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Grants Office

Intellectual Property

Approved: Academic Deans: 4/22/96
Faculty Senate: 5/29/96

It is the objective of the University to provide an intellectual property policy that will encourage the development of inventions and other intellectual creations for the best interest of the public, the creator, and the research sponsor, if any, and that will permit the timely protection and disclosure of such intellectual property whether by development and commercialization after securing available protection for the creation, by publication, or both. The policy is further intended to protect the respective interests of all concerned by ensuring that the benefits of such property accrue to the public, to the inventor, to the University and to sponsors of specific research in varying degrees of protection, monetary return and recognition, as circumstances justify or require.

COPYRIGHT POLICY: OWNERSHIP


I. PURPOSE AND SCOPE:


A. Purpose: to outline the respective rights members of the faculty,staff and student body have in intellectual materials created while employed by or attending the University.

B. Nature of Rights Protected by Copyright: Copyright is a form of protection given by law to authors of intellectual works. Only authors or those to whom authors have assigned their rights may claim copyright. The owner of a copyright retains and controls the right to print and reprint copies of the work; to sell or distribute copies of the work; to transform or revise the work; and to perform or display the work to the public.

C. Scope of Works Protected by Copyright:
    1. Literary works;
    2. musical works including accompanying words;
    3. dramatic works including accompanying music;
    4. pantomimes and choreographic works;
    5. pictorial, graphic, and sculptural works;
    6. motion pictures and audiovisual works;
    7. sound recordings; and
    8. computer programs, software and documentation.

The requirement the law places on the copyrightability of any of the above works is that the work must be in a form that can be perceived directly or by means of a machine or other device. Both published and unpublished works are under statutory protection.

D. Limitations on Copyright Coverage: Copyright protection is not extended to any idea, procedure, process, system, method of operation, concept, principle, or discovery, regardless of how it is described, explained, illustrated or embodied.

E. Copyright Ownership: The University encourages the preparation and publication of copyrightable works that result from teaching, scholarly and artistic endeavors by members of the faculty, staff and student body by upholding ownership rights of authors in their writings and scholarship that result from usual teaching, research or artistic activities. Because of advancing technology, new forms of educational materials are being developed which required a substantially greater level of direct support from the University than does the writing of a "traditional" textbook and the like. The extraordinary use or purchase of equipment and production facilities, computers, and the expertise of a variety of individuals with special training may be required to augment the talents of an author. When the investment of time and money by the author and the University differs substantially from that involved in the creation of customary educational material, such material shall be designated as University-sponsored and the University may claim copyright.


II. PROCEDURES:


A. The author and department chairperson or administrative head of a department or unit which is considered the source of funding "University-sponsored" material is responsible for negotiating the contract required in IV.B., 1 and 2.

B. The responsibility of coordinating matters involving copyright, including the making of contracts and the waiving or assigning rights, is assigned to the University attorney in consultation with interested individuals and departments/units.

C. The responsibility for the commercial marketing of most University-owned copyrighted materials, e.g., printed and media materials, and for maintaining appropriate fiscal records is assigned to Instructional Media Services. In some cases, e.g., computer-assisted and software programs, responsibility for licensing and marketing is better served by being developed through the University Research Foundation.

D. All University-owned copyrights shall be protected by notice of copyright in the name, "Southern Utah University," and may be registered as such.

III. DEFINITIONS:

For purposes of this policy, the following definitions will apply:

A. Copyrightable Material: The term "material" refers to all copyrightable works, including but not limited to, writings, lectures, musical or dramatic compositions, sound recordings, films, videotapes, and other pictorial reproductions, computer programs, listings, flow charts, manuals, codes instructions, and software.

B Copyright Owner: The term "owner" refers to the party who owns or controls the rights to copyrightable material and who has the right to sell, assign, distribute, or license the use of such material.

C. Publication: Publication occurs when by consent of the copyright owner the original or tangible copies of a work are sold, leased, loaned, given away, or otherwise made available to the general public.


D. Terms:

    1. Minimal technical help applies to editorial advice or to material based on essentially individual research, but supported by the University in the form of customary facilities, materials, limited part-time student assistance, sabbatical leaves, the use of time of a technician employed to provide such service during normal working hours, and some types of University faculty grants.

    2. Substantial or extraordinary support. Additional support beyond minimal technical help as negotiated in the contract.

IV. OWNERSHIP:


A. Authors:

1. The University does not claim copyright on material resulting from teaching, scholarly and artistic activities such as scholarly articles, research bulletins, monographs, paintings, musical and dramatic compositions, sculptures, architectural designs, books, textbooks, submissions to scientific and technical journals, reference works and the like, unless there is substantial support beyond regular salary, customary use of secretarial assistance, and the customary use of libraries, laboratories, studios, or computer time on equipment on hand, from any University department or unit established to furnish such support or assistance.

2. The University will not make any claim to copyrightable material resulting from the preparation and taping of lectures or other instructional units developed by a single member of the faculty, staff or student body, and using minimal technical help.

B. Southern Utah University: Copyrightable material resulting from individual or group effort receiving a substantial level of direct support from the University or its departments or units in the form of money, personnel or facilities beyond those levels of support described in Section A above, is regarded as University-sponsored and shall be the property of the University, and at the University's options shall be copyrighted in the name of the University except for material produced or developed under grants from agencies of the federal government or other private sources (see Section C, following). A substantial contribution, further, is one which is significant in the context of the situation and the practices of particular disciplines, schools and departments or other units of the University.

1. A substantial level of direct University support can generally be defined as follows:

    a. An appropriate agreement between the University and the author(s) shall be entered into PRIOR TO THE BEGINNING OF THE PROJECT. (See Appendix A for model agreement.) Questions as to whether particular copyrightable materials are considered University-sponsored should be addressed to the University Provost and the Copyright Patent Committee. This standing committee is to be composed of nine members, one elected member from each college, one at-large faculty member, one Faculty Senate member and one dean, one department chair and the Provost. The Universty attorney will serve as ex-officio officer.

    b. When the author has received support for the development of copyrightable materials, such support being in the form of money in excess of normal salary or faculty development money, reduced teaching load, released time, or other resources from a department, college, or any unit of the University.

2. Copyrightable material produced as the primary purpose of employment is considered a work-for-hire. In cases where the University hires work, a written work-for-hire agreement shall be prepared outlining that the University will retain all rights to the material. (See Appendix B for model agreement.)

    a. When the University, or one of its colleges, departments, or units has assigned a member of the faculty, staff or student body to develop copyrightable material during time that is being compensated for by funds administered by the University, the University shall own the rights unless an agreement in writing to the contrary has been reached between the author and the University.

C. Extramural Sponsor. Copyrightable material produced under grants from the federal government or other private agency shall be subject to conditions of the contract or grant with respect to ownership, distribution and use, and other residual rights.

If the funding agency does not claim copyright, such right shall be negotiated between the University and the author as determined in the contract. Under grants from many federal agencies, an author is permitted to arrange for copyright without approval from the agency. In either case, the University or the author is required to execute a royalty-free, nonexclusive, and irrevocable license to the government to use the copyrighted work for government purposes.

If the funding agency desires to claim copyright, the University shall try to negotiate reasonable sharing of rights for the author and/or the University.

V. REVENUE SHARING:


A. Authors: Authors of intellectual works described in IV.A. 1 and 2 above own the copyrights in their works and are free to publish then register the copyright and receive any resulting revenues from their sale.

B. Southern Utah University:

1. When the University, at its option, negotiates a copyright for materials resulting from an effort regarded as University-sponsored, the author(s) may be allowed to share in any royalties which accrue from the sale or lease of such material outside the University provided an appropriate agreement is entered into prior to the beginning of the project. (See Appendix A for model agreement.) The agreement shall take into account the effort and contribution of the author(s) as well as the development costs to the University when setting the royalty to the author and income and recoupment costs tot he University.

2. When an author(s) contributes a personal work to the University, a written agreement accepting the contribution must be accomplished. The agreement shall take into account whether the author(s) shall share in any royalties resulting from the sale or lease of the contributed work. (See Appendix C for model agreement.) All such agreements shall be routed through the Development Office.

3. When the University negotiates a copyright and assumes the obligation of publishing and marketing a work, an agreement that sets forth a schedule for sharing royalty income between the University unit responsible for the production and the author(s) and the University shall be accomplished. A general schedule for sharing income is as follows:

    a. Eighty percent of gross proceeds of any sale will be allocated to the University unit incurring the cost of publishing and marketing the work. Twenty percent of gross proceeds will be distributed to the author(s) who may elect to have up to one quarter of his/her share distributed to his/her home department or unit.

    b. When the costs of publishing and marketing are recouped from the 80 percent share of proceeds, the balance of proceeds will be distributed so that the author(s) will receive 30 percent of the gross proceeds, and the balance will be divided equally between a University copyright development fund and the University unit responsible for commercializing the copyrighted work. The author(s) may elect to have the home department/unit receive 15 percent of the gross proceeds from the University copyright development fund share. The University copyright development fund is chartered to promote copyrightable enterprises.

4. When the University does not act directly as the publisher of copyrighted materials, but merely contracts with a commercial publisher for that function on a royalty basis:

    a. The author(s) will be allocated 80 percent of the royalty income paid by the publisher to the University, and the University copyright development fund will receive the balance.

    b. The 80 percent allocation described in "a." above will be subject to modification made by agreement between the University and the author(s). For example, the author(s) may agree that all or a part of their personal allocations be deposited in a department development account established to nurture and support further research and development of copyrightable materials.

C. Extramural Sponsor: In cases of extramural funding, where the University and the funding agency have negotiated a reasonable sharing of any income resulting from the commercialization of sponsored copyrighted materials, the author may appropriately share in any income. The nature and extent of author participation in royalty income shall be subject to sponsor and University regulations.

VI. USE OF UNIVERSITY-SPONSORED MATERIAL:

The University will consult or provide the first opportunity for the author's consultation with respect to use made of a copyrighted work within the University or before any license for its use outside of the University is granted. When unresolved matters on use occur, the matter shall be referred to the Provost for resolution or referral for arbitration.

VII. REVISION OF MATERIALS:

University-sponsored materials shall not be altered or revised without providing the author(s) the first opportunity to assume the responsibility for the revision. If the author(s) decline(s) the opportunity to revise such material, the assignment of responsibility for the revision will be made by the Provost based on recommendation by the appropriate department. Appropriate recognition should be given to author(s) of the revision.

VIII. WITHDRAWAL OF MATERIALS:

University-sponsored materials shall be withdrawn from use when such use is deemed obsolete or inappropriate by the author(s) or the appropriate department.

IX. RELEASE:

The University may release to the author(s) the right to any work copyrighted in the name of the University.

X. LIABILITY:

An author of a work produced as a result of a special assignment or commission, or with substantial university or outside support, must warrant that the work does not infringe on any existing copyright or other legal rights; that work not identified as quotations is the expression or creation of the author; that necessary permission for quotation and the like has been obtained; and that the work contains no libelous material nor material that invades the privacy of others.

Send comments and suggestions to William O'Neill, oneill@suu.edu

Copyright & copy: Southern Utah University
Last updated: August 30, 1996
Bill O'Neill- Programmer

 

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Dianne Sheridan
Interim Coordinator
Sponsored Research and Grants
Southern Utah University
351 W University Blvd
Administration Building 304C
Cedar City UT 84720-2470
Phone: 435-865-8175
Fax: 435-586-5475
email: sheridan@suu.edu

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