University of Virginia Library

UNIVERSITY OF VIRGINIA PROPOSED COPYRIGHT POLICY

April 8, 1986

UNIVERSITY OF VIRGINIA

PROPOSED COPYRIGHT POLICY

1. INTRODUCTION

The University of Virginia seeks to protect and promote the development of scholarly works by faculty, employees, and students. The University recognizes that such works contribute to the professional development of the authors, and at the same time increase the reputation of the University and enhance the knowledge of the public.

The objective of the University's copyright policy is to identify the proper owner of the copyright interest in a work created by someone connected with the University, and to clarify the circum- stances under which the University will exercise any rights it may have in a work. The University is committed to maintaining traditional incentives for scholarly work and its dissemination while protecting, within the framework of copyright law, the rights of individuals and the University. To this end, all University employees are subject to the provisions of this policy as a condition of employment.

2. OWNERSHIP

a. General

The copyright owner of a work has the exclusive right to reproduce, distribute, sell, lend, lease, license, perform, display, or prepare derivatives of the work. A copyright owner can enforce a copyright against infringement.

Ownership of the copyright interest in a work vests initially in the author of the work. The Copyright Act of 1976 provides that when a copyrightable work is produced by one person who has been employed by another for that purpose, it is the employer, not the work's creator, who is considered the author for copyright purposes. An exception to this rule involves faculty members' copyrightable works, even though such works are expected as part of their obligation to produce scholarly and academic works. The University will not claim an interest in such works unless they require significant use of University facilities, personnel or resources, or are part of a specific assignment.

b. Professional rights of University Faculty

It has long been a recognized right of members of the faculty to write and produce materials subject to copyright, to copyright those materials and to receive royalties resulting from their use. Such materials include, but are not limited to books, articles, artwork, computer software, film, and videotape. The University encourages these activities.

Faculty shall retain -all rights relating to copyright owner- ship, including but not limited to the sale, publication, distribution and classroom use of materials which they have prepared on their own initiative without significant use of University facilities, personnel or resources. This provision includes scholarly papers published in journals and books, as well as unpublished scholarly works. However, works developed pursuant to a faculty member's administrative duties or works specifically assigned by a person acting on behalf of the University may be deemed to be the property of the University.

c. Rights of University Employees

Generally, the University will exercise ownership rights to an employee's work when development of the work was within his scope of employment or pursuant to a specific assignment. The employee owns the rights to any work created at his own initiative, outside the scope of employment and developed without significant use of University facilities, personnel, or resources.

d. Proprietary Interests of the University

In order to encourage creative efforts by faculty and other employees, the University shall be deemed to own all rights, title and interest in materials subject to copyright only when:

i. the materials result from an assigned duty of a University employee or faculty member; or

ii. significant use of University facilities, personnel or resources is made in the produc- tion of the materials.

The University may waive some or all of its interest in a work in favor of the work's creator depending on the circumstances of creation.

3. ASSIGNED DUTY

When a work is prepared by an employee within the scope of employment, under copyright law it is considered a 'work made for hire." Generally, the University will exercise ownership under the work made for hire rationale only when the employee was given an assignment to create the product whose ownership is in question. A FACULTY MEMBER'S GENERAL OBLIGATION TO PRODUCE SCHOLARLY WORKS DOES NOT CONSTITUTE SUCH A UNIVERSITY ASSIGNMENT.

For purposes of the Copyright Policy only, a faculty member's scope of employment shall not be considered to include preparation of copyrightable materials in connection with that person's teaching assignments, participation in research projects, artistic creations, or other scholarship which flow from individual initiative. The University will not claim a copyright interest in these works unless their creation was part of a specific assignment by a chairman, dean or other University administrator, or required significant use of University facilities and resources.

4. 'SIGNIFICANT USE' OF UNIVERSITY FACILITIES, PERSONNEL AND RESOURCES

What constitutes 'significant use' of University facilities, personnel and resources is a question that must be answered on the basis of the facts and circumstances of each case. Significant use of University facilities, personnel and resouces is that use which is over and above that provided in the normal course of school, depart- ment and University support of faculty members in pursuit of, their scholarly and professional activities. The University will not construe the use of office or library as constituting significant use of facilities, nor will it construe the payment of salary. as constituting significant use of funds. Examples of University resources that may be considered include, but are not limited to, computer use, a graduate assistant's services, laboratory materials, and secretarial assistance.

5. SPONSOR-SUPPORTED EFFORT

Funds and facilities provided by governmental, commercial, industrial or other private organizations which are administered and controlled by the University shall be considered to be funds and

facilities provided by or through the University for purposes of this policy. Agreement between the University and the sponsor pertaining to share of royalties and title to copyrightable materials shall be the responsibility of the University.

6. OTHER CONTRACTS WITH THIRD PARTIES

University employees who contract with third parties for the development of copyrightable works can relinquish no greater interest in the materials than they possess. Therefore, if the employee makes significant use of University facilities, personnel or resources to develop the materials, the University retains an interest in the work, regardless of the terms of the contract between the University employee and, the third party, unless the University specifically waives its rights.

In the case of a commissioned or specially ordered work created for the University by an independent contractor, the University may claim a copyright interest in the work. Such work - falls within the class of works made for hire, but differs from works created by University employees in that a written agreement signed by both parties is required before the University can claim the copyright interest in the independent contractor's work.

7. STUDENT WORKS

Copyrightable works, including dissertations, developed in connection with course work by students who are not University employees are deemed to belong to the student. However, the University may claim copyright ownership of a work when extraordinary use of University facilities, personnel, or resources- is made in the development of the materials, especially when unrelated to coursework.

8. UNIVERSITY OWNERSHIP OF COPYRIGHT

The University shall claim in its name the copyright to materials in which the Associate Provost for Research has determined the University possesses a proprietary interest. The Associate Provost for Research may assign the University's rights to the copy- right.

9. DISTRIBUTION OF ROYALTIES OR OTHER INCOME

In general, the work's author (s) will receive, from any work in which it is determined that the University owns the copyright interest, fifty percent of the net royalties or other income which accrue.

10. ADMINISTRATIVE RESPONSIBILITIES

a. Procedures for Reporting Hatpriall

All potentially valuable, copyrightable materials in which the University may have an interest under the provisions of this policy shall be promptly reported in writing by University personnel concerned through the department head and dean to the Associate Provost for Research, for the purpose of determining whether and to what extent the University has a proprietary interest in the material. If more than one individual participated in the work's development, the report shall indentify the percent of each participant's interest, and shall be signed by all participants. The report shall include a complete disclosure of the identity of all persons participating in the development, and of the subject matter of the materials concerned. The participants shall furnish additional information and execute documents fromr time to time as the Associate Provost for Research may reasonably request.

b. Responsibilities of the Associate Provost for Research

The Associate Provost for Research is responsible for the implementation and administration of this copyright policy and for securing copyrights in the University's name.

The Associate Provost for Research shall:

• Develop standards and procedures appropriate f or the implementation of this policy;
• Advise the author as to ownership of copyright in a work;
• Promptly consider all reports of materials and determine the circumstances of creation to establish whether the work involved significant use of University facilities, personnel or resources, was a work made for hire, or was the product of the-creator's initiative. Such deter- minations will be made within 30 days;
• Determine whether to copyright a work. in the Univer- sity's name, or to waive some or all of those rights in favor of the work's creator;
• Determine whether the copyrightable work in which the University holds an interest is marketable, and if so, take appropriate steps in behalf of the University for marketing the work, including transferring the University's rights to the Alumni Patents Foundation or another entity;
• Establish guidelines for distribution of royalties when the University and the work's creator share in the copyrights;
• Distribute royalties accruing to the University as a result of the implementation of this policy.

In any case where the rights of the University and of any employee appear to be in conflict, the Associate Provost for Research shall make a finding as to ownership and shall report such finding to the Provost for final resolution.

c. The Provost

The Provost shall:

• Approve the standards and procedures and any amendment thereto developed by the Associate Provost for Research for the implementation of the Copyright Policy;
• At the request of any interested party or on his own motion, review any determination of the Associate Provost. The Provost may affirm, modify, or reject any determination of the Associate Provost for Research, and may make his own determination if the Associate Provost does not make a determination within 30 days after the work was reported;
• Conduct an annual review of the copyright program with the Associate Provost for Research.

d. The Office of Sponsored Programs

In implementing the Copyright Policy, the Office of Sponsored Programs shall:

• Inform the Office of the Associate Provost for Research of all requirements regarding copyrights in any grant or contract accepted by University of Virginia;
• In conjunction with the office of the Associate Provost for Research, provide all copyright and other pertinent information as required by the terms of a grant, contract, or agreement to which the University is a party.