Copyright Licensing Agency (CLA) : SECTION A

SECTION A - GENERAL

All points in this section apply to Photocopying, Scanning and Digital Use Rights

Subject Headings:

Licence Co-ordinator (go back)

The Licensee should nominate a Co-ordinator to supervise compliance with its terms. As an indication of the responsibilities involved, the following checklist might be helpful:

appointing members of staff designated to prepare / distribute Digital Copies
verifying that each Digital Copy prepared incorporates a Copyright Notice
ensuring that each Digital Copy distributed is recorded on the Record Sheet
return of Digital Copy Record Sheet (scans / digital original use) to CLA’s Survey Operations Dept
liaising with CLA’s Licence Auditor on the conduct of an audit, if and when required
liaising with CLA’s Operations Dept on photocopying surveys, if and when required
liaising with CLA’s Customer Services Dept on Support Material
liaising with Customer Services Dept on NCB returns
circulating RSS feeds and encouraging sign-up

It is recommended that each HEI reviews whether the member of staff currently notified to CLA’s Customer Services Dept as the Licence Co-ordinator is the appropriate manager to discharge the set of responsibilities outlined above and that his / her job description is amended accordingly.

Routinely, ‘pro forma’ contact details for the nominated Licence Co-ordinator are advised to CLA on an annual basis. To ensure that there are no complications relating to the Data Reporting and Auditing procedures, it is essential that any changes are notified immediately upon taking effect.

Student Data (go back)

Registered students are charged for in accordance with the following arrangements:

Campus based

All campus based students on credit bearing (e.g. diploma, certificate, degree) courses are charged in accordance with their ‘Full Time Equivalence’ (FTE), based on returns received from the Higher Education Statistics Agency (HESA).

Distance Learners

Full and part time Distance Learners are charged on a ‘headcount’ basis, based on the Offshore Aggregate Return received from HESA in respect of UK based and overseas based Distance Learners in respect of the academic year that ended on the preceding 31 July. HEIs should note that students based at an overseas campus are not covered by the licence.

Each Distance Learning student is charged on a ‘per capita’ basis.

Non Credit Bearing (NCB) Courses

HEIs should ensure that their Student Records Office maintains a complete and accurate record of the total number of ‘Contact Hours’ for all students on Non Credit Bearing courses. These are defined similarly to the definition previously applied by HESA to include essentially all students on courses not already reported to HESA as FTES.

CLA’s Customer Services Dept send a pro-forma to all HEIs requiring an annual declaration of the sum total of NCB Contact Hours for the academic year that ended on the immediately preceding 31 July. 1 FTES is derived from every 300 NCB related Contact Hours reported.

Staff (go back)

The licence covers all full time and part time members of academic and administrative staff – whether employed on permanent or fixed term contracts – to make and receive multiple photocopies, to become Designated Persons for the purpose of preparing / distributing Digital Copies and - in respect of those tutors who teach on a course of study - to receive Digital Copies.

A flexible approach as to how HEIs allocate these responsibilities is allowed. For example the designation of members of staff might be by reference to a single postholder (e.g. Licence Co-ordinator, VLE System Administrator) or a list of defined postholders (listed either by name and / or job title) or a defined category of appointment (e.g. Course Administrator, Course Designer, Course Convenor).

Students cannot be appointed as Designated Persons.

Individuals contracted to undertake the normal duties of an established post (for example to cover maternity leave, long term sickness, absence on secondment etc) enjoy equivalent status to that of permanent / temporary staff.

Please note that the licence terms do not extend to “walk in” users (e.g. alumni, former members of staff etc) or to staff employed by the National Health Service based either at an HEI’s premises or elsewhere. Please also note that Higher Education Institutions, and libraries run by Higher Education Institutions on behalf of or jointly with the NHS in Scotland, may no longer supply copies in any form to NHS employees under the CLA licence unless such employees have also been declared to the Higher Education Statistics Agency as registered Higher Education students, who are covered under the CLA Higher Education Licence as ‘Authorised Persons’.

Source edition (go back)

Multiple photocopies / Digital Copies should be made from either:

an original of the book, journal or magazine owned by the HEI; OR
a copyright fee paid copy of a chapter / article supplied by an organisation holding a document delivery licence with CLA (e.g. British Library)

A book, journal or magazine owned by an HEI can be acquired through purchase or through bequest, gift or exchange programmes. This includes items hosted on either permanent or extended loan basis on terms which require the material to be available for indefinite use by or for the benefit of Authorised Persons.

A source edition used for photocopying and / or scanning does not have to be kept in the Main Collection of the University / College Library – it can, for example, be located in a Faculty, School or Departmental collection of books and journals or in the office of a member of academic or administrative staff.

The following types of book / journal issue are not supplied with view to copying under the terms of the Licence:

“inspection” copies
“proof” copies (complimentary early editions provided for review purposes)
article “reprints” or “offprints” supplied on a complimentary basis by the journal publisher to a contributing academic author(s)

The licence only covers published works, so pre-publication proofs of books or articles are outside its scope. Even after publication, proof copies should not be used as an alternative to copies made from the published edition.

In exceptional circumstances where:

an HEI cannot acquire a book, journal or magazine on the retail market (or the 2nd hand market)
cannot acquire a copyright fee paid copy of a chapter / article from the British Library

an HEI can make Paper and / or Digital Copies sourced from a personal copy owned by an academic or administrative member of staff.

Furthermore, provided that the HEI does own an original of the book, journal or magazine (or a copyright fee paid copy) Paper and / or Digital Copies may, if necessary, be made from an alternative copy (e.g. a tutor owned copy or a ‘master’ photocopy obtained from another source) of the same item. This might apply where a library copy contains handwritten annotations, has been defaced or has had some pages removed.

Excluded Categories (go back)

The following types of material cannot be copied under the terms of the licence:

printed music (including the words)
this applies to works that consist entirely of sheet music and to music notation included in a published work. For details about obtaining permission to copy printed music, please refer to the Music Publishers Association (MPA) Code of Fair Practice
maps and charts
this applies to works that consist entirely of maps or charts and to maps / charts included within published works (whether as full or part page representations). The Ordnance Survey has its own licensing scheme covering OS maps
newspapers
The Newspaper Licensing Agency Limited (NLA) licenses copying from most newspapers published in the United Kingdom
‘copying not permitted under CLA licence’
any work in which the copyright owner has expressly stipulated that “permission is not granted for copying under licences issued by The Copyright Licensing Agency”
workbooks, workcards and assignment sheets
defined as publications designed for students to write on and intended for once-only use
unpublished material
examples include theses, dissertations, assignments and ephemera such as Company Reports, retail supplier catalogues, in house brochures and pamphlets etc

Excluded Works and Notifying Amendments (go back)

In addition to the above general categories, some specific titles are excluded from copying under the terms of the licence.

Full details are given below (in Sections B, C and D) of the various web-based lists that apply for the purposes of photocopying, scanning and digital use.

All the relevant lists are subject to additions / deletions. Hence, licensees should routinely check the current status of a particular title / publisher before arranging to make multiple photocopies and / or Digital Copies under the terms of the licence.

CLA will notify HEIs of changes to these lists via a regular newsletter which will be sent automatically to all Licence Co-ordinators, and to other staff on request.

Current edition (go back)

Unless there are valid pedagogical reasons for using a superseded edition, Paper Copies / Digital Copies should be made from the current published edition. The copying of chapters from more than one edition of a published book is not permitted under the licence except for clearly demonstrable pedagogical reasons.

Lost, stolen or damaged stock (go back)

If an item is lost, stolen or damaged after a copy has been made under the licence, the copy may continue to be used to support a course of study subject to compliance with all its terms and conditions.

However, decisions to replace lost, stolen, damaged editions should be made in line with normal library / departmental practice; such decisions should not be influenced by the availability of photocopied or scanned extracts previously prepared under the terms of the licence.

Copyright fee paid copies (go back)

Copies supplied to an HEI by a licensed document supplier (such as the British Library) or by an intermediary holding a CLA licence permitting the supply of content in electronic form (e.g. an organisation holding a Press Cuttings Agency Licence) have the status of copyright cleared and can be used as a source for making multiple photocopies and / or Digital Copies under the CLA Licence.

The copyright fee paid source copy can be supplied to the HEI either in paper or in electronic form (for example, BLDSC’s Secure Electronic Delivery service).

Photocopying and / or scanning of copyright fee paid copies is subject to the same conditions for making paper copies / Digital Copies with reference to students on a course of study as is applicable to copies made from an HEI owned original published edition.

Inter library loans (go back)

Books, journal parts and magazines borrowed either from the British Library or from another library (for example an HE, FE or NHS Library) on inter library loan cannot be used as source editions for making Paper and / or Digital Copies under the terms of the licence.

Also photocopies acquired from other libraries (including the British Library) in accordance with the ‘library privilege’ exception to copyright law cannot be used as source copies for making Paper and / or Digital Copies under the licence.

Joint Use Library Facilities (HE-FE, HE-NHS etc) (go back)

Where an HEI has partnership arrangements with, for example, a local college of Further Education or an NHS Trust (excluding NHS Scotland Trusts) under which a collection of books, journals and magazines is housed in a library used jointly by both staff and students of an HEI and by staff and students of an FE College (or by staff of an NHS Trust outside Scotland), it is essential to ensure that works used for courses delivered by the HEI (in respect of which the students are included in the HESA return as FTES) are owned by the HEI and not by the partner institution.

The converse also applies – if the students are registered with the FE college or come under the NHS Trust, copies cannot be made under the terms of the Higher Education Licence, but would have to be covered by an applicable FE or NHS Licence.

Quantity limits (go back)

The permission to make or use Paper and / or Digital Copies applies to enable each student on a course of study (and the course tutors) being supplied with one copy of each extract from a copyright protected work, whether in paper or electronic form or both.

It is recognised that there will be circumstances of, for example, printer malfunction, toner / paper tray reloading or of a first copy being lost, spoiled or degraded where it is appropriate for an additional copy to be made / printed.

Extent Limits (go back)

With strict reference to supply to a student enrolled on a Course of Study, the proportion of a work that can be copied consists of whichever is the greater of 5% or:

one chapter of a book

one article of a journal issue

one paper of one set of conference proceedings

one report of a single case from a report of judicial proceedings

one short story or one poem or one play of not more than 10 pages in an anthology of short stories, poems or plays

These extent limits are intended to apply to both printed books, journals and magazines and also to e-books and e journals. (See also notes in Section D on extent limits for Digital Material.)

Where a book is subdivided into parts or sections (such as a collection of essays) that are demonstrably equivalent to a chapter based organisation of topics (but not described as such), the whole part can be photocopied as for a chapter.

In some extremely rare cases, books are not divided into chapters or might be published with only 1 or 2 chapters or other divisions. In these circumstances, it is suggested that, in keeping with the spirit of the Agreement the 5% limit should be applied.

If in any doubt please contact us.

Direct permission (go back)

The rights granted by the licence are not contravened by a licensee securing direct permission from a rightsowner for rights and uses which fall outside its current scope, e.g.

copying in excess of 5% / one chapter / one article
copying a title on the ‘Excluded Works’ List
copying sourced from a photocopy from a book, journal or magazine not owned by the HEI and where the ‘master’ copy is not a copyright fee paid one

Visual Display (go back)

There are no limits on the number of times a Digital Copy prepared under the terms of the licence can be opened and viewed on screen.

Artistic works (go back)

The licence permits the photocopying and / or scanning of pages in printed books, journals and magazines consisting either wholly of text, pages consisting wholly of images (e.g. illustrations, photographs and other works produced by visual creators) and of pages consisting of a combination of text and images, notwithstanding any credits / special acknowledgements / statement of copyright ownership often printed adjacent to an artistic work.

Slides (go back)

The licence does not include permission for making copies of images stored on slides. It is recommended that you either contact the Design and Artists Copyright Society Ltd for details of the DACS Slide Licensing Scheme or make contact with the relevant rightsowner for direct permission.

Shortening / Annotating Extracts or Juxtaposing Text / Images (go back)

Some changes may be made to items copied, with the important proviso that all such activity should be entirely for pedagogical purposes and should not be detrimental to the moral rights of authors and visual creators.

Licensees may copy only part of - or abbreviate or shorten the text of an article, chapter or other extract – provided that any omissions are clearly marked and do not affect the meaning or sense of the text in any way which might affect the author’s moral rights. Parts of a text may be blanked out, e.g. for the purposes of asking students to answer questions about it, or to translate some of the words from / into English or another language, with the same proviso.

Annotations may be added to copies e.g. in the form of a Commentary, again subject to the same proviso. Licensees are also permitted to annotate an image by adding some narrative text / commentary, produce a copy of an image stripped of its accompanying text and ‘synchronise’ text / images otherwise separated by the layout of the original published edition.

In all cases noted above, there must be a clear statement in the body of the copy to the effect that the extract has been subject to alteration strictly for teaching purposes.

Textbook Substitution (go back)

The main purpose of the rights granted in the licence is to allow HEIs to make full use of their collection of books, journals and magazines in support of the processes of learning, teaching and commercial research.

In this context, the making of photocopies and Digital Copies is not intended to substitute for the purchase of an original published edition (either printed or electronic) or the commissioning of an original artistic work.

Textbook substitution could occur if a particular combination of photocopies and / or Digital Copies made available through a course pack had an adverse impact on a student’s decision to buy one (or more) textbooks for their course. This would be in conflict with the principles of non-substitution set out in the licence.

CLA has worked with representatives of publishers and of Universities UK, GuildHE and individual HEIs to publish a Good Practice Guide in the creation of course packs. The Guide been endorsed by Universities UK and GuildHE. For full details, please refer to the Textbook Substitution section of our website.

UK territory (go back)

The licence permits copies to be made in the United Kingdom only – Paper Copies and Digital Copies cannot be made by staff / students based overseas.

However, irrespective of whether based in the United Kingdom or located abroad, Distance Learning students enjoy the same rights as campus based students to receive photocopies and to view, download and print Digital Copies (please note that these rights do not extend to students studying at an overseas campus).

Any further copying of licensed copies in overseas territories cannot be undertaken unless local laws, regulations and / or a licensing schemes allows.

Outsourcing (go back)

HEIs may subcontract the making of paper or Digital Copies to third party contractors (such as specialist Print Service companies / bureaux).

With regard to the making of Digital Copies, HEIs should take reasonable steps to ensure that any such third parties apply the appropriate procedures for quality and security necessary to comply with the terms of the licence. HEIs should also keep a record of all such subcontractors for supply, on request, to CLA.

Importantly, subcontractors should not retain any Digital Copy (or the source book, journal part or magazine) created under the terms of a contract once the item has been produced and delivered and accepted by the contracting HEI.

Commercial Research / Consultancy (go back)

Photocopies and Digital Copies can be prepared for the purpose of an HEI’s commercially funded research – for example, a contract or collaborative research project or consultancy. Copies made for this purpose can be supplied to:

members of an HEI’s research team (e.g. staff / postgraduate students); and
a third party organisation wholly (or partly) funding the research

These special arrangements are intimately linked to partnership agreements between an HEI and a business enterprise – copies cannot be supplied to companies who are simply engaged in sponsoring studentships, fellowships, honorary posts, secondments, placements and university clubs and networks.

Please note that subscribing to the CLA Low Volume Document Delivery Licence will enable HEIs to supply licensed copies to those commercial end users (e.g firms of solicitors) who are not formally involved in supporting an HEI’s commercial research / consultancy activity.

Copies supplied to a commercial third party are subject to strict restrictions prohibiting further use; any hard or electronic copies must incorporate the form of words of the Copyright Legend set out in Schedule 4 of the Licence Agreement.

Such copies are charged for by:

Step 1

Deriving a notional FTES for the total number of academic members of staff engaged in commercial research / consultancy from tables in the annual HESA publication “Resources of Higher Education Institutions”.

Step 2

Multiplying the derived FTES by the published ‘annual fee per Professional Employee’ in CLA’s Business Licence (Band A rate)

The relevant HESA tables are those covering:

total income (derived from all sources)
total income contributed by ‘commerce, industry and public corporations’
total academic staff

For the purpose of illustration, sample figures / calculations are set out below:

total annual income of the University of Wessex = £207,121,000
total income contributed by commerce / industry = £3,106,815

Percentage of total income derived from commerce / industry = 1.5%

total academic staff = 1,669

1.5% of total academic staff = notional FTES of 25

25 x £35-96 § (Business Licence rate per professional employee) = £899

§ this figure is used for the purposes of illustration only – the total no of FTES will be multiplied by the Band A Business Rate applicable in the invoicing year

This calculated figure will appear as a separate line entry in an HEI’s invoice.

Research Excellence Framework (go back)

CLA will grant a separate, royalty-free licence in relation to copying for the purposes of the Research Excellence Framework 2014 (REF).

This licence will authorise HEFCE to permit HEIs to make photocopies or digital copies of printed/digital books and journals and to transmit these copies to HEFCE for storage on its Data Collection System.

If an HEI’s REF-related activities are limited to (i) photocopying and / or making of digital copies and (ii) it submits such copies promptly to HEFCE, HEIs do not need to exploit the rights granted in the HE Licence to cover such copying.

However, some HEIs may wish to undertake some REF-related copying which goes beyond this, e.g. for the purposes of internal review to decide which items should be submitted. This would entail:

(i) maintaining an internal collection of items to be viewed by persons responsible for the REF and / or
(ii) making digital copies of items which may, in the end, not be submitted to HEFCE

In such cases, the rights incorporated in the HE Licence are applicable. Noting that Paper and / or Digital Copies made under the terms of the HE Licence for REF purposes are subject to the same terms and conditions as apply to all licensed copies, the following particular points are highlighted:

any member of an HEI’s staff responsible for REF preparation may be appointed as a ‘Designated Person’ for the purpose of making and storing Digital Copies in a secure area (an equivalent of a Course Collection)
in the Copyright Notice, all references to a listed ‘Course of Study’ should be replaced by the term ‘REF’
on the Digital Copy Record spreadsheet, the code ‘REF’ should be used in place of the Course Code and the expanded form ‘Research Excellence Framework’ inserted into the Course Title field; the number of course users should consist of the total number of staff who have been authorised to view, download and print Digital Copies stored on the REF Course Collection
the REF dataset should be reviewed in line with the standard housekeeping procedures for Digital Copies held on Course Collections – i.e. any superseded editions or deselected extracts should be withdrawn
HEIs will be sent via a regular newsletter details of the rights associated with this licence when available

Visual Impairment, Dyslexia and other Disabilities (go back)

The licence does not remove or diminish any of the copyright exceptions extended to students and members of staff of an HEI who have any kind of visual, cognitive or other disability recognised in the Disability Discrimination Act to receive an accessible copy of a copyright protected work.

The supply of an accessible copy is subject to the HEI owning an original published edition of a title which is not otherwise commercially available in a suitable alternative accessible format; the suitability of the accessible copy is determined by reference to the needs / disability of the user e.g. a Braille edition is not suitable to someone incapable of reading Braille; a large print edition is not suitable to someone who is completely blind.

Type size enlargement / reduction, alternative fonts, colour adjustment (background or font) left / right justification (and other techniques designed to make content accessible by those visually or otherwise disabled) is permitted.

An audio file (i.e. containing the spoken words on the printed page) may be generated from an accessible electronic copy if a user has difficulty in using Screen Reader software.

The right to make Accessible Copies under the terms of the licence is a separate one from the permission to make Digital Copies; there is no requirement to include entries for Accessible Copies on the Digital Copy Record Sheet.

Surveys and Compliance Audits (go back)

Licensees are required to assist CLA with its programme of Surveys, which currently cover Photocopying, as well as Audits.

Surveys

Each year, Surveys are conducted, by prior arrangement, at 12 HEIs, 6 in the Autumn and 6 in the Spring. These aim to collect data on the volume and identity of photocopies made under the licence in libraries, Departments and Reprographic Services Units.

To ensure comparability with data prior to 2001, separate data are collected for Course Packs. The method of collecting Course Packs from surveyed HEIs is currently subject to review by the ‘Surveys and Data Working Group’; further details will be advised at the conclusion of this process.

The information collected is used for the purpose of the accurate distribution of licence fee revenue to the appropriate rightsowners. It may also be used to help quantify trends in copying volumes for the purposes of agreeing a fee for future licences.

Audits

An audit has different aims and objectives.

The priority of an audit is to determine that Digital Copies are being prepared and distributed in accordance with the terms of the CLA licence however it is not limited to this aspect of the licence.

An audit may, for example, include verifying compliance with defined extent limits, monitoring that the procedures for ensuring securely authenticated access are demonstrably robust and reviewing whether the moral rights of authors and visual creators are being observed.

The Auditor will seek to verify that the terms and conditions of the licence are understood and being correctly implemented. This may include, for example, verifying that all Digital Copies created under licence have been correctly recorded on the Digital Copy Record Sheet, that a Copyright Notice has been appended, that each Digital Copy represents a direct unaltered representation of the original printed page(s) and that it has been sourced from an original published edition owned by the HEI or a copyright fee paid equivalent.

To complete all the defined tasks, the Auditor will require full access to Digital Copies stored in the Course Collection segments of the secure network – such access may be supervised by an appointed member of the HEI’s staff.

Findings and results of the audit will be routinely provided to the audited HEI; each licensee will be given full opportunity to comment on and discuss any problems which have been highlighted.

User Guidelines 1 August 2012 - 31 July 2013