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