Intellectual Property – 209.2

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University of Arkansas at Little Rock
Policy Name: Intellectual Property
Policy Number: 209.2
Effective Date: May 6, 2002

Forms

Policy:

Overview

In brief, the Technology Enhanced Course Materials (TECM) policy assumes that the intellectual property rights for any TECM resides with the faculty member unless an agreement has been signed indicating otherwise. Any questions can be directed to the current chair of the Faculty Senate Academic Computer and Technology Committee.

Introduction

In October 2001, the UA System Board passed Policy 210.2 in response to concerns about the development of tech-enhanced course materials (TECMs) for distance learning. The policy defines “distance learning” as “…two-way communication between a teacher and student separated by a geographical distance or time using technology for the purpose of facilitating and supporting the education process.” They then define “tech-enhanced course material” (TECM) as “…materials utilizing electronic transmissions to accomplish such an activity.”

The development of quality TECMs were seen by the Board as an important part of quality distance education in Arkansas, but it was not clear how existing policies concerning copyright and patents applied. It was recognized that the production of quality TECMs would involve the investment by the university of considerable resources. In the Preamble to Policy 210.2, the UA Board states that: “The objective of this policy is to protect the copyright rights of both the faculty member and the university in TECM and to encourage the offering of quality distance learning programs.” They go on to state that “…it is important to address the issues raised by the creation, use, and distribution of various forms of TECM and clarify the rights and responsibilities of each of the parties involved.”

UA System Board Policy 210.2 was the product of this attempt to clarify the rights and responsibilities of all parties involved in the development of TECMs. Individual campuses were then given the responsibility to apply the policy to their individual situations. How this policy would apply to UALR was the subject of much review and discussion by several faculty and administrative groups. The UALR Faculty Senate adopted the final version during its April 2002, meeting. Chancellor Hathaway approved his policy in May 2002, and it was forwarded to the UA System Office.

Summary

The UA System Board Policy 210.2 governs the issues of copyright and use of technology-enhanced course materials (TECMs). (Please refer to that policy for complete details.) That policy creates a set of categories into which TECMs may be classified to determine who has a right to copyright and use. This document summarizes those categories in order to facilitate the decision-making process regarding any given example of a TECM.

TECM Intellectual Worksheet

Category I

Totally Faculty or Staff Generated. Creator is entitled to copyright ownership and right to revenues subject to compliance with conflict of interest and commitment policies.

This category applies when the faculty or staff member constructs the materials using nothing more than university resources usually and customarily provided. These include but may not be limited to office space, library facilities, ordinary access to computers and networks, faculty development workshops, or salary.

The author owns the copyright and is entitled to receive all revenues for commercialization, subject to the conflict of interest and commitment policies.

Category II

Minimal University Resources. Creator owns copyright and revenue rights, subject to compliance with COI and commitment policies and the university’s license rights.

This category applies when the faculty or staff member constructs a TECM with more than the usual university resources. This includes but may not be limited to support staff assistance above and beyond usual departmental clerical assistance, allocation of specialized equipment specifically for the development of the TECM, individual technical support above and beyond typical help desk support, or other types of individualized assistance dedicated for the sole purpose of developing the TECM.

The author owns the copyright and retains the right to distribute and receive revenues from the commercialization of the TECM. UALR has a non-exclusive, royalty-free license to use the work as part of its course delivery. This means that UALR can release the TECM to another instructor for the sole purpose of teaching that course. That instructor would need permission from the holder of the copyright to alter those materials and he or she must treat the work like any other copyrighted material.

License Agreement for Category II

Category III

Substantial University Resources. Creators and university may be joint owners, each with the right to receive revenues.

This category applies when the faculty or staff member receives an adjustment in workload or additional compensation for the sole purpose of constructing a TECM. Most frequently this would take the form of release time during development or reduced teaching load during the regular academic year. It might take the form of a stipend or extra compensation under special circumstances.

The author and UALR both own the copyright and agree to share the right to distribute and receive revenues from the commercialization of the TECM. UALR has a non-exclusive, royalty-free license to use the work as part of its course delivery. This means that UALR can release the TECM to another instructor for the sole purpose of teaching that course. That instructor would need permission from the holder of the copyright to alter those materials and he or she must treat the work like any other copyrighted material.

License Agreement for Category III

Category IV

Work Made for Hire. University assigns duty to faculty or staff members to develop work. University owns all copyright and revenue rights.

A contract exists between the faculty or staff member and UALR to provide a specific TECM product. All copyright and revenue rights belong to UALR. The key difference between this category and category III is that UALR initiates the request for the development of the product including prescribing the contents of what the TECM should include and how it should be developed.

License Agreement for Category IV

Category V

Faculty Member Uses Own Work as Part of Course Offering at University. The faculty member is using TECM that he or she created as part of his or her teaching duties at the university. Ownership will be determined by categories one through four.

This category will not apply and will not be used at UALR.

NOTE: Policies regarding conflict of interest, commitment policies, and outside or concurrent employment apply to the development of TECMs just as they do to other university employee activities. Faculty or staff who are considering entering into a contract with another employer to produce TECMs should seek approval in advance through administrative channels.

Review Procedures

This policy is relevant when determining the category (I-IV), and such ownership, of any TECM produced at or for UALR. All TECM are category I, unless otherwise categorized as part of the process outlined in this document. A TECM becomes a category II, III or IV at the successful completion of a negotiation between the TECM producer and the designated representative of the university administration.

The purpose of the negotiation is to determine: a)precisely what level of support, beyond that which is normally and customarily provided, will be made available to the project in question; and b) what categorization (II, III or IV) that level of support reflects. The successful outcome of that negotiation is confirmed in the signing of the appropriate licensing agreement that will state explicitly what resources to be made available for the development of that project in exchange for the specified categorization. It is incumbent upon the provider of those resources above the usually provided to initiate the negotiation process. A TECM can only have its categorization changed as the product of a signed licensing agreement, either initial or subsequent, between its producer and the designated representative of the university administration.

  1. Faculty member will meet first with the department chair to determine which category applies to the TECM under consideration. Approval will also be obtained from the appropriate dean. If the author is receiving support from another unit, the director of that unit should also participate in this discussion. All parties will sign the appropriate agreement form.
  2. A copy of the agreement will then be forwarded to the designated university committee for review and assurance that the policy is being applied in an equitable manner. The Faculty Senate Academic Technology and Computing Committee will function as the designated university committee. The chair of the committee (or administrator appointed by the provost) will inform the dean and the department chair of any inequitable applications of the policy.
  3. If the parties fail to agree on a category, a resolution should be reached at the lowest possible level to that at which the dispute arises. The designated review committee can assist the parties involved to mediate and resolve disputes. The chancellor will decide issues that cannot be resolved by the committee.
  4. Copies of the signed agreement will be retained by all of the signees.

Source: UALR Faculty Senate, April 19, 2002
Revised:
Approved By: Dr. Charles Hathaway, May 6, 2002
Custodian: UALR Faculty Senate