UNIVERSITY OF PITTSBURGH POLICY 11-02-02
CATEGORY: RESEARCH ADMINISTRATION
SECTION: Technology Management
SUBJECT: Copyrights
EFFECTIVE DATE: September 5, 2006 Revised
PAGE(S): 7
I. SCOPE
In the course of teaching, research and other scholarly and administrative
activities at the University, faculty, staff, postdoctoral associates,
students and others may create works that are protected by copyright.
Federal Copyright Law provides protection for original works of authorship
automatically at the time those works are fixed in a tangible medium.
This policy establishes the rights and responsibilities of the University
and of faculty, staff, postdoctoral associates, students and others
regarding the creation, use and ownership of works protected by copyright,
and the distribution of royalties generated from the licensing and
exploitation of those copyrights.
II. POLICY
A. General Policy Statement
Copyright law (e.g. 17 U.S.C. ? 101, et. seq.) provides that the
copyright to a work created by a person in the course of his or her
employment (a “work for hire” – see Definitions) belongs to the
employer rather than the individual creator. However, universities
have traditionally developed exceptions to this general rule that
apply to their unique academic settings. Therefore, subject to the
exceptions in items 1 through 5 below, it is the policy of the
University that the copyright in all materials created by University
faculty, postdoctoral associates, or students (hereinafter
“University Authors”) in the course of their academic
responsibilities resides in the University Authors.
University Authors maintain all copyright ownership in any material
which is a copyrighted work, including scholarly, creative, musical,
literary or architectural work, in the author’s field of expertise
(a “Scholarly Work”), such as scientific or scholarly research
papers, popular nonfiction, novels, textbooks, computer programs,
poems, musical compositions, films, webpages, lecture notes,
dramatic works or other works of artistic imagination. University
Authors, however, are reminded that they must also comply with
Policy 11-01-03, Conflict of Interest – Research/Teaching, and with
Policy 11-02-01, Patent Rights and Technology Transfer. Ownership
of copyright cannot impede compliance with these policies or with
University policies or Federal or State regulations governing
academic issues such as research integrity.
The University does retain a non-exclusive, irrevocable, perpetual,
royalty-free license for course material created by the faculty in
the course of employment. This license includes the right to create
derivative works, but not the right to publish such scholarly works
for dissemination outside the University.
The University also retains world-wide copyright ownership in the
following specific circumstances:
1. Assigned Tasks The University owns the copyright to works
created: (i) by staff members (other than faculty or
postdoctoral scholars) or student employees within the scope
of their employment; and (ii) by faculty members or
postdoctoral associates as an assigned task. An assigned task
is any task within the scope of employment that is not a
Scholarly Work. An assigned task might include the
development of course materials that are posted on the
internet or made available in some other format, when this has
been specifically contracted for as an Institutional Work (see
#4 below).
2. Outside Agreements Where copyrighted materials are developed
in the course of sponsored research funded by an outside
agency or entity pursuant to a written agreement, copyright
ownership of such materials shall rest with the University
unless it is stated otherwise by the terms of such agreement.
See section II, D below.
3. Patentable Works Where a copyrighted work, such as certain
computer software, is also patentable, University Policy 11-
02-01, Patent Rights and Technology Transfer, will apply as to
ownership of both copyright and patent rights and to
distribution of any income from commercialization or
exploitation, notwithstanding any inconsistent provisions
contained in this or any other University policy.
4. Institutional Works The University shall retain ownership of
works created as Institutional Works. Institutional Works
include works that are supported by a specific allocation of
University funds or that are created at the direction of the
University for a specific University purpose. Institutional
Works also include works whose authorship cannot be attributed
to one or a discrete number of authors but rather result from
simultaneous or sequential contributions over time by multiple
faculty and/or students. For example, software tools
developed and improved over time by multiple faculty and
students where authorship is not appropriately attributed to a
single or defined group of authors would constitute an
Institutional Work. See for example, the USEP agreements to
develop curricula. However, the mere fact that multiple
individuals have contributed to the creation of a work shall
not cause the work to constitute an Institutional Work.
5. Recording, Transmission, and Related Classroom Technology Any
applicable copyright in an audiovisual presentation of courses
taught and recorded or transmitted belongs to the University.
Faculty members retain a non-transferable, personal, non-
exclusive license to use the recordings or broadcasts for not-
for-profit educational purposes, and the courses may not be
further distributed outside the University without written
permission from the Provost or his/her designee. Prior to
videotaping or otherwise producing an audio-visual record,
written permission should be obtained from anyone who will
appear in the program. Assistance in recording and
transmitting courses may be obtained through the University’s
Center for Instructional Development and Distance Education.
B. Student Works
As described above in accordance with academic and University
tradition, the University does not claim ownership to Scholarly
Works. Such works include those of students created in the
course of their education, such as dissertations, papers and
articles. However, patentable inventions including those described
in a dissertation, paper or article are the property of the
University pursuant to Policy 11-02-01, Patent Rights and Technology
Transfer. See also section II, A (3) above.
C. Works of Non-Employees
Under the Copyright Act, works of consultants, independent
contractors, and other non-employees, created at the request of, on
behalf of, or for the benefit of the University, generally are owned
by the creator and not by the University, unless there is a written
agreement to the contrary. Since it is the University’s policy that
the University shall obtain ownership of the copyright in such
works, the University requires all consultants, contractors or other
non-employees to execute a written agreement prior to the beginning
of any work under such engagement that states that world-wide
copyright ownership of such works is assigned to and vests in the
University.
Examples of works which the University may retain non-employees to
prepare are:
- Architectural structures
- Reports by consultants or subcontractors
- Computer software
- Architectural or engineering drawings
- Illustrations or designs, including computer graphics
- Artistic drawings and artistic works
D. Contractual Obligations of the University
This Copyright Policy shall not be interpreted to limit the
University’s ability to meet its obligations for deliverables under
any contract, grant, or other arrangement with third parties,
including sponsored research agreements, license agreements and the
like. Copyrightable works that are subject to a sponsored research
agreement or other contractual obligations of the University shall
be owned by the University, so that the University may satisfy its
contractual obligations.
III. ROYALTY/INCOME POLICY
A. Allocation of Royalty/Income – For Works Other Than Scholarly Works
Where the University has an ownership interest in a work and
revenues result from licensing that work or otherwise exploiting it,
the standard royalty sharing arrangement will be as follows:
1. Where the work is a “work for hire” created by a University
employee or non-University consultant, contractor, or other
non-employee there is generally no royalty-sharing arrangement
unless there is a written agreement between the University and
such person(s) providing for distribution of income to the
University employee, consultant, contractor, or other non-
employee.
2. Where there is a written agreement between the University and
any non-University individual or entity, or a written shared-
royalty agreement regarding works created using University
resources, distribution of income will be made according to
that agreement.
3. In all other cases where the University has an ownership
interest in a copyrighted work, first income will reimburse
University or other development funds (excluding gifts and
sponsored agreements) and other expenses or fees related to
the creation of the work and the maintenance, or enforcement
of the copyright or of licensing of the work.
The balance of proceeds from royalties or disposition will be
distributed as follows:
- 50% to the creator(s) or developer(s);
- 25% to the department or school of the creator/developer for
use in furthering the work of the creator/developer at his or
her discretion with the approval of the department head or
chair; or for purposes at the discretion of the department
head or chair, if the creator/developer is no longer an active
member of the faculty or staff and the department has applied
for use of the funds as stated below, or is a student at the
University; and
- 25% to the University Copyright Development Fund, to provide
for development of works that may be copyrightable, under the
direction of the Office of the Provost.
- In the event that total income from a copyright exceeds
$100,000, the above distribution of royalties may be changed
in accordance with a plan approved by the Chancellor of the
University, but not so as to reduce the creator’s share.
In the event that an employee entitled to allocation of royalties or
income under this policy leaves the University, voluntarily or
involuntarily, the employee will continue to receive payments, but
will not be entitled directly or indirectly to continue to receive
or transfer any other rights or benefits from the proceeds
distributed to the department, school, or University.
In the event of the death of an employee entitled to allocation of
royalties or income under this policy, payments will continue to be
paid to the employee’s estate and subsequently to those who, by a
court approved distribution or order, are designated to receive such
payments. The limitations on distributions set forth in the
preceding paragraph apply.
In the event of the above mentioned departure or death of an
employee entitled to royalties or income under this policy, the
department’s share of funds described above will revert to the
University Copyright Development Fund. The University Author’s
department, wherein the University Author was primarily employed
while he or she created the work, may subsequently choose to apply
to the University Copyright Committee for use of these funds. In
the event of such an application, the Committee will make a
recommendation to the Provost who will make a final determination.
Any disputes involving royalties will be resolved by the Provost,
after a recommendation from the University Copyright Committee.
B. Determination of Ownership and Policy in Unclear Cases
Questions of ownership or other matters pertaining to materials
covered by this policy shall be resolved by the Provost after a
recommendation from the University Copyright Committee.
C. Use of the University Name in Copyright Notices
The following notice should be placed on all copies of all
University-owned materials in order to protect the copyright:
Copyright (or ©), year, University of Pittsburgh. All Rights
Reserved.
No other institutional or departmental name is to be used in the
copyright notice although the name and address of the department to
which readers can direct inquiries may be listed below and separate
from the copyright notice. The date in the notice should be the
year in which the work is first published, i.e., distributed to the
public or any sizable audience.
Additionally, works may be registered with the United States
Copyright Office using its official forms. Assistance with the
registration of University-owned works may be obtained from the
Office of General Counsel, to which questions concerning copyright
notices and registration also may be addressed. In cases where the
University does not own the work, University Authors should consult
their own counsel regarding registration.
D. Copying of Works Owned by Others
Members of the University community are cautioned to observe the
rights of other copyright owners. Relevant legislation and
guidelines regarding the copyright law, the TEACH Act and the
Digital Millennium Copyright Act are available at the Office of
General Counsel. Also see Policy 10-04-01, Copying Copyrighted
Material.
E. In the event the foregoing guidelines leave you with unanswered
questions which may affect proposed conduct, please contact the
Office of General Counsel at 412-624-5674.
IV. DEFINITIONS
A. Copyrightable Works
As used in this policy, “Copyrightable Works” and all references to
works protected by copyright law mean and refer to the definition of
copyrightable works under federal copyright law. Under federal
copyright law, copyright exists in “original works of authorship”
which have been fixed in any tangible medium of expression from
which they can be perceived, reproduced or otherwise communicated,
either directly or with the aid of a machine or device. These works
include, but are not limited to:
- Literary works such as books, journal articles, poems,
manuals, memoranda, tests, computer programs, instructional
material, databases, bibliographies;
- Musical works including any accompanying words;
- Dramatic works, including any accompanying music;
- Pantomimes and choreographic works (if fixed, as in notation
or videotape);
- Pictorial, graphic and sculptural works, including
photographs, diagrams, sketches and integrated circuit masks;
- Motion pictures and other audiovisual works such as
videotapes; and
- Sound recordings.
B. Scope of Copyright Protection
Federal copyright law provides that copyright protection does not
extend to any idea, process, concept, discovery or the like, but
only to the work in which it is embodied, illustrated or expressed.
For example, a written description of a manufacturing process is
copyrightable, but the copyright only prevents unauthorized copying
of the description; the process described could be freely copied
unless it enjoys some other protection, such as patent.
Subject to various exceptions and limitations provided for in the
copyright law, the copyright owner has the exclusive right to
reproduce the work, prepare derivative works, distribute copies by
sale or otherwise, and as to certain types of works display or
perform the work publicly. Ownership of copyright is distinct from
the ownership of any material object in which the work may be
embodied. For example, if one purchases a videotape, one does not
necessarily obtain the right to make a public showing for profit.
Furthermore, simply because a work is available electronically does
not mean it may be legally reproduced.
C. Scholarly Works
Intellectual or creative works created in the course of academic
responsibilities by faculty, postdoctoral associates or students,
such as courseware, popular nonfiction, novels, textbooks, poems,
musical compositions, films, webpages, lecture notes, dramatic works
or other works of artistic imagination.
D. University Copyright Committee
The University Copyright Committee shall be formed and maintained by
the Office of the Provost as follows. The Committee will consist of
five members. A majority of the members will be faculty members.
The Chair of the Committee will be the Vice Provost for Research.
The Chair is also a member of the committee. The Committee may
promulgate rules for its own conduct. The purpose of the Committee
is to attempt to resolve copyright disputes, and if unable to
resolve the dispute, make a recommendation to the Provost for final
resolution. Any member of the University community may submit, in
writing, a copyright matter for resolution to the Committee.
E. Work for Hire
According to Copyright law (e.g., 17 U.S.C. ? 101, et. seq.) “work
for hire” is a legal term defined as “a work prepared by an employee
within the scope of his or her employment.” This definition
includes works prepared by employees in satisfaction of sponsored
agreements between the University and outside agencies. Certain
commissioned works are also works for hire if the parties so agree
in writing.
The employer (i.e., the University) is by law the author of a work
for hire, and thus the owner, for copyright purposes. Works for
hire subject to this principle include works that are developed, in
whole or in part, by University employees. Where a work is jointly
developed by University faculty or staff or student employees and a
non-University third party, the copyright in the resulting work
typically will be jointly owned by the University and the third
party. In such instances, both the University and the other party
would have nonexclusive rights to exploit the work, subject to the
responsibility to account to each other.
Whether the University claims ownership of a work will be determined
in accordance with the provisions of this Policy, and not solely
based upon whether the work constitutes a work for hire under the
Copyright Law. For example, copyrights to Scholarly Works of which
the University disclaims ownership under this Policy shall be held
by the creators regardless of whether the work constitutes a work
for hire under Copyright Law. University ownership in other works
for hire may be relinquished only by the Provost or his/her
designee.
V. REFERENCES
Policy 10-04-01, Copying Copyrighted Material
Policy 11-01-03, Conflict of Interest – Research/Teaching
Policy 11-02-01, Patent Rights and Technology Transfer
Procedure 10-04-01, Copying Copyrighted Material
Procedure 11-02-02, Copyrights