Anglia Ruskin University
Policy on Intellectual Property 2008 (September 2008)
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Introduction
1.1
Anglia Ruskin University (‘we’) strives to contribute to social, cultural and economic
development, especially through our research and scholarship, endeavouring to become
a centre of excellence for Knowledge Transfer.
1.2
This document sets out our policy on ownership and commercialisation of Intellectual
Property rights in work created by members of our staff. The policy is intended to reflect
not only the provisions of the relevant UK legislation but also academic custom and
practice as it currently operates in the university sector.
1.3
The purpose of Knowledge Transfer is focused on benefits to the advancement of science
and technology, the national and global economies, their regeneration and sustainability
as well as the welfare of the nation and mankind, namely through:
1.3.1
1.3.2
1.3.3
1.3.4
1.4
We encourage and support the development and exploitation of Intellectual Property (as
defined in 1.5 below) for the purposes set out above and we will use our reasonable
endeavours to develop and exploit Intellectual Property via Knowledge Transfer.
1.5
Intellectual Property, for the purposes of this Policy, includes the following:
1.5.1
1.5.2
1.5.3
1.5.4
1.5.5
1.5.6
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exploitation and commercialisation;
building and strengthening our own and related brands;
benefit and/or improvement to teaching; and
benefit and/or improvement to research.
patentable and non-patentable inventions;
registered or unregistered designs, topography rights;
copyright and database rights;
registered and unregistered trademarks, and domain names;
know-how; and
all rights of a similar nature.
1.6
Intellectual Property can arise from our knowledge base including, but not limited to,
teaching, research, the provision of services, and physical and human resources.
1.7
The Office of the Secretary and Clerk has the responsibility for ensuring compliance with
this Policy.
1.8
In the event of any uncertainty in relation to whether we will lay claim to the ownership of
any copyright produced by an employee outlined in paragraph 2.5 please contact the
Deputy Vice Chancellor for Research, Development & Scholarship or Director of
Research, Development & Commercial Services for guidance.
Ownership of Intellectual Property
2.1
In accordance with UK law (and in common with other universities), we will own all
Intellectual Property generated by our employees in the course of their employment. Such
ownership is subject to the exceptions in paragraphs 2.4 and 2.5 below and to the
provisions relating to employees’ inventions in the Patents Act.
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2.2
Where Intellectual Property is generated through collaborative work with others or by
personnel not employed by us in circumstances where we have contributed to its
generation, we will seek to establish a share in the ownership of that Intellectual Property
(although such share will be dependent on the co-operation of the other parties involved).
2.3
Where we think it appropriate, we will also seek to obtain access to Intellectual Property
belonging to other parties for the purpose of Knowledge Transfer including, but not limited
to, that of students and service providers.
2.4
We will not assert ownership of Intellectual Property rights in the following works so that
these will reside with the member of staff who created them:
2.4.1
2.4.2
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material produced by members of our staff for their own personal use and
reference, including as an aid to teaching.
material created wholly outside of the course of employment of our staff where
such materials are wholly unconnected with the member of staff’s employment.
2.5
We support and promote the principle of academic freedom and encourage staff to
advance their academic development by academic publication. In accordance with
academic practice we will not normally assert ownership of the copyright in any works
or design compiled, edited or otherwise brought into existence by a member staff as a
scholarly work produced in furtherance of his/her professional career. Such copyright
shall belong to him/her; ‘scholarly work’ includes items such as books, contributions to
books, articles and conference papers and shall be construed in the light of the
common understanding of the phrase in higher education. We are most likely to lay
claim to copyright in such works when we have commissioned it and/or paid for it in all
or part and/or own the intellectual property on which it is based.
2.6
Nothing contained in this policy will limit any statutory or other right of a member of staff
in relation to such Intellectual Property rights.
The process of Knowledge Transfer in the development and exploitation of Intellectual
Property
3.1
The development and exploitation of Intellectual Property should not be an afterthought.
Instead, its potential should be built into all relevant academic and non-academic
activities.
3.2
Staff shall at the earliest possible opportunity inform their line manager, who will in turn
inform the Director of Research, Development & Commercial Services of:
3.2.1
3.2.2
the generation of Intellectual Property which may have value; and/or
any situations where Intellectual Property is likely to be created which may not be
wholly owned by us
so that appropriate action can be taken.
3.3
All staff and students should be made aware of the need to protect our and their interests
in Intellectual Property and must not take any action which could compromise the
potential development and exploitation of such Intellectual Property. For example, staff
may not negotiate deals or act on behalf of the owner of Intellectual Property without our
proper authorisation. Any patentable invention must be kept confidential until permission
to disclose it to others is granted. Whilst acknowledging our staff’s need to participate in
academic debate and attend conferences, staff members are reminded that disclosure of
potentially valuable Intellectual Property to the outside world is likely to damage that
value.
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3.4
All staff should act co-operatively and be supportive of our endeavour and activities in
relation to the Knowledge Transfer process. In particular, staff must at our request and
expense do all such acts and execute all such documents which may be necessary to
vest the Intellectual Property rights falling within this Policy in Anglia Ruskin University
and give effect to the terms of this Policy.
3.5
Staff should be aware that failure to comply with paragraphs 3.2, 3.3 or 3.4 could result in
serious financial consequences as well as affect the reputation and credibility of Anglia
Ruskin University and its staff.
3.6
Those of our students who may contribute to the creation of valuable Intellectual Property
will need to sign an agreement to waive/assign their rights before commencing the work in
question. Copies of this agreement can be obtained from the Office of the Secretary and
Clerk.
3.7
An appropriate confidentiality agreement should be put in place in any situation where
confidential information is to be disclosed (eg before revealing a potentially patentable
invention). Template confidentiality agreements for use in a variety of circumstances can
be obtained from the Office of the Secretary and Clerk.
Management of the development and exploitation of Intellectual Property in relation to
Knowledge Transfer
4.1
The development of Intellectual Property involves various steps, typically: identification,
evaluation, protection and exploitation. We will endeavour to manage these steps (using
our own and/or external expertise) in a cost-effective manner and in line with paragraphs
1.2 and 1.3 above.
4.2
Not all Intellectual Property generated will be worth taking through the protection and
exploitation process and it will be our decision whether to:
4.2.1
4.2.2
do so at our expense; and/or
seek external funding and/or investment for the development and exploitation of
our Intellectual Property.
4.3
We will manage the protection of Intellectual Property rights in accordance with our
internal Guidance on the Management of Intellectual Property Rights, which is a separate
document and is available from Research, Development & Commercial Services.
4.4
Protection of Intellectual Property will be sought in the form we believe to be appropriate
(while recognising the rights of other parties) in order to facilitate and maximise the
benefits of any Knowledge Transfer activities.
4.5
Intellectual Property may be exploited via a number of routes including licensing,
assignment, provision of services, consultancy, spin-out company formation, start-up
company formation, collaboration (including sponsorship), and joint ventures.
4.6
As set out in paragraph 2.1 above, we will own the Intellectual Property generated by our
staff. However, we may agree to re-assign our rights and/or allow individual staff to
develop and exploit Intellectual Property where we consider this appropriate. Such
approach will be dealt with on a case-by-case basis.
4.7
Commercially or other sponsored research or work will usually identify from the outset
whether the sponsor wishes to own the Intellectual Property arising from that research or
work. However, even in instances where we agree to such ownership, we must at least try
to retain or obtain rights for academic, teaching and research use of Intellectual Property
generated by our staff.
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5
Income Sharing
5.1
In the event that we receive royalties or other forms of income from Intellectual
Property owned by us and created by members of our staff, then such income, after
deduction of the direct costs paid for by us and subject to any claims of a funding
agency (‘Net Income’), shall be shared with the creators of the works in question in
accordance with this Policy. Direct costs include staff, materials, travel, insurance, legal
fees, agency fees, marketing and other related fees directly attributable to the relevant
Intellectual Property.
5.2
A general distribution formula is provided below:
Amount of Net Income
Inventor
100
50
30
Up to £100,000
£100,001 to £1,000,000
£1,000,001 and above
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Share of Net Income %
Us
0
50
70
5.3
Any variation to the agreed distribution formula must be approved by CMT.
5.4
Should CMT consider it necessary to alter the distribution formula under special
circumstances in particular cases, CMT will be allowed to do so for those cases without
being seen as setting up a precedent and will provide an explanation in writing.
5.5
In reaching its decision, CMT will have regard for the need of the staff to receive a
reasonable reward from the income generated by Intellectual Property which they have
created.
5.6
Where undergraduate or postgraduate students have signed agreements transferring
their rights to us, they will be treated as members of our staff for the purpose of Net
Income sharing under paragraph 5 of this Policy.
5.7
We will inform inventors, both students and staff, of the amount of Net Income they are
entitled to (if any) as soon as practical. However, it is their responsibility to keep us
informed of their up to date contact details. Failure to inform us of such contact details
may result in non-payment or delay.
5.8
Our consultancy, contract research and Knowledge Transfer Partnership activities are
dealt with in separate policy documents.
Effective Date and amendments
6.1
This Policy replaces any previous policies on Intellectual Property and is effective from:
September 2008.
6.2
This Policy may be amended from time to time when we deem appropriate.
End
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