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UCL Staff IPR policy

Policy Statement on Intellectual Property Rights/Copyright in relation to staff.

Preamble

  1. UCL is committed to encouraging the successful exploitation of intellectual property by its staff and students and maximising the value of intellectual property for the benefit of all involved in its creation. UCL seeks to promote the recognition, protection and exploitation of potentially valuable intellectual property produced by its staff.

This policy applies to all staff employed by UCL and on the UCL payroll.

Policy

Copyright

  1. UCL recognizes the rights of its staff to ownership of copyright and other forms of intellectual property rights (IPR) in research publications, books and other similar publications in all formats derived from work undertaken during the course of their employment. It also recognizes the rights of members of staff to copyright and other forms of IPR in teaching materials in all formats. UCL waives its employers’ rights to copyright in order to give effect to this.

    The exceptions to this are:
    1. Institutional materials including reports, syllabuses, curricula, papers commissioned by UCL for administrative purposes etc.
    2. Materials generated by prior agreement, for which UCL provides resources which are in excess of these normally available to members of staff.
    3. Materials which are generated by prior agreement as ventures which involve sharing of copyright ownership between UCL and members of staff.
    4. Copyright in any software programme generated during the normal course of University employment
    5. Copyright in any designs, specifications or other works which may be necessary to protect rights in commercially exploitable intellectual property.

    In these cases ownership of copyright vests in UCL, as sole owner or as a part owner, except where otherwise agreed.

    Performance rights will be treated in the same way as copyright.

Registered and Unregistered Design Rights

  1. These rights protect designs and exist in tandem to copyright in designs (see above). UCL asserts it rights under UK and European Community legislation to the ownership of design rights created during the course of the normal duties of employees or in the course of duties outside of those normal duties to which employees have been specifically assigned. The standard revenue sharing arrangements will apply in relation to the exploitation of design rights (see Annex 2). Design rights and their exploitation may be discussed with UCL Business (www.uclb.com).

Databases

  1. Databases are capable of protection through copyright for the arrangement of data (see below Guidance s.1 (iii)) or through the sui generis database right for the substantial investment in collecting the constituents (Copyright and Rights in Databases Regs. SI 1997 No. 3032). The ownership of database copyright vests as detailed in ‘Copyright’ above and ownership of the sui generis right vests with the employer in the same way as ‘Patents’ below. Databases are capable of commercialization and all such activity should be discussed with UCL Business (www.uclb.com).

Patents

  1. UCL asserts its right under the Patents Act 1977 to the ownership of patents in inventions made in the course of the normal duties of employees or in the course of duties outside of normal duties to which employees have been specifically assigned. The standard revenue sharing arrangements will apply (see Annex 2). All activity in relation to patents, patentable work and commercialization of technology should be discussed with UCL Business (www.uclb.com).
  2. Materials and Know-How can also be commercialized, either separately or with patents.
    1. Ownership of physical materials will vest in UCL subject to funding conditions and should only be transferred from UCL under an appropriate agreement. For more information about transfer of materials contact UCL Business PLC (MTA@uclb.com).
    2. Know-How can be exploited and protected through the law of confidence. It may also be exploited by individual researchers through private consultancy. Staff are reminded that it is necessary to keep confidential information secret and to disclose it to third parties only in circumstances of confidence and preferably by reference to a Non-Disclosure Agreement. For more information contact UCL Consultants Ltd (http://www.uclconsultants.com/).
  3. Student IP is governed by the UCL Policy Statement on Intellectual Policy Rights (http://www.ucl.ac.uk/current-students/rights/ipr/)
    1. Students will own their own IP subject to any conditions imposed by their funding agreement
    2. Students who are using UCL-owned intellectual property for their studies or are co-inventors with UCL employees will assign all right and title in the invention to UCL or its nominee in return for a share of future revenue in line with UCL’s Revenue Sharing Policy below (Annex 2)

Licence

  1. UCL is granted a free, unconditional, irrevocable, perpetual, non-exclusive worldwide licence to use, for academic and commercial purposes, academic and teaching materials in all formats (now known or yet to be devised), which are generated by members of staff arising out of employment by UCL. Where work is commercialized, the standard revenue sharing arrangements will apply (see Annex 2).

Joint authorship

  1. Where joint authorship is planned with an author(s) who is not an employee of UCL, the member of staff should declare his/her copyright obligations to the co-author(s) and obtain a prospective agreement from the co-author(s) that these rights will be honoured . In particular, this applies to UCL’s licensing rights to the materials outlined in (8) above.

Externally Sponsored Work

  1. Ownership of IP in a project that is sponsored must be covered by the terms of the research contract between the sponsor and UCL, and staff must be informed of the terms of that contract by the Head of Department at the start of the project. If the research contract involves ownership of IP by the sponsor, staff will be required to assign IPR to UCL to enable UCL to manage the contract.
  2. Academic Departments are required to have adequate procedures for ensuring that IPR arrangements are implemented in a proper manner; these arrangements are subject to audit under the IQR process.

Leaving UCL

  1. In the event that a member of staff leaves UCL, the institution retains its right, stated in (8) above, to that material under express licence . If UCL wishes to change the material recognizably it accepts that it should seek permission from the author before doing so and come to an agreement on the copyrights in the material thus changed.

Publication

  1. UCL encourages its staff to assert personal copyright over material submitted for publication. Where the publisher has a policy of not granting copyright, staff are encouraged to submit a statement, a standard version of which will be made available by UCL, to the publisher, asserting UCL’s right of licence to use the material without charge (see Guidance s.4 below).

Copyright Officer

  1. UCL will appoint a Copyright Officer who will advise staff on all copyright matters.

Revenue Sharing

  1. Where staff are required to assign IPR to UCL or where work that is licensed to UCL is commercialized standard revenue sharing arrangements will apply (see Annex 2).

Disputes and Appeals

  1. UCL has established an appeals mechanism consisting of a Staff IPR Appeals Panel. Any dispute regarding the assignment of staff IPR will be referred to the Staff IPR Appeals Panel (see Guidance s.9 below).

Guidance to Staff on IPR issues

  1. What are Intellectual Property Rights?

    Definitions

    1. Intellectual Property (IP) is the term given to the productions of original intellectual or creative activity. Intellectual Property Rights (IPR) are the legal rights that exist in those productions. IPR include the following related areas: copyright, patents, designs, trademarks, plant variety rights, database right and analogous rights.
    2. Copyright is an unregistered intellectual property right, which arises automatically by operation of law in the UK when a protectable work is created by a qualifying author, and there is no registration required. ('Protectable' here describes the class of copyright work, these are: literary, dramatic, musical and artistic works, films, broadcasts and cable programmes. 'Qualifying' refers usually to whether the author is recognized under the Copyright, Designs and Patents Act 1988. Most authors are qualifying authors.) A copyright work must be original. (Originality' has a relatively low threshold and is not to be confused in any way with whether a copyright work is novel or new. The term 'originality' only refers to the fact that the author must make some amount of effort to produce the work in the first place. The term 'literary' is merely a reference to a written work.) Computer software is treated as a literary work and as such is protected by copyright in the same way as literary and artistic works. Sometimes computer programs may also be protected as patents. Specialist guidance on this should be sought from UCL Business. Copyright is governed by the Copyright, Designs and Patents Act 1988. For further guidance on intellectual property in software and datasets please see sections 5 and 6 below.
    3. Databases are protected in one of two ways. Some databases can be protected as copyright works (see above) when the person compiling the database is judged to have used sufficient skill, labour and judgment in devising the compilation. Other databases are protected by a separate Database Right. This lasts for 15 years. Databases protected by Database Right tend to protect the content, as opposed to the organization and structure of a database. Even so, Database Right is a valuable intellectual property right. It is governed by the Copyright and Rights in Databases Regulations 1997.
    4. Patents protect original inventions (subject to some exclusions) with industrial application. They are one of the strongest forms of intellectual property right, conferring a 20-year monopoly upon their proprietor and they are infringed even if there is no conscious copying. They have to be applied for and are granted by the state through the Patent Office. They must pass through a rigorous vetting procedure for compliance with the legal requirements, before they are granted. Patents are governed by the Patents Act 1977. One of the most important aspects of patent protection is that an invention must be ‘novel’ meaning that it must be new. Novelty can very easily be destroyed by disclosing the nature of the invention before a patent application is made. For this reason, an invention or details about it should not be disclosed, for example in a scientific paper, poster, presentation (oral or written) or exhibition before an application is made to protect the invention.
    5. Know-How refers to technical expertise or practical knowledge and can encompass a broad and vague body of knowledge. In some cases this may be commercially valuable and can be exploited through consultancy or licensing and can be protected through the law of confidentiality.
    6. Design Rights under English law can exist in unregistered or registered form. Design rights are in some ways similar to copyright but for three-dimensional articles. Registered designs protect the shape, configuration, pattern or ornament of an article to the extent that they are new and have “individual character”. The main legislation in the UK is the Registered Designs Act 1949.
    7. Unregistered Design Right arises automatically by operation of law and, as its name suggests, it does not require to be registered anywhere. Unregistered design right is a proprietary right which subsists in an original design. "Design" for these purposes means the "design of any aspect of the shape or configuration (whether internal or external) of the whole or part of an article." Unregistered design right does not subsist unless and until the design has been recorded in a design document or an article which has been made to the design. Unregistered Design Rights are governed by the Copyright, Designs and Patents Act 1988. Recent changes have been introduced by way of EU legislation which has created Community design rights that afford designs protection throughout the European Union.
    8. Trade Marks can be registered or unregistered. A registered trade mark is often much more valuable than an unregistered trade mark which can only give the owner a right to sue for passing off. It is more difficult and expensive to bring an action for passing off than for straightforward infringement of a registered trademark; so possession of a registered trademark is highly desirable. Registered trade marks are governed in the UK by the Trade Marks Act 1994. There is also a Community Trade Mark which gives a mark protection throughout the EU.
    9. Assignment is the term given to the outright transfer of ownership of IPR from one person or party to another. It is often, but not always, done in return for a fee. Whilst transfer of ownership of physical property is achieved by delivery of the property from one person to another, intellectual property must be transferred in a written document which is referred to as an assignment.
    10. Licence and licensing are the terms given to the permission, which the owner of an intellectual property right may give to any other person or parties to use that IPR. Someone using an intellectual property right without a licence infringes that intellectual property right. The owner may charge a fee in return for the grant of a licence and can impose terms and conditions on its use as part of a licence. There is no transfer of ownership, just a licensing of use and it can be thought of as similar to hiring or renting out other forms of property. Licenses are usually divided as follows. A non exclusive licence means that the licensor himself can use the rights and he can have any number of licensees. A sole licence means that the rights owner can use the rights but can only create one licence in favour of his licensee. An exclusive licence means that the licensor himself cannot use the rights and only one licence can be created. As can be seen, an exclusive or a sole licence will tend to command more royalty rights or income than a non exclusive licence.
    11. Moral Rights : A moral right is not an intellectual property right but is something which allows authors or film directors to assert their rights to be known as the author (the "paternity right") and to object to any derogatory treatment of the right ("the integrity right"). The moral right is usually asserted where copyright is assigned and the assertion binds the assignee.
  2. Staff responsibilities

    UCL staff have a responsibility to ensure that they comply with copyright law and regulations in all work that they produce for UCL. They should respect the intellectual property rights of others and ensure that the teaching and research materials that they generate do not infringe any intellectual property rights held by third parties.

  3. Assignment forms

    If staff have any doubts about the meaning and effect of the assignment forms, they should seek independent legal advice.

  4. Assignment of IPR to publishers

    Authors are strongly advised not to assign the IPR in their work to a publisher, but to seek a licensing agreement for publication. They are encouraged to use the Scholar’s Copyright Addendum Engine produced by Sciences Commons to generate an addendum which can be attached to journal publisher’s copyright agreements to ensure necessary rights are retained. See: http://scholars.sciencecommons.org/

    It is suggested that if authors do assign their copyright to a publisher they assert their moral rights (see above). Guidance can be obtained from the UCL Copyright Officer. Guidance is also available on the UCL Copyright web site at http://www.ucl.ac.uk/library/scholarly-communication/copyright.shtml. Further guidance for authors is available from the SPARC website at: http://www.arl.org/sparc/author/

  5. How to protect your work but also make it available for others to use

    There may be times when you produce work that, although you want to remain its legal 'owner', you want to make available for others to use, redevelop and reuse. This is particularly relevant to digital works that can be copied and repurposed multiple times with no loss of quality. It is also particularly applicable to teaching materials.

    In this case we advise that staff consider using one of a range of Creative Commons licenses (http://www.creativecommons.org.uk/licenses/).

    Creative Commons licences

    Creative Commons is a form of copyright that aims to offer a flexible range of copyright protections that complements the 'all rights reserved' associated with traditional, automatically assigned, copyright.

    It allows creators of copyrightable works (books, websites, blogs, photographs, films, videos, songs and other audio & visual recordings, etc.) to release them under a 'some rights reserved' license. This license 'travels' with the work in question and makes it explicit to users of the work what they can and can't do with the work. It is not one license but a range of licenses. Creators can choose among a number of options that allow or disallow users of the work to make commercial use of the work, or to make derivative copies, etc…

    It has a number of benefits for educational establishments. It allows creators of educational materials to make them available for reuse or adaptation while protecting their right to be attributed as the original author and without stifling creative use of the work. And it allows users of third party materials (e.g. within Virtual Learning Environments) to know exactly where they stand with respect to usage of a work, without having to identify the author, and then obtain permission.

    Using Creative Commons materials

    There are many advantages to seeking out and using material that has been released under a Creative Commons licence (http:// creativecommons.org/). Since such licenses 'travel' with the material in question, you know exactly what you can and can't do with it. This frees you from the time consuming task of identifying the original author and getting permission to use a work that has been released under traditional 'all rights reserved' licenses.

    There are a growing number of tools available to help you find such material. Here is a selection:

    • Creative Commons provides a 'one stop' search site at http://search.creativecommons.org/. You can choose from a number of search engines including Google, Yahoo, Flickr, and blip.tv
    • Open Educational Resources (http://www.oercommons.org/) is a Creative Commons project that provides a searchable repository of CC-licensed teaching materials including HE material.
    • Flickr-storm (http://www.zoo-m.com/flickr-storm/) allows you to search for Creative Commons licensed images on the popular digital photo sharing site.

    Useful weblinks:

    http://creativecommons.org.uk - the UK Creative Commons website. http://www.creativecommons.org.uk/licenses/ - a description of the six main licenses available for you to use.

    http://creativecommons.org/license/?jurisdiction=uk - an online wizard to help you decide which license best suits your work, and which also produces human and computer readable versions of the license for you to use.

  6. Guidance on data, datasets and IPR

    Copyright protects the expressions of original creative or intellectual activity. It does not protect facts or factual information and as such does not protect the individual pieces of raw data collected or generated during research. However, where that data is collected together or compiled into a dataset or a database, the compilation may be protected by copyright. Whether or not copyright protection applies is determined by the amount of originality or intellectual creativity which has gone into the compilation. Consequently, compilations of research data may be protected by copyright if some creativity or thought has gone into its selection and arrangement.

    Datasets and databases may also be protected by a special database right. This applies where there has been a substantial investment in respect of financial, human or technical resources in obtaining, verifying or presenting the contents of the database (see section 1.iii above).

    The copyright in any datasets or databases that qualify for copyright protection which staff produce while employed at UCL remains with the compiler of the dataset or database. Any database rights that exist in datasets or databases produced by staff are owned by UCL (see above Policy s.3)

    Open access to data

    A growing number of researchers and institutions wish to make their research and research data freely available for anyone to use via the internet. This approach is known as Open Access and its principles are contained in the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities of 2003 (http://oa.mpg.de/openaccess-berlin/berlindeclaration.html). This encourages authors and rights holders of scientific research results, raw data and metadata, source materials and scholarly multimedia material to do the following:

    • Grant all users a free, irrevocable, worldwide, right of access to, and a license to copy, use, distribute, transmit and display the work publicly and to make and distribute derivative works, in any digital medium for any responsible purpose, subject to proper attribution of authorship as well as the right to make small numbers of printed copies for their personal use.
    • Deposit a complete version of the work and all supplemental materials, including a copy of the permission stated above, in an appropriate standard electronic format in at least one online repository using suitable technical standards that is supported and maintained by an academic institution, scholarly society, government agency, or other well-established organization that seeks to enable open access, unrestricted distribution, inter operability, and long-term archiving.

    Where possible UCL staff are encouraged to adopt these principles and deposit raw data and papers containing such data in open access repositories such as UCL E-prints. It is recommended that data and papers containing such data which are deposited are submitted as XML or something from which XML can be derived rather that PDFs to ensure that the text and data can be mined. It is further recommended that when publishing papers based on primary or secondary data, staff use the JISC Licence to Publish (available at: http://copyrighttoolbox.surf.nl/copyrighttoolbox/authors/licence/) as this will enable the sharing of their primary data by preventing their rights being assigned to Publishers who may then insist upon restrictive licence terms for the use and processing of their primary data.

    Use of Licensed Software/Datasets

    During the course of their work at UCL, staff may use software or datasets licensed to UCL by the owners of the software or datasets. A member of staff must use such software or datasets solely for academic or educational purposes. Use for other purposes (for example commercial purposes) may well result in the member of staff or UCL being in breach of copyright and facing legal action for copyright infringement. The rules by which staff may use software or datasets are set out below.

    1. Software or datasets licensed to UCL are in most instances provided strictly for the purposes of teaching, research or personal educational development. Their use for commercial activities (i.e. consultancy or services which lead to the commercial exploitation of licensed software or datasets) is prohibited. Use of software of datasets for non academic or non educational purposes is a disciplinary offence.
    2. Staff must ensure that they adhere to the requirements of the agreements and licences under which access to software or datasets is provided. Copies of the relevant agreements and licences may be checked via Information Systems, the student's Academic Department and via the Eduserve Chest service. The member of staff is responsible for familiarizing his/her self with the obligations contained within such agreements.
    3. Staff must adhere to the regulations governing the use of any service that provides access to software and datasets, whether UCL or another organization controls these services.
    4. Staff must not remove or alter any copyright statement contained within copies of software or datasets used by them.
    5. Staff must ensure that the security and confidentiality of any software or data sets released to them are maintained. Furthermore, they should not make any further copies from them or knowingly permit others to do so, unless allowed under the relevant licence. Back-up copies for security against loss are usually permitted.
    6. Staff may only use the software or datasets for academic purposes and only on computer systems covered by the agreement or licence.
    7. Staff may only incorporate software or datasets, or part thereof, in any work, program or article produced by themselves, where this is permitted by the licence or where the express permission of the Licensor has been obtained.
    8. Staff must not reverse engineer or decompile software products / data sets or attempt to do so unless this is explicitly permitted within the terms of the licence governing the software or dataset.
  7. IPR Issues in Software Developed by Staff

    Staff developing software are advised to sign up to the Eduserve Chest service (http://www.eduserv.org.uk) and to consult the Joint Information System Committee web site (http://jisc.ac.uk) or UCL Business PLC (www.uclb.com) for advice on IPR in software. They should be also aware that some computer programs may be patentable.

    • Use of third party images: In the case of third party images, there is a need for a clear audit trail on the use of images in web sites. Staff should be aware that acknowledgement is good practice.
    • Multi-media links: Staff using any third party multi-media digital objects must also have permission for use and/or give clear references.
    • Derived data used in processing: The rights to derived data, if used for re-publication, should be negotiated with the original supplier.

    Notes

  8. IPR and the use of Web, including use of Web 2.0 tools : blogs, wikis and podcasts

    Developments in web technologies have led to the use of a number of interactive and collaborative tools in the delivery of teaching materials and for the facilitation of communication and interaction between researchers, staff and students. Staff should be aware of the IPR situation when using each of the following tools:

    Websites

    Copyright in material which is posted on a website remains with the author. Staff should be aware that IPR and copyright apply to digital material made available via the internet and web as much as to any other type of material or medium. Consequently they should only include third party material, that is material of which they are not the author or to which they do not own the rights, where they have permission from the author or rights holder.

    Blogs

    Copyright in material posted on a blog remains with the author. Where a member of staff produces a blog, they will own the copyright in the material which they post. They will not own the copyright in comments which others post on their blog, this will remain with the author of the comments unless it is made a condition of posting comments that IPR is assigned or waived. Similarly, when staff contribute material or post to blogs produced by others they should make themselves aware of any conditions relating to IPR which are imposed by the producer of the blog. Where no conditions are imposed, staff will retain ownership of the copyright in the material that they contribute. It is advisable to include a copyright statement or user licence on a blog so that readers are clear about what they are permitted to do with material that is posted. Creative Commons provide a convenient set of licences which can be used for this purpose (see above: Guidance s.4).

    Staff should ensure they have necessary permissions to post any third party material on their blogs.

    Wikis

    Wikis provide online spaces where users may interact and work collaboratively on the production of materials. As with blogs, unless there are terms and conditions to the contrary, the authors of material contributed to a wiki will own the copyright in that material. Where multiple contributors collaborate to produce a document or other piece of work they will all jointly own any IPR that exists in the work. Given the numbers of potential contributors to a wiki it may be more practical to manage IPR by making it a condition that contributors assign, waive or licence their rights. This is the approach adopted by the UCL Wiki pilot service: http://wiki.ucl.ac.uk/dashboard.action

    Podcasts

    Lectures or other activities or audio-visual materials may be recorded and made available via the internet for downloading to a computer or mobile device. Staff retain the copyright in this material but under the terms Licence claimed by UCL in s.8 of the Policy (see above), UCL may make this material available on iTunes U - http://itunes.ucl.ac.uk. This material is made available under a Creative Commons Attribution Non-commercial Share Alike 2.0 England & Wales licence.

    Where material to be used in a podcast is produced by individuals who are not employed by UCL then permission from the individual or rights owner or performer should be obtained. If non-UCL facilities are used to make a recording for a podcast there will need to be a copyright agreement with those making the recording assigning IPR in it to UCL or licensing UCL to podcast it.

  9. Conflicts of Interests

    Exploitation of copyright ownership by members of staff could involve conflicts of interest which harm UCL. This would arise where a competitive advantage is given to a third party or another institution. Instances of conflict of interest include:

    • materials produced specifically for use by another institution or organization where significant competition with UCL for students, resources or revenues is apparent
    • generation and/or commercialization of materials the exploitation of which would harm sales of similar materials by UCL or its licensees
    • generation and/or commercialization of materials by a third party with which UCL has an existing agreement for exploitation of similar materials.

    Matters such as these should be referred to the Copyright Officer (Dr Paul Ayris, Director, Library Services); additional advice can be obtained either from Mr Fred Friend, Honorary Director, Scholarly Communication or, with regard to teaching and learning, from the Teaching and Learning Support section in Library Services.

  10. What should you do if there is a dispute over IPR issues or if you have any queries?

    In the event that a member of staff considers that a request to assign IPR to UCL is unfair they can appeal to the Staff IPR Appeals Panel. Details of the Panel are given below in Annex 1

    Contacts:

    Copyright matters Dr Paul Ayris, UCL Copyright Officer 020 7679 7834
    Patents Mr. Alex Weedon, UCL Business PLC 020 7679 9000
    Data protection Mr Colin Penman, UCL Data Protection Officer 020 7679 2589

Annex 1
Intellectual Property Rights Appeals Panel

  1. Constitution

    The following is the constitution for the panel which would consider appeals against decisions to assign IPR to UCL:

    Chair: To be appointed by the Vice-Provost (Academic and International) in consultation with the UCL Copyright Officer from the Panel of persons independent of UCL appointed by Council, as and when the Panel needs to be convened

    One member, to be appointed by the Vice-Provost (Academic and International) in consultation with the UCL Copyright Officer, from the Panel of persons independent of UCL appointed by Council, as and when the Panel needs to be convened

    One further member to be selected by the Vice-Provost (Academic and International) in consultation with the Copyright Officer who will be one of UCL’s Executive Deans

    Secretary: To be appointed by the Vice-Provost (Academic and International).

    Note: Members of the Appeals Panel shall be asked at the time of appointment to declare any interest in or connection with the appellant which might be likely to prejudice their participation in the hearing

  2. Terms of reference

    To consider and determine any appeals against decisions by UCL to assert its ownership of or to require an assignment of intellectual property rights to UCL

    Staff IPR Appeals Panel

    1. Any appeal against a decision by UCL to assert ownership of or require an assignment of intellectual property rights must be submitted in writing to the UCL Copyright Officer within twenty-eight days of the date of formal notification of the decision against which the appeal is being made. All documentation pertaining to the grounds on which the appeal is made must be submitted at the same time. No further communications will be accepted for consideration under an appeal after this time.
    2. Such an appeal should normally be made only on one or more of the following grounds:
      1. The consideration of the matter to assert UCL’s ownership of or require assignment of IPR to UCL was not conducted according to the proper procedure.
      2. Fresh material has become available which was not, and could not reasonably have been, available to those responsible for making the decision to assign IPR to UCL.
      3. The decision to assign IPR to UCL was unreasonable or unfair.
    3. As soon as is practicable after receipt of the appeal the UCL Copyright Officer shall present the relevant minutes/ reports/ records of the decision to assign IPR to UCL, to the Appeals Panel. The appellant will be given full access to such documentation.
    4. An appeal hearing will be convened to hear the appeal, unless the appellant requests and the panel agree, that the appeal can be determined by correspondence.
    5. Where a hearing is to be set up the Copyright Officer shall inform all the parties of this and will make the necessary arrangements for the appeal to be heard as early as possible.
    6. The constitution of the IPR Appeals Panel shall is as detailed in point 1 of this annex. The Panel shall have power to reverse or modify the decision appealed from in any way that it thinks fit.
    7. The appellant shall be invited to the hearing and may attend throughout except when the Panel deliberates upon its decision.
    8. The appellant may be accompanied at the hearing by a workplace colleague or a trade union representative.
    9. The Appeals Panel may invite such other persons to the hearing and seek evidence from them as its sees fit. They will normally request a response and attendance at the hearing for the individual who took the decision to assign IPR to UCL.
    10. Procedural matters for a hearing of the Panel other than those prescribed in this procedure shall be determined by the Panel as it sees fit. The UCL Copyright Officer will provide the Appeals Panel with guidance as to the operating of hearings.
    11. The Panel shall deliberate on its decision in private and this will be conveyed to the appellant in writing, with reasons, by the UCL Copyright Officer.
    12. A decision of the Panel shall be final as far as internal UCL procedures are concerned.

Annex 2
Revenue-Sharing Arrangements

The following outlines UCL's formula for sharing revenue with staff.

Net cumulative income Exploitation fee Inventor(s)/Authors UCL Central Funds Department
<50k 30% 50% 10% 10%
>50k 30% 30% 30% 10%

The income allocated to inventors/authors is shared on the basis of their contribution to the patent/paper. For example, equal inventors/authors would each receive half of this income.

Net Cumulative Income is Gross Cumulative Income less patent, legal and development costs incurred by UCL or its nominee.

Annex 3
Departments which act as publishers

Where a UCL department acts as a publisher, for example producing the proceedings of a conference it has organized, it is necessary for it to enter into a publishing agreement with the authors of the material being published.

In keeping with the principles of UCL IPR policies that wherever possible authors should retain ownership of the copyright of their work, it is recommended that any publishing agreement takes the form of a licence to publish rather than seeking an assignment of copyright from the author.

The following model licence to publish is based on that produced by JISC and SURF as part of a Copyright Toolbox (see: http://copyrighttoolbox.surf.nl/copyrighttoolbox/authors/licence/). It is recommended that departments use or adapt this licence when entering into publishing agreements with authors. Where departments adapt the licence or wish to use other licences or publishing agreements they should consult the UCL Copyright Officer.

Licence to publish

The undersigned

Name author(s) (“the Author(s)”)

grants to

Name Publisher (“the Publisher”)

the following licence.

Background

This agreement concerns the publishing of scholarly and/or scientific works, and is intended to reflect a balance between the rights of the Author and the Publisher, according to the following principles:

  • The Author and the Publisher believe it is in the general interest to grant maximum access to scholarly and/or scientific works without compromising quality or academic freedom, especially when public resources finance such works;
  • The Publisher wishes to receive financial compensation for his contribution in the publication of the scholarly and scientific work;
  • The Author and the Publisher believe that particularly in the so-called subscription model a balance should be achieved between granting maximum access to scholarly and/or scientific works and granting financial compensation for the publication of these works.

Clause 1 - Definitions

The following words shall have the following meanings:

  • Acceptance: the communication to the Author by the Publisher of his willingness to publish the Author’s work.
  • Work: the published version of the Author’s work, entitled "___________________________".
  • Publication: The publication, in print or in digital form, for which the Work is destined.

Clause 2 - Licence of rights

  1. Upon Acceptance, the Author grants to the Publisher a sole licence to exploit the rights listed in clause 2.2 in the Work throughout the world for the full term of the copyright.
  2. The sole licence mentioned in clause 2.1 encompasses the right for the Publisher:
    1. to reproduce the Work in whole or in part, and to communicate the Work to the public in print and/or digital form, whether or not in combination with the works of others, for example the making available to the public via internet or any other network, as part of a database, on-line or off-line, for use by third parties;
    2. to translate the Work into other languages and to communicate the translation of the Work to the public;
    3. to create adaptations, summaries or extracts of the Work or other derivative works based on the Work and exercise all of the rights in such adaptations, summaries, extracts and derivative works;
    4. to include the Work, whether in translation or as adaptation or summary, in whole or in part in a computerised database and to make this database available to third parties;
    5. to include the Work, in whole or in part, whether in translation or as adaptation or summary, in a reader or compilation;
    6. to rent or lend the Work to third parties;
    7. to reproduce the Work by means of reprography, notwithstanding the limitations in the law.
    8. to enter into agreements with other publishers to republish the Work
  3. The Publisher undertakes that the name of the Author and the source is acknowledged in standard bibliographic citation form.

Clause 3 - Rights reserved by Author

  1. The Author retains all other rights with respect to the Work not granted to the Publisher and in particular he can exercise the following rights:

    Educational or research use
    To reproduce the Work, in whole or in part, and to communicate it or make it available to the public, whether in print and/or digital form, whether as part of a course pack or a compilation, for use in education or research within the Author’s own institution or the institutions with which the Author is affiliated.

    Dissemination
    To upload the Work or to grant to the Author’s own institution (or another appropriate organisation) the authorisation to upload the Work, immediately from the date of publication of the journal in which the Work is published (unless that the Author and the Publisher have agreed in writing to an embargo period, with a maximum of twenty four (24) months):

    1. onto the institution’s closed network (e.g. intranet system); and/or
    2. onto publicly accessible institutional and/or centrally organised repositories (such as PubMed Central and other PubMed Central International repositories), provided that a link is inserted to the Article on the publisher’s website.

    Preservation
    To grant to the Author’s own institution ( or another appropriate organization) the authorisation to reproduce the Work for the purpose of preventing it from deteriorating, or if the original is currently in an obsolete format or the technology required to use the original is unavailable, for the purpose of ensuring that the Work continues to be available for education and research purposes;

    Future reuse
    To reuse whole or part of the Work in a dissertation, compilation or other work.

    Personal use
    To present the Work at a meeting or conference.

    Use by end users
    To grant to end users of the Author’s own institution or (or another appropriate organization), the authorisation to copy, use, distribute, transmit and display the work publicly and to make and distribute derivative works.

  2. For every form of (re)use of the Work as described in the above paragraphs, the Author or the Publisher undertakes always to include the complete source (at least the Author’s name, the title and the number of the Publication, and the name of the Publisher), unless this is impossible.

Clause 4 - Moral rights

This agreement does not affect the moral rights of the Author in or to the Article. More specifically, the Author asserts his right to be identified as the Author and the right to object to derogatory treatment.

Clause 5 - Warranty

  1. The Author warrants that he/she is the sole creator of the Work and that the Work does not infringe any existing third party copyright or moral right.
  2. The Author shall hold harmless and indemnify the Publisher from any third party claims resulting from the publication of the Work should there be a breach of this warranty. The warranties contained in this article also apply to any drawing, photograph or other illustration included in the Work and delivered by the Author.
  3. The Author authorises the Publisher to institute, in co-operation with the Author, the necessary steps to prevent third party infringement of the copyright in the Work. The Author and Publisher undertake to provide each other full co-operation and complete information in this regard. The costs are subject to a separate agreement when the question arises.

Clause 6 - Obligation to publish

Subject to the Acceptance by the Publisher undertakes to publish the Work to the customary standard of the Publisher at the cost and expense of the Publisher within a reasonable period after Acceptance.

Clause 7 - Legal relationship

  1. The Publisher may transfer the exploitation rights on the Work to a third party, provided that this third party fulfils the Publisher’s obligations contained in this agreement towards the Author.
  2. If the Author can show that his moral rights are affected by the use of his Work by the Publisher pursuant to a licence, the Author may demand that the Publisher stop said use. The Publisher must honour the request unless this cannot be reasonably asked of him in view of the scientific or historical value of the Work.
  3. The Author has the right to terminate this agreement if the Publisher goes into bankruptcy or liquidation or any other arrangement for the benefit of its creditors.
  4. Termination of this agreement does not affect any prior valid agreement made by the Publisher with third parties.
  5. Nothing in this agreement is intended to confer rights on any third party.

Clause 8 - Multiple Authors

In the case of multiple authors, the Author has the consent of each author to enter this Licence to publish on behalf of them.

Clause 9 - Applicable Law

This agreement shall be governed by and construed in accordance with the country of residence of the Author whose courts shall be courts of competent jurisdiction.

Clause 10 - Final clause

The agreement comes into effect immediately on Acceptance and shall remain in force for the lifetime of the copyright in the Article.

Signed by the Author on (date)

Annex 4
Assignment Form

ASSIGNMENT OF INTELLECTUAL PROPERTY RIGHTS IN STAFF WORK

As a general principle, UCL recognises a member of staff as the owner of any IPR he/she produces while employed by UCL. This principle may be subject to variation in the case of collaborative or externally sponsored work, types of IPR whose ownership automatically resides with UCL, or other exceptional circumstances. Accordingly this form transfers ownership of the intellectual property rights in your work to UCL.

Further details on intellectual property rights can be found in UCL’s Guidance to Staff on IPR Issues. You may also consult the UCL Copyright Officer or UCL Business if you require further information.

Assignment of ownership of intellectual property rights

I the author/owner confirm that I assign ownership of all intellectual property rights in the work described below to the governing body of UCL.

The title to all intellectual property rights in the following work is hereby transferred to the governing body of UCL.

Signed:
Date:

DESCRIPTION OF WORK/S including software and data sets

Title Medium and full description Date
     
Form Identification Number
(Office Use only)
 

RECEIVED FROM:

Name Title
Address
Tel No:
Email Address
UCL department
 

Annex 5
Sample request letter for using third-party materials

(taken from ‘Intellectual property rights in e-learning’ HEFCE July 2006/20)

The draft shown below is an example of the sort of letter that might be sent out. The wording should be amended in the light of the specific request details and should bear in mind what the ideal situation in terms of permissions granted for the requestor should be, but what the fall-back position of the requestor is.

[date]

[name and address of copyright holder]

Dear Sir,

Request for Copyright Permission

We are currently preparing learning materials for the [                               ] degree / programme / module. These course materials will be delivered to students in print and made available to them over a secure web environment. We wish to copy and use [paragraph / quote / image] which originally appeared in one of your publications for inclusion in the course materials. The details of the [paragraph / quote / image] and where it was published are contained in the schedule attached hereto.

We now seek your permission to make use of these for the educational purposes described above and we will of course include acknowledgement of the source and ownership of the work in the use we make of it. Could you please confirm your consent in writing to this proposed use of your copyright works.

We look forward to hearing from you in due course.

Yours faithfully,

Schedule

Author Title ISSN/ISBN Page

Annex 6
Sample permission letter granting use of third-party materials

(taken from ‘Intellectual property rights in e-learning’ HEFCE July 2006/20)

The draft shown below is an example of the sort of letter that might be sent out. The wording should be amended in the light of the specific request details and should bear in mind what the ideal situation in terms of permissions granted for the requestor should be, but what the fall-back position of the requestor is.

[date]

[name and address]

Dear Sir,

Grant of Permission to Use Copyright Work

We write in response to your request dated [                    ] for permission to make use of various copyright works in your [                            ] degree / programme / module. We hereby grant permission for you to copy and publish the copyright works specified in your request in print format and to make them available to students over a secure web environment. The copyright works may not be amended or altered in any way. This permission is granted for this educational purpose only and will not extend to the use of the copyright works for non-educational or commercial purposes. An acknowledgement of the source and ownership of the work must be included in any use made of the work.

Yours faithfully,

[name of copyright holder]

Annex 7
Sample consortium agreement for multi-partner collaborative R&D projects

(taken from ‘Intellectual property rights in e-learning’ HEFCE July 2006/20)

(The wording of the claus es in this annex is taken from Appendix 5 of ‘Intellectual property rights in e‑learning programmes’, HEFCE 2003/08.)

THIS AGREEMENT is made the ______ day of _________ 200X BETWEEN

THE UNIVERSITY OF ENGLAND of __________________ and

THE UNIVERSITY OF NORTHERN IRELAND of __________________ and

THE UNIVERSITY OF SCOTLAND of __________________ and

THE UNIVERSITY OF WALES of __________________

(hereinafter referred to individually as a ‘Party’, collectively or in groups as ‘Parties’)

Introduction:-

A.      The Parties to this Agreement wish to undertake a project entitled ‘e‑learning materials’.

B.      The Parties intend to carry out a programme of work which is described in Annex 1 [not attached] (hereinafter referred to as the ‘Project’).

C.      The [          ] year Project will involve the development of [          ] and the production of [          ] (hereinafter referred to as ‘Deliverables’). It is envisaged that the Deliverables may be further developed after the end of the Project and that such further development may lead to the production of additional materials (hereinafter referred to as ‘Products’).

This Agreement sets out the details of the relationship between the Parties.

It is hereby agreed as follows:-

  1. Purpose of the Consortium

    The purpose of the Consortium is to carry out the Project and to produce Deliverables as described.

  2. Commencement and duration

    The Consortium was formed and the Project commenced with an effective date of ………… and the Project has a duration of [          ] years, unless otherwise agreed in writing by the Parties.

  3. Project resources

    The total funding for the Project is as follows:

    Year 1 - £[          ]          Year 2 - £[          ]          Year 3 - £[          ]          Total - £[          ]

    and the budget shall be apportioned between the Parties in accordance with the schedule detailed in Annex 2 [not attached].

  4. Project management

    4.1 Identification

    The Parties agree that the Project lead site is The University of England. The Parties agree that the Project will be managed by Professor [          ] of the University of England (‘Project Manager’). The Project Manager will report to a group established by the Consortium and made up of [          ] (‘the Steering Group’). The Chairman of the Steering Group is the Deputy Vice-Chancellor of the University of England (‘Chairman’). The nominated individuals are listed in Annex 3 [not attached].

    4.2 Responsibilities of the Project Manager

    The Project Manager will have responsibility for the day-to-day management of the Project, with the Steering Group being concerned with overall policy and direction. The Parties agree that the Project Manager will have the following responsibilities:
    [          ]

    4.3 Responsibilities and activities of the Steering Group

    The Steering Group will determine the overall nature of the Product and will maintain responsibility for determining the technical standards to be adopted in the Project. The Steering Group will determine the academic content of the Product. The Steering Group will meet at least [          ] times a year. Additional meetings may be called by two or more Parties or on the advice of the Project Manager. The Steering Group may choose to take advice from third parties, as is required. Meetings of the Steering Group will operate under the following rules:

    • the Project Manager will notify Steering Group members of the dates of meetings and outline agenda with at least fourteen days notice
    • each Steering Group member will have one vote, except the Chairman who has a casting vote. However, a member may not vote on matters concerning a dispute with the Consortium where the member is the subject of the dispute
    • Steering Group members may nominate a representative to attend meetings and vote on their behalf
    • decisions will be taken on the basis of a majority vote of those attending and eligible to vote
    • the minimum number of voting members required for meetings is [          ].

    4.4 The responsibilities of the Chairman

    To act as chairman of the Steering Group.

    4.5 Responsibilities of the Parties

    Each Party undertakes to use all reasonable endeavours to:

    • perform on time the tasks and work packages assigned to it under the schedules shown in Annex 4 [not attached]
    • participate actively with other Parties where necessary
    • promptly notify the Project Manager of any delay in performance
    • prepare and present reports as required.

    4.6 Changes in membership of the Consortium

    Institutions may be invited to join the Consortium only by the unanimous decision of the Steering Group and on the condition that the new institution becomes a Party to this Agreement. A Party may withdraw from the Consortium only in the event of irremediable breach of any Clause in this Agreement and with the unanimous agreement of the remaining Parties. In the event of withdrawal or expulsion, the remaining members of the Consortium will only be liable to meet the cost of any work undertaken up to the point at which an institution ceases to be a member of the Consortium. The balance of any payments made to the Party will be returned to the Project Manager within 30 days of withdrawal or expulsion. In all cases, the Consortium reserves the right to acquire (both in physical form and in the form of assignment to it of any relevant Intellectual Property Rights) any work produced as a result of the Project.

  5. Data management

    5.1 Data collection

    In the course of the Project, each party is involved in the collection of data in the form of [          ]. The data are to be sent to the Project Manager and stored in an archive at [          ] (‘the Project Archive’). Each Party agrees to ensure that all data submitted to the Project Manager are accompanied by documentation detailing the origin of the data, together with any necessary ethical consent. (Each data collection must be accompanied by a signed copy of the copyright form as shown in Annex 5 [not attached]). The Project Manager undertakes to ensure that all data stored in the Project Archive are referenced to the associated copyright documentation stored as part of the Project Archive.

    5.2 Data maintenance

    The University of Wales hereby undertakes to maintain the Project Archive for the duration of the Project and for a period of at least [ ] years after the end of the Project. This period is subject to extension if the Steering Group so decides.

  6. Confidentiality

    Each Party hereby undertakes to the other Party that it shall procure that its employees, agents and students shall:

    1. keep confidential all information of a confidential nature (whether written or oral) concerning this agreement and the business affairs of any other Party that it shall have obtained or received as a result of the discussions leading up to or entering into or performance of this agreement (the ‘Information’);
    2. not without the prior written consent of the relevant other Party disclose the Information, either in whole or in part, to any other person save those of its employees, agents and students involved in the implementation or evaluation of the Research who have a need to know the same for the performance of their duties; and
    3. to use the Information solely in connection with the implementation of the Research and not otherwise for its own benefit or the benefit of any third party.

    The provisions a, b and c above shall not apply to the whole or any part of the Information to the extent that it can be shown by the receiving Party to be:

    1. Known to the receiving Party prior to the date of this agreement and not obtained directly or indirectly from any other Party; or
    2. Obtained from a third party who lawfully possesses such Information which has not been obtained in breach of a duty of confidence owed to any Party by any person; or
    3. In the public domain in the form in which it is possessed by any other Party other than as a result of a breach of a duty of confidence owed to such other Party by any person; or
    4. Required to be disclosed by legal process, law or regulatory authority.

    Each Party hereby undertakes to the other Party to make all relevant employees, agents and students aware of the confidentiality of the Information and provisions of this Clause 6 and without prejudice to the generality of the foregoing to ensure compliance by such employees, agents and students with the provisions of this Clause 6.

  7. Intellectual property

    7.1 Ownership

    With regard to the ownership of intellectual property, the Parties agree as follows:

    • the Party generating the Material shall own all Materials not incorporated into a Deliverable
    • all Deliverables, and the Materials contained therein, not incorporated into a Product shall be owned jointly by all the Parties
    • any Product shall be owned by one Party and the Steering Group will decide which Party shall own a Product on a case-by-case basis.

    Each Party shall obtain the necessary assignments of intellectual property rights (this term includes, but is not limited to, copyright, database right, patents and trademarks) from all staff, students or agents involved in the development and production of the Deliverables on its behalf. Each Party warrants to the other Parties that it is the owner of the copyright and/or database rights in the Deliverables or that it is duly licensed to use the Deliverables and that the content of the Deliverables used as contemplated in this Agreement does not infringe any copyright or other proprietary or intellectual property rights of any natural or legal person.

    Each Party shall indemnify and hold the other Parties harmless from and against any loss, damage, cost, liability or expense (including reasonable legal and professional fees) arising out of any actual or alleged infringement of such rights.

    This indemnity shall survive the termination of this Agreement for any reason.

    7.2 Marking

    The Parties agree that all Deliverables and Products shall be clearly marked identifying that the copyright is owned by [          ]. The Parties agree that the Steering Group will produce a suitable form of words acknowledging the involvement of the Parties and the ownership of the copyright, which shall appear on all copies of the Deliverables and Products.

    7.3 User rights

    Each Party hereby grants to the other Parties a non-exclusive indefinite free licence to use the Deliverables and Products for the purposes of carrying out the Project and for teaching and research purposes during the Project and after the end of the Project. The Parties hereby agree to grant to each other and to third parties such non-exclusive licences as are necessary to enable the exploitation of the Deliverables and the development and creation of Products in accordance with the provisions of this Agreement.

  8. Commercial exploitation

    8.1 Procedures

    In addition to the free licences granted in Clause 7.3 above, the Parties agree that they shall endeavour to exploit commercially the Deliverables and Products world-wide. The parties agree that a special meeting of the Steering Group will be held at the end of the Project and also one year before the end of the Project in order to discuss the potential for the commercial exploitation of the Deliverables and Products. At these meetings, the Steering Group shall review the Deliverables and shall discuss the potential for exploitation and the potential for development of Products from the Deliverables. The Steering Group will agree upon a strategy for exploitation.

    8.2 Exploitation income sharing

    Income derived from exploitation of Deliverables shall be received by and allocated to an account within the finance office of the Party responsible for the generation of the income. Where more than one party is involved, the Parties shall agree among themselves on procedures for receipt of income.

    After the deduction of all relevant expenditure and costs associated with exploitation, the remaining income derived from commercial exploitation shall be divided as follows:

    x%, y%, z%

    The Parties agree that the sharing of revenue applies to those Parties remaining at the end of the Project. If a Party resigns or is expelled prior to the completion of the Project their entitlement to a share in the income derived from commercial exploitation will be determined by the Steering Group and will take account of the proportion of the total Project undertaken by that Party.

  9. Publication and press releases

    Procedures for publications and press releases relating to the Project shall be agreed between the Parties through the Steering Group.

  10. Liability

    The work associated with the Project will be carried out by each Party in accordance with the highest academic standards, and reasonable endeavours will be made to achieve the degree of reliability and accuracy appropriate to work of this kind. However, no Party has control over the use to which other Parties may put the results of the work, and each Party will therefore be deemed to have satisfied itself in every respect as to the suitability and fitness of the work for any particular purpose or application. To the extent permitted by law, no Party, its servants or agents accept any liability, however caused, arising from any error or inaccuracy in any opinion, advice, report or deliverable arising from this work nor for any resulting damage, loss expenses or claim, except to the extent that such can be shown to be caused by the wilful negligence of the Party.

  11. Miscellaneous

    Assignment: No party will be entitled to assign this Agreement nor all or any of their rights and obligations hereunder without the prior written consent of the others.

    Disputes/arbitration: All disputes or differences which will at any time hereafter arise between the Parties in respect of the construction or effect of this Agreement or the rights, duties and liabilities of the parties hereunder, or any matter or event connected with or arising out of the Project, will be referred in the first instance to the Steering Group. If the Steering Group is unable to resolve the dispute, the Chairman shall select an independent third party to act as arbitrator.

    Relationship: Nothing in this Agreement will create or be deemed to create a partnership or the relationship of employer and employee between the Parties.

    Law and jurisdiction: This Agreement will be governed by the laws of England. This Agreement is subject to the exclusive jurisdiction of the English courts to which the parties hereto submit. This clause does not prevent a party from seeking interim relief in any court of competent jurisdiction.

    Indemnity: Each Party represents and warrants to the other Parties that publication or distribution of those parts of the Deliverables that it has contributed will not contravene any laws, including but not limited to the laws of defamation and contempt of court (or concepts approximating thereto). Each Party shall indemnify and hold the other Parties harmless from and against any loss, damage, cost, liability or expense (including reasonable legal and professional fees) arising out of any illegality. Any Party shall promptly inform the others of any illegality or alleged illegality upon the party becoming aware of the same. This indemnity shall survive the termination of this Agreement for any reason.

AGREED BY THE PARTIES through their authorised signatories

For and on behalf of THE UNIVERSITY OF ENGLAND:

.................................................................. Date ...........................

Name: ..............................................................

For and on behalf of THE UNIVERSITY OF NORTHERN IRELAND:

.................................................................. Date ...........................

Name: ..............................................................

For and on behalf of THE UNIVERSITY OF SCOTLAND:

.................................................................. Date ...........................

Name: ..............................................................

For and on behalf of THE UNIVERSITY OF WALES:

.................................................................. Date ...........................

Name: ..............................................................

Annex 8
Risk Register

Risk Impact Remedy
3rd Party rights not cleared Legal action taken against individual or institution Clear all 3rd party right
IPR issues not covered in collaborative agreements Dispute over ownership of products of project Ensure IPR is covered by collaborative agreement
Staff leave Difficulties in updating content particularly in respect of moral rights, paternity and integrity Clear statement of arrangements in UCL Staff IPR/Copyright Policy
Not identifying risks Avoidable events take place Education to ensure risks are identified

Last modified 04 April 2011

 
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