| Policy Title | Copyright and the Distribution of Income from Sale of Works for Hire |
|---|---|
| Responsible Office | Office of Entrepreneurship and Innovation Partnerships |
| Policy Type | Research Foundation |
| Policy Number | 703 |
| Last Revision Date | 12/1/2023 |
This Management Procedure and Policies and Procedures Outlined below Do Not Apply to Computer Software
The Copyright Act of 1976 provides that copyrights associated with works prepared by employees "within the scope of their employment" belong to the employer, who is considered the author — unless both the employer and the employee have signed a written instrument agreeing otherwise.
The SUNY copyright policy sets forth that:
Generally the members of the staff of the university shall retain all rights to copyright and publish written works produced by them. However, in cases where persons are employed or directed within the scope of their employment to produce specific work subject to copyright, the university shall have the right to publish such work without copyright or to copyright it in its own name. The copyright will also be subject to any contractual arrangements by the university for work in the course of which the writing was done. Staff members will be expected not to allow the privilege to write and retain the right to their work to interfere with their university duties. In those cases where an author desires the help of university facilities, arrangements should be made through the administrative staff of the author's institution in advance with respect to the assistance which may be appropriately given and the equity of the university in the finished work.
Copyrights associated with University works created by non-faculty personnel specifically employed by the University to prepare such works:
- may be released to the authors;
- may be retained by the University; or
- may be placed in the public domain,
with the concurrence of the Vice President for Research or the CFO and Sr. Associate Vice President, Academic Affairs, Office of the Executive VP and Provost.
Sponsored works: Copyrights of work created by authors with support from an outside sponsor will be governed by the sponsorship copyright provisions, if there are any. The Research Foundation for SUNY holds copyright on behalf of The State University of New York for copyrightable works created under sponsored projects.
In the absence of provisions covering copyrights, the copyrights in sponsored works by University faculty shall be treated as personal works unless a written Copyright Agreement has been executed prior to their completion, or the works are instructional materials, which shall be treated as University works, and may be released to the author at the discretion of the Vice President for Research or the CFO and Sr. Associate Vice President when requested in writing through a Copyright Agreement.
Preparation and Use of Copyright Agreement Forms
Copyright Agreements are executed in those situations where the University or Research Foundation may hold the copyright under the policies described herein. Standard agreements are of three types:
- Agreements in which the University acquires an interest in the copyright: These agreements
are executed by The State University of New York, through the CFO and Sr. Associate
Vice President with the review and approval of the Vice President for Research or
the Associate Vice President for Innovation and Economic Development (Office of Entrepreneurship
& Innovation Partnerships), and the authors. Examples of situations necessitating
agreements of this type include:
- authors who are professional staff SUNY employees who prepare works within the scope of their University duties.
- authors who are provided special assistance or University resources in developing the works.
- Agreements in which the Research Foundation for SUNY on behalf of ºÚÁÏÊÓƵ
acquires an interest in the copyright of an identified work, in most instances developed
in conjunction with a specified sponsored project, or through the author's contribution
of the work to the Research Foundation on behalf of the campus. These agreements are
executed by the Research Foundation Operations Manager or Associate Vice President
for Innovation and Economic Development. Agreements of this type may also include
provisions providing the sponsor with a license with respect to associated copyright
depending on sponsor's policy. Examples of situations necessitating agreements of
this type include:
- authors who develop a copyrightable work under a sponsored project administered through the Research Foundation;
- authors who wish to contribute copyright associated with a personal work to the Research Foundation on behalf of the campus and the author will share in the generated royalties;
- authors who wish to contribute copyright associated with a personal work to the Research Foundation on behalf of the campus without sharing in generated royalties.
- Agreements in which the University or Research Foundation authorizes release of Copyright covering works, which would normally belong to the University or Research Foundation to the faculty/staff author. The University or Research Foundation may maintain some or no further interest in the copyrights associated with these works. These arrangements are executed by the authors and the appropriate University or Research Foundation officials. Such officials for the University are the Provost or the CFO and Sr. Associate Vice President; and for the Research Foundation, the Operations Manager, with the review and approval of the Associate Vice President for Innovation and Economic Development.
The Office of Entrepreneurship and Innovation Partnerships provides standard University/Research Foundation Copyright Agreement forms, links to Copyright Office application forms () and jointly with the Office of Sponsored programs offers advice and assistance to faculty and staff members concerning policies and procedures involving the University and copyrightable works.
Determination of Royalty Distribution
Authors may or may not share in royalties generated through the sale of works owned by the University or the Research Foundation; a determination of royalty sharing will be made on a case-by-case negotiation involving the author, the author's supervisor, department chair or dean, as appropriate, and the Associate Vice President for Innovation and Economic Development. In absence of a written agreement stating otherwise, total royalty income is distributed institutionally, according to the formula below or as recommended by the Vice President for Research or the Associate Vice President for Innovation and Economic Development.
Distribution of Royalty Income Owned by the University or the Research Foundation
For income administered by the Research Foundation, Research Foundation accounts would be established in appropriate administrators' names.
The distribution of the institutional royalty share is as following:
The first $1,000 in royalty income obtained from a single contract during one single fiscal year is distributed in its entirety to Author’s Unit or Center. Royalty revenue above that amount is distributed in the following manner:
40% Author's Unit or Center
35% Vice President for Research
25% Office of Entrepreneurship and Innovative Partnerships, to cover technology transfer
and general overhead
Exceptions to this distribution formula may be possible under certain conditions; exceptions must be approved in advance by the Vice President for Research, the Foundation Operations Manager or the Associate Vice President for Innovation and Economic Development (in the case of income based on Foundation-owned copyrighted works) or the CFO and Sr. Associate Vice President, Academic Affairs (in the case of University-owned works).
Limitations/Restrictions
An author may not draw personal salary against the allocation made to the author's department or unit.
Where more than one author or more than one department or unit are recipients, the percentages listed above would apply to the combined shares of all recipients. The distribution among them would follow the distribution of effort, which the authors are obliged to present in accordance with the terms of their Copyright Agreement.
Process for Copyright Agreements
Requests from authors to enter into a copyright agreement with the University or Research
Foundation should be submitted with the Copyright Disclosure and Agreement Form (in
conjunction with a New Technology Disclosure Form where appropriate) to the Office
of Entrepreneurship and Innovation Partnerships, attention: Senior Director for Technology
Transfer.