This chapter includes information on ownership and use of copyrighted materials produced by the University, its employees, students and contractors.  It is based on:

• the  UC Policy on Copyright Ownership of 1992,
• the draft UCSC policy on Ownership and Disposition of Copyrightable Materials and
• the draft procedure on Administration of UCSC Copyright Policy. 

This information is subject to change, and the University of California Universitywide Task Force on Copyright has been reviewing University policies in light of new technologies and new legislation and has issued a draft report including numerous recommendations.

Who owns the copyright to materials I create?

In accordance with the UC Policy on Copyright Ownership of 1992 , copyright ownership of works created by University employees and by others using University resources is determined based on the category of the author and the circumstances under which the work was developed:

1. Faculty Authors

Faculty members and other designated academic appointees own the copyright to most scholarly and aesthetic works created by them in the course of their teaching and research duties. These works typically include books, journal articles, lecture notes, course syllabi, computer code, CD-ROMs, works of art, and performances created solely by them through independent academic effort. Exceptions are as follows:

A.  Sponsored Works: works first produced in the performance of a written agreement between the University and a sponsor. These generally include interim and final technical reports, software, and other works created as part of the sponsored project. Sponsored works do not include journal articles, lectures, books, or other copyrighted works created through independent academic effort and based on the findings of the sponsored project, unless the sponsored agreement states otherwise. The University owns the copyright to sponsored works unless the sponsored agreement states otherwise. Any sponsored work agreement which provides for ownership by other than the University must generally provide the University with a free-of-cost, nonexclusive, world-wide license to use and reproduce the copyrighted work for education and research purposes.

B.  Commissioned Works: Works specifically commissioned by the University from non-employees, or from employees above and beyond their regular University employment. When the University commissions for the production of a work, title should normally reside with the University. In all cases, copyright ownership must be specified in a written agreement. Without such an agreement, the copyright to any work created by a non-employee belongs to the author. Any such agreement which provides for ownership by someone other than the University, should generally also provide the University with a free-of-cost, nonexclusive, world-wide license to use and reproduce the copyrighted work for education and research purposes.

C.   Contracted Facilities Works: Works produced by non-University employees or University employees acting outside the course and scope of their employment, using Designated University Facilities, pursuant to a written agreement. (Designated facilities generally include such recharge-generating facilities as campus computer centers and media centers but do not include facilities, such as libraries, personal offices, personal computers, photocopy or facsimile machines, which are customarily provided for the use of faculty in support of their normal teaching and research duties.) Ownership of these works is governed by the individual agreement, which may specify that the University owns the copyright or that the creator of the work must reimburse the University for the use of the designated facility.

D.  Special Projects: The Chancellor or his/her designee may designate a special University project as having special copyright ownership requirements. (This is expected to occur infrequently and will generally involve only projects to be undertaken by a group or team of UCSC employees, using University resources.) Any faculty member wishing to participate in such a special University project will need to sign an advance agreement regarding copyright ownership before commencing work on the project.

2. Staff Authors

Most works produced by staff employees in the course and scope of their University employment are considered works made for hire, which means that the copyright to such works vests with the University. Copyright ownership of staff-produced works which qualify as sponsored, commissioned, or contracted facilities works will be in accordance with the guidelines listed in 1.A. through 1.D above. Works prepared outside the course and scope of employment and without the use of University resources are considered personal works, and the copyright to such works vests with the author.

3. Student Authors

Students own the copyright to most works produced by them, outside of any University employment and without the use of University funds (other than Student Financial Aid). Exceptions include sponsored, contracted facilities, or commissioned works and special projects. (See 1.A through 1.D above for definitions and ownership provisions.) Non-employee students who will be collaborating on sponsored works must sign a copyright assignment agreement to ensure that the University is able to comply with sponsoring agency copyright requirements.  Works created by student employees in the course of their University employment will generally be treated like works produced by staff employees in the course of their employment; i.e., the copyright vests with the University.

See also the draft UCSC policy on Ownership and Disposition of Copyrightable Materials.

What if I own the copyright?

If it is determined that you own the copyright, you automatically have all the rights and responsibilities inherent in copyright ownership: You have the right to make copies of the work, make derivative works based on the original work, distribute the work, perform the work publicly, display the work in a commercial setting and you can also grant others any or all of these rights. You may not use the name of the University to promote or identify the work, nor may you grant anyone else this right. It is your responsibility (if you so choose) to register the copyright and enter into any agreements granting rights to others. See the US Copyright Office home page for basic information and the US Copyright Office forms page for copyright registration forms.

It is important to remember when licensing your personal work that if you "assign" or grant "exclusive rights" to your copyrights to a publisher, you will not be able to use your work without first obtaining permission from the publisher. If you wish to use your work for teaching or further research, you need to retain this right and expressly state this in the agreement.

What if the University owns the copyright?

If it is determined that the University owns the copyright, the University acquires all the rights and responsibilities inherent in copyright ownership, including the right to control use of the copyrighted work. However, the University will consult with the author concerning proposed uses of the work and will generally share any royalty income from licensing the work with the author. The campus Copyright Coordinator will register the copyright, if needed, and, in consultation with others, will negotiate and draft license agreements. See UCSC draft procedure on Administration of UCSC Copyright Policy for more details.

When do I need to disclose a copyrightable work to the University?

Works of potential commercial value to which copyright normally belongs to the University, should be promptly disclosed to the University, using the UCSC Copyright Disclosure Form. Specifically, computer software, CD-ROMs, multimedia works and works involving multiple authors must be disclosed if they fall into one of the categories of work to which copyright normally belongs to the University. (See Who owns the copyright to materials I create? ) Other types of works, as well as works produced by staff employees as "works made for hire," need not be disclosed unless it is anticipated that the works will be distributed outside the University of California.

What happens after I disclose a copyrightable work?

After reviewing the Copyright Disclosure Form and discussing the contents with the originator and his/her department or unit, the campus Copyright Coordinator will prepare the Copyright Ownership and Disposition Agreement. This agreement specifies who will hold the copyright to the disclosed work (University, originator, sponsoring agency, etc.), any rights reserved by or granted to parties not holding copyright, the recommended disposition of the work, including any proposed licensing arrangements, and the recommended allocation of any licensing royalty income. The agreement is signed by various parties including the author.

If it is desirable to register the copyright to the work, the campus Copyright Coordinator Office completes the copyright registration form and sends it to the U.S. Copyright Office in Washington, D.C., together with copies of the work and the required fee. The originator or his/her department is responsible for providing the necessary copies of the work and a University check for the registration fee.

How can copyrighted works be distributed?

Copyrighted works are generally not sold. Instead, the copyright owner grants a publisher or end user some or all of the owner’s rights by means of a copyright license. A license can be as simple as a letter granting permission for non-profit use of an article or as complicated as a commercial software distribution license. There are various risks involved with using and distributing copyrighted works and the owner and the licensee seek to balance their risks and rewards. The type of license to be used is determined by the risks involved with the proposed use.

1.  Permission Letter

The permission letter is used to allow reprints of articles in third party publications, copying of articles for use in a lecture materials handout, and other uses of publications. Fees are determined by the owner of the copyright and are likely to be based on the market value of the work and expected impact on future sales by granting such permission. In many cases, permission is granted for a nominal fee for educational applications.

2.  On-line Permission Statement

Many computer software programs are distributed electronically so that anyone may use them for non-commercial purposes, without fee, with a simple on-line license that includes mandatory legal disclaimer statements. This type of license may not be used if there are any fees required or to grant the recipients commercial rights. If you wish to use this method of distribution, you should include the standard Software On-Line Permission Statement in the first screen of the software program.

3.  Software Internal Use License

Software may be licensed to end-users for their internal use for a fee, if desired. Such licenses must be signed by the University and the end user and must be coordinated by the Business Contracts Office.

4.  Commercial Software or Multimedia License

There are substantially greater risks to the University and authors when commercial use rights are granted, particularly in the areas of product liability, export regulations, and intellectual property infringement. All these risks expose the authors and the University to significant financial risk unless appropriate language is included in the license agreement. All commercial uses of University-owned copyrighted works must be licensed with an agreement signed by both parties. The agreement must be coordinated by the Business Contracts Office.

What if a company is interested in licensing the copyrightable work?

If a non-University entity has expressed interest in licensing a University-owned copyrightable work, you should inform the University. If this is known at the time of filing the copyright disclosure, this information should be included in the Copyright Disclosure Form, as should any relationship between the originator(s) of the work and the proposed licensee. (If, for example, the originator is an owner or employee of the proposed licensee entity, this must be disclosed and reviewed for possible conflict of interest issues.)

How is income from copyright licensing allocated at UCSC?

The University may elect to share net royalty income from University-owned copyrighted works with the originator(s), except in the case of sponsored works where the sponsor determines disposition of such income. "Net royalty income" is defined as total royalty income less any associated costs. The normal guidelines for allocating such income at UCSC are: one third to the originator (or originators), one sixth to the sponsoring department, one sixth to the division, and one third to the Chancellor’s discretionary fund. When the originator has already been explicitly compensated for his/her efforts in creating the work, the University reserves the right to recover its out-of-pocket production costs before any income is allocated to the originator. Furthermore, royalty allocations will normally not be made to employees hired to produce copyrightable works for the University or whose job duties specifically include preparation of such works.

See the UCSC draft procedure on Administration of UCSC Copyright Policy for more details.