on Guidelines for Classroom Copying in Not-for-Profit Educational Institutions
With Respect to Books and Periodicals
The purpose of the following guidelines is to state the minimum standards of educational fair use under Section
107 of H.R. 2223. The parties agree that the conditions determining the extent of permissible copying for
educational purposes may change in the future; that certain types of copying permitted under these guidelines may
not be permissible in the future; and conversely that in the future other types of copying not permitted under these
guidelines may be permissible under revised guidelines.
Moreover, the following statement of guidelines is not intended to limit the types of copying permitted under the
standards of fair use under judicial decision and which are stated in Section 107 of the Copyright Revision Bill.
There may be instances in which copying which does not fall within the guidelines stated below may nonetheless
be permitted under the criteria of fair use.

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C.

In the absence of the determination and advice by the General Counsel referred to
in paragraph B, or in the event that permission has not been first requested by the
faculty member as provided in paragraph A, no defense or indemnification by the
University shall be provided to a faculty member whose photocopying gives rise to
a claim of copyright infringement.

Appendix I: Guidelines
I.

Single Copying for Teachers
A single copy may be made of any of the following by or for a teacher at his or her
individual request for his or her scholarly research or use in teaching or preparation to
teach a class:
A.
B.

An article from a periodical or newspaper;

C.

A short story, short essay or short poem, whether or not from a collective work;
and

D.

II.

A chapter from a book;

A chart, graph, diagram, drawing, cartoon or picture from a book, periodical, or
newspaper.

Multiple Copies for Classroom Use
Multiple copies (not to exceed in any event more than one copy per pupil in a course) may
be made by or for the teacher giving the course for classroom use or discussion; provided
that:
A.

The copying meets the tests of brevity and spontaneity as defined below; and

B.

Meets the cumulative effect test as defined below; and

C.

Each copy includes a notice of copyright.

Definitions
Brevity
(i)

Poetry: (a) A complete poem if less than 250 words and if printed on not more than two
pages or, (b) from a longer poem, an excerpt of not more than 250 words.

(ii)

Prose: (a) Either a complete article, story or essay of less than 2,500 words, or (b) an
excerpt from any prose work of not more than 1,000 words or 10% of the work,
whichever is less, but in any event a minimum of 500 words.

[Each of the numerical limits stated in “i” and “ii” above may be expanded to permit the
completion of an unfinished line of a poem or of an unfinished prose paragraph.]
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(iii)

Illustration: one chart, graph, diagram, drawing, cartoon or picture per book or per
periodical issue.

(iv)

“Special” works: Certain works in poetry, prose or in “poetic prose” which often combine
language with illustrations and which are intended sometimes for children and at other
times for a more general audience fall short of 2,500 words in their entirety. Paragraph
“ii” above notwithstanding such “special works” may not be reproduced in their entirety;
however, an excerpt comprising not more than two of the published pages of such special
work and containing not more than 10% of the words found in the text thereof, may be
reproduced.

Spontaneity
(i)

The copying is at the instance and inspiration of the individual teacher, and

(ii)

The inspiration and decision to use the work and the moment of its use for maximum
teaching effectiveness are so close in time that it would be unreasonable to expect a timely
reply to a request for permission.

Cumulative Effect
(i)

The copying of the material is for only one course in the school in which the copies are
made.

(ii)

Not more than one short poem, article, story, essay or two excerpts may be copied from
the same author, nor more than three from the same collective work or periodical volume
during one class term.

(iii)

There shall not be more than nine instances of such multiple copying for one course
during one class term.

[The limitations stated in “ii” and “iii” above shall not apply to current news periodicals and
newspapers and current news sections of other periodicals.]
III.

Prohibitions as to I and II Above
Notwithstanding any of the above, the following shall be prohibited:
A.

Copying shall not be used to create or to replace or substitute for anthologies,
compilations or collective works. Such replacement or substitution may occur
whether copies of various works or excerpts therefrom are accumulated or
reproduced and used separately.

B.

There shall be no copying of or from works intended to be “consumable” in the
course of study or of teaching. These include workbooks, exercises, standardized
tests and test booklets and answer sheets and like consumable material.

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C.

Copying shall not:
a)
b)

be directed by higher authority;

c)

D.

substitute for the purchase of books, publishers’ reprints or periodicals;

be repeated with respect to the same item by the same teacher from term to
term.

No charge shall be made to the student beyond the actual cost of the
photocopying.
Agreed March 19, 1976.
Ad Hoc Committee on Copyright Law Revision:
By Sheldon Elliott Steinbach.
Author-Publisher Group:
Authors League of America:
By Irwin Karp, Counsel.
Association of American Publishers, Inc:
By Alexander C. Hoffman,
Chairman, Copyright Committee.

Appendix II: Permissions
A.

How to Obtain Permission
When a proposed use of photocopied material requires a faculty member to request
permission, communication of complete and accurate information to the copyright owner
will facilitate the request. The Association of American Publishers suggests that the
following information be included to expedite the process.
1.

Title, author and/or editor, and edition of materials to be duplicated.

2.

Exact material to be used, giving amount, page numbers, chapters and, if possible,
a photocopy of the material.

3.

Number of copies to be made.

4.

Use to be made of duplicated materials.

5.

Form of distribution (classroom, newsletter, etc. ).

6.

Whether or not the material is to be sold.

7.

Type of reprint (ditto, photocopy, offset, typeset).
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The request should be sent12, together with a self-addressed return envelope, to the
permissions department of the publisher in question. If the address of the publisher does
not appear at the front of the material, it may be obtained from The Literary Marketplace
(for books) or Ulrich’s International Periodicals (for journals), both published by the R. R.
Bowkey Company. For purposes of proof, and to define the scope of the permission, it is
important that the permission be in writing.
The process of considering permission requests requires time for the publisher to check
the status and ownership of rights and related matters and to evaluate the request. It is
advisable, therefore, to allow sufficient lead time. In some instances the publisher may
assess a fee for permission, which may be passed on to students who receive copies of the
photocopied material.
B.

Gathering Data on Responses to Requests for Permission to Photocopy
In order to help assess the effect of this Policy Statement upon the faculty it will be useful
for the administration to compile data on responses by copyright owners. Each member of
the faculty is therefore requested to forward a dated copy of each request for permission
and a dated copy of each response to the Office of Legal Counsel.

12

The following is a sample letter to a copyright owner (usually a publisher) requesting permission to copy:

Material Permissions Department
Hypothetical Book Company
500 East Avenue
Chicago, IL 60601
Dear Sir/Madam:
I would like permission to copy the following for use in my class next semester:
Title: Knowledge is Good, Second Edition
Copyright: Hypothetical Book Co., 1965, 1971
Author: Frances Jones
Material to be duplicated: Chapter 10 (photocopy enclosed)
Number of copies: 50
Distribution: The material will be distributed to students in my class and they will pay only the cost of the
photocopying.
Type of reprint: Photocopy
Use: the chapter will be used as supplementary teaching materials.
I have enclosed a self-addressed envelope for your convenience in replying to this request.
Sincerely,

Faculty Member

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