(1) The purpose of this Policy is to provide guiding principles for the management and administration of the Intellectual Property of Macquarie University (University), its Employees, Students, Associates and Visitors (University Members). (2) This Policy provides a framework to identify, assess, protect and commercialise the rights of the University and University Members while enabling access and engagement by industry, government and the community on the use and exploitation of the University’s Intellectual Property for national and global benefit. (3) The University is required to adhere to the 2001 National Principles of IP Management for Publicly Funded Research. It is a condition of funding from the Australian Research Council (ARC), the National Health and Medical Research Council (NHMRC) and other research funding agencies that the University observes the National Principles. (4) In order to meet the obligations set out in the National Principles, the University must be able to clearly identify, claim and demonstrate ownership of its Intellectual Property in order to manage and accordingly grant Intellectual Property rights to commercial partners, University Employees and Students or funding organisations (Third Parties) on a case-by-case basis. (5) This Policy applies to all University Members who generate Intellectual Property in their capacity at the University. (6) The principles of this Policy include being: (7) This Policy has the following objectives: (8) Any University Member who creates Intellectual Property must notify Macquarie Commercialisation in circumstances where: (9) In these cases, an Innovation Notification Form must be lodged as soon as possible after creation of Intellectual Property. (10) The Innovation Notification form must: (11) University Members must maintain adequate records (such as laboratory notebooks) concerning the Intellectual Property they create to enable the University to assess, protect, use and commercialise the Intellectual Property. (12) Creators of Intellectual Property must be correctly identified during the disclosure process. Intellectual Property protection may be lost if a Creator is not correctly identified, for example, failure to name the correct inventors may invalidate a patent. (13) Correct and complete identification is also required to enable procedures on the distribution of net proceeds / benefits arising from Commercialisation of that Intellectual Property. (14) The University requires that all University Members maintain the confidentiality of any Confidential Information as defined in this Policy. University Employees should also consult the Staff Code of Conduct. (15) The treatment of Confidential Information is particularly important in the following contexts: (16) Under certain circumstances University Members may be asked by external parties to enter into specific confidentiality agreements. University Members are advised not to sign these documents without prior consultation with Macquarie Commercialisation. This is to protect University Members from assuming unnecessary legal obligations. Independent external legal advice may be arranged if this is warranted. For the avoidance of doubt, the Office of General Counsel serves the best interests of the University and as such is unable to provide any advice to individuals in their personal capacity. (17) Under this Policy, University Members are required to respect the rights of Third Parties in relation to Intellectual Property (including Copyright), as well as those belonging to commercial partners. University Members may be required to provide certain information and otherwise cooperate in processes designed to protect Third Party rights. (18) Respect for the rights of Third Parties may involve: (19) The University must ensure that it treats pre-existing Intellectual Property appropriately and does not claim rights to which it is not entitled. (20) To ensure that Intellectual Property created by a University Member prior to their employment, association or enrolment with the University is appropriately identified, University Members are required to disclose all pre-existing Intellectual Property to the extent that they are legally and contractually permitted to do so, within 30 days of commencing at the University. (21) As part of this process, University Members must inform the University if Intellectual Property is subject to any Third Party rights, for example the rights of the University Employee’s previous employer, a Student’s current or former employer, or a publisher. (22) Existing University Members are also required to make a similar disclosure if they become aware that anything that they have developed is based on pre-existing Intellectual Property or Third Party rights. (23) The University will assume that anything not disclosed by University Members is Intellectual Property owned by the University unless evidence to the contrary can be demonstrated. (24) Except as otherwise provided in this Policy or by way of a separate agreement, the University owns the Intellectual Property created by University Employees: (25) All Teaching Materials, in any form, that have been developed by a University Employee in their course of employment at the University will be owned by the University as the employer. (26) Where University Employees work on personal projects (projects that are not considered to be part of the normal course of employment), employees must immediately discuss these with their academic supervisor or line manager to assist in identifying whether any issues in relation to the ownership of Intellectual Property may arise (including any potential conflict of interest). Maintaining an Intellectual Property register with details of personal Intellectual Property is recommended. (27) The University may agree to a University Employee undertaking a project beyond the scope of their normal duties. This may or may not be for additional payment or under a separate employment contract. In such circumstances, the individual remains a University Employee. For example, if a University Employee is asked to work on a project and is relieved of teaching duties, work on the project will be treated as being in the course of employment of the University Employee as per clause 24 and not as a separate contract. (28) The University will not assert ownership of Copyright in Scholarly Work created by University Employees, except under any of the following circumstances: (29) The University is deemed to have been granted by University Employees, a non-exclusive, royalty-free, worldwide and irrevocable license to use the Copyright in the Scholarly Works for research and teaching purposes. (30) If a University Employee wishes to use Intellectual Property owned by the University for non-commercial teaching and/or research purposes at an educational institution other than the University, the University Employee may apply to the Director, Commercialisation for a license to do so. (31) Generally, Students retain ownership of Intellectual Property created by them in the course of their study at the University unless: (32) If a Student creates Intellectual Property pursuant to clause 31 (a)to (d), the Student will be required to execute an assignment of Intellectual Property to the University. (33) In each of the circumstances in clause 31, the Student will have the right to decline involvement in the projects associated with the contracts and an assignment of Intellectual Property will not be necessary. In those instances, the Student will be offered an alternative project of equal merit, in which an assignment of Intellectual Property to the University will not be required. (34) In cases where Intellectual Property was created by a Student through the use of University Resources (other than mere Incidental Use), the Student may be requested to assign their rights to the Intellectual Property. (35) In all cases, Students will retain ownership of Copyright in their theses or other submissions (subject to the rights of the University or Third Parties in any underlying work or development on which the submission is based). Students who assign their Intellectual Property to the University will be acknowledged as having the same rights (to the benefits of Commercialisation) as University Employees. (36) At any time during the course of a Student’s studies or after a Student candidature has been completed or terminated, they may submit a request to the University to acquire rights to exploit Intellectual Property developed by them and previously assigned to the University. In all cases the request will be considered on its merits. (37) Students who are employed as research assistants or in other positions by the University will be treated on the same basis as other University Employees. (38) The University actively encourages Students to participate in work or educational experiences with external institutions. Examples include the Professional and Community Engagement Program (PACE) and Internships. (39) Ownership in Intellectual Property developed by a Student while they are participating in a student placement with an external institution (“the host”) is considered by the University to be owned by the Student except in the following circumstances where: (40) In these circumstances, the University will assert its rights in any Intellectual Property developed and does not waive any rights that it may have as the owner of the Intellectual Property. (41) Students uncertain of their rights relating to Intellectual Property ownership should seek advice from Macquarie Commercialisation. This Office may organise independent legal advice for Students where appropriate or direct the Student to legal resources available via Macquarie’s Welfare Service. For the avoidance of doubt, the Office of General Counsel cannot provide such advice in case such advice is contrary to the best interests of the University. (42) The University makes no claim to ownership of Intellectual Property created by a Visitor to the University except where the Intellectual Property created by the Visitor: (43) While having due regard to an Associate’s obligations to a Third Party, for example an employer, Macquarie University will negotiate with any Associate, on a case-by-case basis, to Commercialise and share on reasonable terms the benefits of any Intellectual Property developed by the Associate during their participation in any research project or scholarly activity at the University. (44) In certain circumstances, Associates may be asked to assign their Intellectual Property rights to the University. (45) Independent contractors are not necessarily obliged to transfer Intellectual Property ownership in material they may develop under a contract with the University nor abide by confidentiality restrictions in material received or developed under the contract. (46) University contracts will however ordinarily vest Intellectual Property in material developed under the contract with the University and require the independent contractor to maintain confidentiality. (47) The University is committed to recognising, respecting, and acknowledging Indigenous spiritual and cultural beliefs and traditional knowledge as the Intellectual Property of Aboriginal and Torres Strait Island peoples and other Indigenous peoples. (48) Traditional knowledge of Indigenous people must be accessed on terms that are fair and with the agreement of the Indigenous people through whom the knowledge or Intellectual Property is accessed. The right to use or access traditional knowledge (including making a written, visual or audio record) must be respectful of the secrecy or confidentiality obligations imposed on the material by the traditional owners. (49) Where according to this Policy, the University owns Intellectual Property, and a brand (including logos), trademark, Domain Name, business or company name is used by University Members in the promotion, naming or Commercialisation of that Intellectual Property, then the University owns that brand, trademark, Domain Name, business or company name and it must be registered in the name of, and owned by the University. (50) Macquarie Commercialisation is responsible for administering, filing and managing University owned trademarks. This includes applications and renewals. All such applications will be in the name of the University or if appropriate, a University owned entity. (51) Any business unit or University Employee who wishes to obtain a trademark for a University product or activity must submit a request in writing to Macquarie Commercialisation and provide the following details: (52) All trademark applications require approval from Group Marketing. (53) The costs of obtaining any other trademark or business name will be charged to the requester's faculty or business unit. (54) The University acknowledges the Moral Rights of Creators (which cannot be assigned) under the Copyright Act 1968. Moral Rights include the right to be attributed for original work, the right of integrity as well as the right not to be falsely attributed. (55) The University will make reasonable endeavours to preserve the Moral Rights of University Members. (56) In the event that a deviation from the standard Moral Rights position may be sought, the University will seek express consent from any University Members involved in an infringement of their Moral Rights, where relevant. (57) Upon receipt of an Innovation Notification Form, a member of Macquarie Commercialisation team will consult with the Creators of the Intellectual Property and following appropriate due diligence, will provide the Intellectual Property and Commercialisation Advisory Committee (IPCAC) with a recommendation as to whether the University should proceed with the protection and/or Commercialisation of Intellectual Property. (58) The IPCAC is responsible for the development of strategy and policy in the areas of Intellectual Property, Innovation and Commercialisation. It advises the Deputy Vice-Chancellor (Research) on strategic matters relating to the University’s Intellectual Property and its Commercialisation. Macquarie Commercialisation oversees the day-to-day management of Intellectual Property and the Commercialisation process and will give effect to the decisions of the IPCAC. (59) Macquarie Commercialisation will advise the Creator(s) of Intellectual Property as to whether the University intends to pursue registered protection and/or Commercialisation of the Intellectual Property disclosed under clause 8 within a reasonable time frame. (60) Where the University elects to proceed with formal protection and/or Commercialisation of Intellectual Property, the University will ordinarily: (61) University Members have a duty to comply with all reasonable requests by the University concerning the development, disclosure, assessment, protection, Commercialisation, publication, use, enforcement and defence of any Intellectual Property in which the University has an interest. (62) Where the decision is made by the University not to proceed with the protection or Commercialisation of Intellectual Property, or if a decision is made to cease commercialising at a later stage, the University may, on request, license or assign the Intellectual Property to the Creator/s of the Intellectual Property on reasonable commercial terms. Such license or assignment, if granted by the University, may be conditional on such terms as it sees fit, including without limitation, recovery of its costs, a share of the proceeds from Commercialisation, and rights to a perpetual royalty-free licence for research and teaching purposes. (63) Approval for any request received under clause 62 will not be unreasonably withheld, unless the University considers that continuing to hold but not exploit the Intellectual Property is strategically important or commercially reasonable, or by assigning the Intellectual Property to the Creator/s of the Intellectual Property would be a breach of any contractual or other obligations of the University, it will have reasonable grounds for rejecting the request. If the request is approved, the Creators will not be permitted to use University Resources in exploiting the Intellectual Property except for Incidental Use or as explicitly agreed in writing. Refer to the Request to Handback IP to University Member Procedure. (64) As Intellectual Property owner, the University may, at its discretion, contract for the subsequent licensing, assignment or other dealing of the Intellectual Property as it considers appropriate. (65) The University may have contractual obligations with Third Parties, including private and government enterprises and other research entities (e.g. CSIRO and RIRDCs), which provide for Intellectual Property developed by a University Member to be commercialised by the Third Party (or at least that Third Party has first option of rights to commercialise). Where a contractual agreement with a Third Party involves University Employees and / or Students, the terms of that agreement will determine the Intellectual Property rights of those University Employees or Students. (66) In cases where it is contractually obliged, commercially reasonable or strategically important to do so, the University may agree to assign Intellectual Property rights to another entity either immediately or sometime in the future on achievement of milestones. Please refer to the Request to Assign IP Rights to Third Party Procedure for the criteria the University may apply in determining whether to assign University Intellectual Property to a Third Party. Any such decision will in all cases be consistent with this Policy. (67) Alternatively, the University may, with the Creator’s endorsement (which will not be unreasonably withheld), determine that the benefits derived from Commercialisation may be optimised other than through a financial consideration such as a licence fee by way of a societal, or reputational benefit and / or impact (e.g. the opportunity to derive increased profile, develop a strategic relationship or create flow on contract research income). In these circumstances, the decision may be taken to grant a royalty-free, or other non-financial consideration licence to a Third Party. (68) As a general position, the University will reward University Members who have created valuable Intellectual Property by sharing in the benefits arising thereof. The reward system will be reviewed on a regular basis to ensure the congruence of the overall aims of the University in its Commercialisation activities and the needs of individual Creators. (69) In relation to financial rewards, the University will distribute any net proceeds from a Commercialisation project as follows: (70) Persons who are not Creators but who nevertheless make contributions to the creation or exploitation of Intellectual Property, such as through assistance in the reduction of an invention to practice are termed Contributors and are not automatically entitled to a share in the net proceeds of Commercialisation for Intellectual Property. If all co-Creators are in agreement, a portion of the Creators’ share of Net Proceeds of Commercialisation may be directed to one or more Contributors. This is at the discretion of the Creators and is not an entitlement to share in the proceeds of Commercialisation under this Policy. (71) Any agreement that requires the distribution of net proceeds in a manner inconsistent with clause 69 of this policy must be approved prior to distribution by the Pro Vice-Chancellor, Research, Innovation and Enterprise. (72) Where the University develops Teaching Materials, the net proceeds of Commercialisation will be distributed to the relevant Faculty (or Faculties). (73) The term “proceeds” in clause 69 may take the form of cash, holding shares (directly or indirectly), or other arrangements such as surpluses made by the University as a result of applying competitive neutrality principles to contract research agreements. It should be noted that, all other considerations being equal, while the University will endeavour to take account of the most effective tax regimes for the Creators in each case, the primary driver will be deriving an arrangement that will facilitate a successful project outcome and is in the best interests of the University. (74) Where the net proceeds of Commercialisation of Intellectual Property is not in cash, the non-cash asset will be held in the name of the University until it is sold or converted into cash, at which time the proceeds will be distributed consistently with clause 69. The University does not provide financial or legal advice to individual University Members, who should obtain their own independent advice on such matters. (75) Creators must ensure that appropriate records and documentation relevant to Intellectual Property are created and adequately maintained. (76) If requested by Macquarie Commercialisation, a Creator of Intellectual Property being commercialised must execute any document or do anything reasonably necessary to demonstrate or prove ownership, secure Intellectual Property protection or assist the University to commercialise the Intellectual Property. (77) Creators who are leaving the University must ensure that any records and documents related to University Intellectual Property are up to date as soon as practicable. (78) Creators of University Intellectual Property have an ongoing obligation to not: (79) A conflict of interest is where an individual/s may benefit personally from decisions made by the University in undertaking a commercial proposal. (80) University Members must adhere to the Conflict of Interest Policy. (81) Subject to the Complaint Management Procedure for Staff and the Complaints Resolution Policy for Students and Members of the Public, any University Member who wishes to raise any dispute or difference of opinion about the application of this Policy may request a review of the issue by Macquarie Commercialisation. If the issue cannot be resolved by Macquarie Commercialisation, then the matter will be referred to the Pro Vice-Chancellor, Research, Innovation and Enterprise or their nominee. Failure to comply with this Policy by a University Member may be considered a breach of the Staff Code of Conduct and may result in disciplinary action. (82) If a dispute arises between the Creators as to inventorship or the apportionment of Commercialisation proceeds, the dispute may be referred by any Creator to Macquarie Commercialisation. If the issue cannot be resolved by Macquarie Commercialisation, then the matter will be referred to the Pro Vice-Chancellor, Research, Innovation and Enterprise, whose decision shall be final and binding on all parties. In settling a dispute, the Pro Vice-Chancellor, Research, Innovation and Enterprise may deal with the dispute in any manner they consider will expedite the resolution of the dispute, including without limitation, obtaining an external independent inventorship determination, or withholding distribution of benefits to all Creators until a decision has been reached on the proportion of benefit to be received by each individual Creator. (83) Procedures relating to this Policy include: (84) Nil. (85) The following definitions apply for the purpose of this Policy:Intellectual Property Policy
Section 1 - Purpose
Background
Scope
Section 2 - Policy
Policy Objectives
Part A - Identification and Disclosure of Intellectual Property
Treatment of Confidential Information
Respecting Third Party Rights
Pre-existing Intellectual Property
Part B - Ownership of Intellectual Property
University Employees
Scholarly Work
Students
Student Placements with External Institutions
Student Advice
Visitors
Associates
Independent Contractors
Indigenous Knowledge
Brands, Trademarks and Business and Company Names
Moral Rights
Part C - Commercialisation
Assessment and Commercialisation of Intellectual Property
Transfer of Intellectual Property to Third Parties
Rewards and Recognition
Ongoing Obligations of Creator/s
Part D - Conflicts and Dispute Resolution
Section 3 - Procedures
Top of PageSection 4 - Guidelines
Section 5 - Definitions
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