* The Japanese version is the authoritative version, and this English translation is intended forreference purposes only. Should any discrepancies or doubts arise between the two versions, theJapanese version will prevail.

The University of Tokyo Rules for the Treatment of Works(September 30, 2004, University of Tokyo Rules No. 236)
CHAPTER 1 PURPOSE

1 Purpose
The purpose of the University of Tokyo Rules for the Treatment of Works (these “Rules”) is
to provide for the treatment of Works (as defined in Article 2) created by Faculty Members(as defined in Article 2) of the University of Tokyo (the "University"), to protect the rights of
Authors (as defined in Article 2), to promote the creation and use of Works, and to contributeto the development of academic scholarship.
CHAPTER 2 DEFINITIONS

2 Definitions
In these Rules, the following terms shall have the meanings set out below.
(1) "Work(s)" has the meaning provided in the Copyright Law (Law No. 48 of 1970), andincludes the items listed below:(a) novels, dramas, articles, lectures and other literary works;(b) musical works;(c) choreographic works and pantomimes;(d) paintings, engravings, sculptures and other artistic works;(e) architectural works;(f) maps as well as figurative works of a scientific nature such as plans, charts andmodels;(g) cinematographic works;(h) photographic works;(i) computer program works;(j) databases that, by reason of the selection or systematic construction of information
contained, constitute intellectual creations; and,(k) compilations (excluding databases) that, by reason of the selection or arrangementof their contents, constitute intellectual creations.
(2) "Author(s)" means a person who creates a Work.
(3) "Software Work(s)" means computer program works provided in Article 10.(1) (ix) of
the Copyright Law, databases provided in Article 12-2 of the Copyright Law, and any Works
that are graphical or pictorial images generated by digital data. Also, for semiconductor
integrated circuits, any data that describes the electronic circuit blocks, data that expresses thearrangement patterns of circuit elements, conductors, and the like, and documents that explain
the treatment thereof.
(4) "Moral Right(s)" means the rights of an Author provided in Articles 18.1, 19.1 and 20.1of the Copyright Law (including equivalent rights outside Japan) as follows:

(a) the right to offer and make available to the public a Work that has not yet been
made public;(b) the right to determine whether or not the Author’s true name or pseudonym should
be indicated as the Author on the original Work; and(c) the right to preserve the integrity of a Work against any distortion, mutilation orother modification against the Author’s will.
(5) "Copyright" means the rights provided in Articles 21 through 28 of the Copyright Law(including equivalent rights outside Japan) as follows:(a) the right to reproduce a Work;(b) the right to perform a Work for the purpose of having it seen or heard directly by
the public;(c) the right to present publicly a Work;(d) the right to publicly transmit a Work;(e) the right to publicly recite a literary Work;(f) the right to publicly exhibit the original of an artistic Work or an unpublishedphotographic Work;(g) the right to distribute copies of a cinematographic Work;(h) the right to offer the original or copies of a Work to the public by way of transfer ofownership;(i) the right to offer a Work to the public by lending copies thereof;(j) the right to translate, arrange musically or transform, or dramatize, cinematize, orotherwise adapt a Work; and,(k) the rights of the original Author in relation to the exploitation of a derivative workthat derives from an existing Work.
(6) "Employment Work(s)" means (i) Works (excluding computer program works but
including databases) that are created by Faculty Members in the capacity of their employment
and on the initiative of the University, and published under the name of the University, and(ii) computer program works and, for semiconductor integrated circuits, data that describes
the electronic circuit blocks and data that expresses the arrangement patterns of circuit
elements, conductors and the like, which are created by Faculty Members in the capacity of
their employment and on the initiative of the University.
(7) "Employment-related Work(s)" means Software Works not defined as Employment
Works that are created by Faculty Members through work carried out with public researchfunds, money or other support from the University, or work carried out using facilities
controlled by the University, except for academic papers, personal publications, speeches, andcharts and diagrams showing experimental data associated with such publications.
(8) "Faculty Member(s)" means any of the following persons:(a) officers, full-time faculty members, contract-based faculty members, reemployed faculty
members, contract-based part-time staff and contract-based part-time faculty members of the
University;(b) other personnel who have entered into agreements with the University relating to an
Employment-related Work.
(9) "Other Researcher(s)" means personnel, other than Faculty Members, who are taken on
by the University for the purposes of education, training and researching.

(10)”Faculty” or ”Faculties” means University library system, University-wide centers,
research institutes established under the University of Tokyo Institutes for Advanced Studies,
University Academic Organizations, attached school and attached hospitals provided in
Articles 20 through 21-2 and Chapter 4 of The University of Tokyo Rules on Basic
Organizations, and offices provided in Articles 13 and Articles 18 The University of Tokyo
Rules on Basic Organizations.
CHAPTER 3 OWNERSHIP OF RIGHTS

3 Ownership of Employment Works
3 .1 The University shall be the Author of Employment Works created by Faculty Members,
and the University shall own the Moral Rights and the Copyright in connection with those
Employment Works.
3 .2 If there is any doubt with respect to the Employment Work, the Faculty shall make adetermination in accordance with Article 11. However, if the Faculty (excluding the Office ofIntellectual Property of Division of University Corporate Relations (the “Office ofIntellectual Property”) cannot make the determination, the Office of Intellectual Property
shall make the determination. An objection under Article 13 may be filed against thedetermination.
3-2 Administration of Employment Works
The Faculty shall properly control the Employment Work on its own responsibility. If two or
more Faculties involve in the creation of the Employment Work, the Faculty which controls
the Employment Work shall be determined by discussion.
4 Ownership of Employment-Related Works
4 .1 A Faculty Member who creates an Employment-related Work shall be the Author thereof
and has the Moral Rights and Copyright thereof.
4 .2 If it becomes necessary to supply or license an Employment-related Work to a party otherthan a Faculty Member or Other Researcher (the “Third Party” or “Third Parties”) for
consideration, including supplying it together with the license of the intellectual property
rights for inventions, etc, or if it becomes necessary to assign the Copyright in such an
Employment-related Work for consideration, the Faculty Member concerned shall notify the
University. If the University decides to succeed the Copyright in accordance with Article 12,
the Faculty Member concerned shall assign all rights to the Work to the University.
4 .3 Even in cases to which Article 4.2 does not apply, Articles 11 to 16 shall apply to
Employment-related Works if a Faculty Member wishes to assign Copyright in an
Employment-related Work to the University.
4 .4 A Faculty Member who is the Author of an Employment-related Work assigned to the
University under Article 4.2 or 4.3 above shall not exercise their Moral Rights with respect tothat Employment-related Work.
5 Management of Employment-related Works

Faculty Members shall appropriately manage Employment-related Works at their own
responsibility.
6 Other Works
6 .1 A Faculty Member who creates a Work that is not an Employment Work or an
Employment-related Work shall be the Author thereof, and that Faculty Member shall own
the Moral Rights and the Copyright of that Work.
6 .2 If a Faculty Member wishes to assign Copyright in a Work provided in Article 6.1 to the
University, Articles 11 through 16 shall apply to such Work.
6 .3 A Faculty Member who is the Author of a Work assigned to the University under Article
6.2 above shall not exercise their Moral Rights with respect to that Work.
6 .4 Article 5 shall apply to any Works to which Copyright was assigned to the University
under Article 6.2.
6-2 Receipt of Other Works on the Faculty’s initiative
6-2 Notwithstanding the provision of Article 6-2, The University may receive the OtherWorks created by Faculty member on the Faculty’s initiative if deemed necessary by the
Faculty with agreement of the Faculty member.
6-2-2 Compensation for assignment and other Condition of assignment shall be determined bydiscussion between the Faculty concerned and the Faculty Member concerned.
6-2-3The Faculty concerned shall bear the compensation for assignment and other expenses
for assignment.
7 Works of Other Researchers
7 .1 The University may require, by such means as rules or contracts, that Other Researchers
give notification of Software Works to the University.
7 .2 If an Other Researcher subject to Article 7.1 creates any of the following Software Works,
and if the Other Researcher wishes to handle that Software Work in accordance with Article
4.2, Articles 11 through 16 shall apply correspondingly:(a) Software Works created in collaboration with a Faculty Member;(b) Software Works involving Other Researcher’s research results at the University; and(c) Software Works relating to the research of a research laboratory to which they currently
belong, or have belonged to in the past.
7.3 Article 7.2 shall apply to Software Works created by Other Researchers subject to Article
7.1 during their period of affiliation.
7.4 If an Other Researcher subject to Article 7.1 wishes to assign to the University Copyrightin a Work that does not fall under Article 7.2 or 7.3, Articles 11 through 16 shall apply
correspondingly.
7.5 An Other Researcher who is the Author of a Work assigned to the University under this
Article 7 shall not exercise their Moral Rights with respect to that Work.

7.6 An Other Researcher shall make efforts to appropriately manage any Works assigned to
the University under Article 7 at his or her own responsibility.
8 Works Created by Third Parties
If the University or a Faculty Member commissions the creation of a Work to a Third Party,
the University shall take necessary measures to make it available when executing the relevant
commission contract.
8-2 Treatment of Rights When Supplying Lectures to Third Parties
8-2.1 The University shall take necessary measures regarding the Copyright of lectures in its
curriculum to make them available when it records such lectures for the purpose of supplying
them to a Third Party. The same applies when the University transmits the lectures publicly(including making them transmittable in the case of interactive transmission).
8-2.2 A Faculty Member who is the Author of literary Works contained in a lecture, including
materials used for the lecture, shall not exercise his or her Copyrights or Moral Right withrespect to those Works against use by the University.
9 Treatment After Resignation
These Rules shall govern the treatment of Employment-related Works and other works
created during the period of a Faculty Member’s employment, even if the Faculty Member
concerned has resigned from the University.
CHAPTER 4 HANDLING PROCEDURES

10 Handling by Office of Intellectual Property
The Office of Intellectual Property, The Division of University Corporate Relations (DUCR)
shall oversee the handling of Works under these Rules.
11 Identification of Employment-Related Works
11 .1 If it becomes necessary for a Faculty Member to notify the University in accordancewith Article 4.2, that Faculty Member shall immediately notify the Faculty to which they
belong using a separately prescribed form.
11.2 The same as Article 11.1 shall apply to the cases where a new reason for the notification
provided in the provision of Article 4.2 arise for Employment-related Works which Copyrightwas not assigned to the University in accordance with the provision Article 12-1, or where areason for the notification provided in the provision of Article 4.2 arise for a new creation
added derivative works of the Employment-related Works which Copyright was assigned to
the University in accordance with the provision Article 12-1.
11 .3 In addition to identifying all of the Authors of the above Work, if such Work uses other

Works created by a Third Party, the Faculty Member must also attach information relating tosuch Works to the above notification. The same shall apply to the case where there are otherintellectual properties (e.g. inventions and trademarks) relating to the above Works.
11 .4 If notice is given under Article 11.1, the Faculty shall determine whether or not theWork is an Employment-related work based on that information, and shall inform the Faculty
Member concerned.
11 .5 After making the determination under Article 11.3, the Faculty shall refer the Worksdetermined to be Employment-related Works to the Office of Intellectual Property.
11.6 If the Faculty (excluding the Office of Intellectual Property) cannot make thedetermination provided in Article 4, it shall send the case to the Office of Intellectual Property,
noting that it defers the determination of the case to the Office of Intellectual Property.
11.7 Upon receipt of the case under Article 11.6, the Office of Intellectual Property shallinform the Faculty Member concerned that it has received the case, as well as determine
whether or not the Work is an Employment-related Works.
11.8 After making the determination provided in Article 11.7, the Office of Intellectual
Property shall immediately notify the Faculty and the Faculty Member concerned.
11.9 If the Faculty established the organizations such as an intellectual property officeprovided in Articles 14.2 of The University of Tokyo Rules for the Treatment of Inventions,the organizations such as an intellectual property office concerned can make thedetermination provided in Articles 11.4.
12 Determination of Assignment
12.1 The Office of Intellectual Property shall determine whether or not the University will
succeed the Copyright in Employment-related Works with respect to which referrals havebeen made under Article 11.5 or determined as Employment-related Works in accordancewith Article 11.7, and shall inform the Faculty Member concerned.
12.2 If the University decides to succeed the Copyright, the Faculty Member shall submit arights assignment form, in a form to be separately prescribed, to the Office of Intellectual
Property.
12.3 Upon a request from the Office of Intellectual Property, Faculty Members shall submit a
copy of any Employment-related Work that the University has decided to succeed under
Article 12.2.
13 Objections
If a Faculty Member objects to a determination made under Article 11.4, 11.7 or 12.1, theFaculty Member may file an objection within two (2) weeks of the date of receipt of thenotice of the determination. Objections shall be handled in accordance with Articles 18 and
19 of The University of Tokyo Rules for the Treatment of Inventions.

14 Compensation for Assignment
14 .1 If the University succeeds Copyright under Article 12, it shall pay the FacultyMember who created the Employment-related Work concerned a separately prescribedamount of compensation.
14 .2 In order to promote the technology transfer of Works of the University, the University
may, where considered necessary by the Office of Intellectual Property, acquire Works fromparties other than Faculty Members and Other Researchers subject to Article 7.1, or any
organizations other than the University, and may pay compensation in accordance with
Articles 14.1 and 16.
15 Protection of Rights and Technology Transfer
15 .1 The Office of Intellectual Property shall properly protect Copyrights owned by the
University, and may appropriately transfer technology when it considers it necessary in orderto promote the usage of Employment-related Works and other works.
15 .2 The technology transfer under Article 15.1 includes the licensing of Works andassignment of Copyright.
15 .3 The Office of Intellectual Property may take legal measures to protect the Copyrights ofthe Employment-related Works and other works provided in Article 15.1.
15.4 The Office of Intellectual Property may delegate all or a part of the tasks provided in
Article 15.1 to a third party, such as a technology licensing organization.
16 Compensation resulting from Profit and Income
16 .1 If the University gains profit or income from a Work which Copyright was assigned to
the University (excluding Employment Works), it shall allocate such profit or income inaccordance with the treatment prescribed in Articles 24 through 27 of the University of Tokyo
Rules for the Treatment of Inventions.
16 .2 The University may allocate 70% (seventy percent) of the profit or income from
Employment Works to a Faculty if that Faculty’s contribution to the planning or creation ofthat Employment Work is considered significant.
CHAPTER 5 MISCELLANEOUS PROVISIONS

17 Amendment or Abolition of Rules
Amendment or abolition of these rules shall be conducted through the deliberation of the
Research and Education Council.
18 Agreements with Other Organizations
18 .1 If entering into a contract or agreement relating to research with another organization,
the University shall explain the content of these Rules to the other organization, and shallmake an effort to ensure that the content of that contract or agreement protects the rights of
the University and the Faculty Members provided by these Rules.
18 .2 Article 18.1 notwithstanding, if the University enters contracts or agreements with otherorganizations that have content that conflicts with these Rules, Faculty Members must comply

with the content of such contracts or agreements.
19 Existing Contracts
If an agreement has already been made between the University and Faculty Members, Other
Researchers or other third parties as to the treatment of Works by way of a contract enteredinto prior to these Rules taking effect, the parties concerned shall comply with the terms ofthat contract.
20 Existing Employment-Related Works
The Author of any Work (excluding Employment Works) created prior to the enforcement ofthese Rules may determine the treatment of that Work, provided that if that Work is an
Employment-related Work and a situation arises that falls under Article 4.2 immediately after
the commencement of enforcement of these Rules, or if that Work is subject to substantialchange after the commencement of enforcement of these Rules, that Work shall be treated as
if it were an Employment-related Work created after the enforcement of these Rules.
SUPPLEMENTARY PROVISIONS
These Rules are effective as of September 30, 2004.
SUPPLEMENTARY PROVISIONS
These Rules are effective as of April 1, 2005.
SUPPLEMENTARY PROVISIONS
These Rules are effective as of January 1, 2006.
SUPPLEMENTARY PROVISIONS
These Rules are effective as of March 22, 2007.
SUPPLEMENTARY PROVISIONS
These Rules are effective as of April 1, 2013.