University Secretary’s Office
Student Intellectual Property Rights Policy
©University of South Wales 2015
Contents
WhatisIntellectualProperty and why is it important? 3
WhatistheUniversity’sPolicyonStudentIntellectualProperty? 4
RegulationsRelatingtoStudentIntellectualProperty 5
AppendixOne:GuidanceonRecordingtheCreationofIP 10
AppendixTwo:TypicalConfidentialityAgreementTemplate 13
AppendixThree:IntellectualPropertyDisclosureForm 17
AppendixFour:IntellectualPropertyDueDiligenceForm 20
AppendixFive:All Rights Release Agreement 21
©University of South Wales 2015
- WhatisIntellectual Property
and why is it important?
IntellectualProperty(IP)isatermused tocoveranyinventiveproductofthe human
mind.IPcaneitherbetangible suchaphysical workofart,or intangiblesuchasascientificprocess.
Generally, IP rights are rights granted to creators and owners of works that are the result of their intellectual creativity. They are given some protection by the law,
namely to ensure that the creator or owner can control the use and exploitation of
their work.
Some IP rights (namely patents and trademarks) require registration to gain
protection, whilst others (particularly copyright) require no formal registration
process and protection arises automatically.
IP rights includes but is not limited to copyright, performance rights, design rights, patents, trademarks and moral rights.
The primary piece of legislation in the United Kingdom is the
Copyright, Designs and Patents Act 1988 (as subsequently amended).
University Copyright
The University has dedicated copyright web pages where you can find information
on copyright and related IP, and University practice and procedure:
Intellectual Property Office
Further information on IP is also available at the Intellectual Property Office website:
2.WhatistheUniversity’sPolicy onStudent IntellectualProperty?
The University of South Wales takes the management of Intellectual Property (IP) seriously, and wants to encourage
the creation of IP by both staff and students.
This policy aims to protect the interests of both students and the University and is to be interpreted in a spirit of reasonableness. Its purpose is to clarify ownership of IP rights, their exploitation and possible revenue sharing.
It is University of South Wales policy that:
2.1Generally in the majority of cases students will own the rights in the IP they create as part of their studies. This includes but is not limited to: undergraduate theses, graduate theses or dissertations; inventions, discoveries, creations and new technologies conceived or first reduced to practice by a student as a work product (including homework assignments, laboratory experiments, and special and independent study projects).
2.2 Students licence the University to make certain uses of their IP.
2.3 Where appropriate, the University will request a licence or an assignment of IP rights from a student depending on the nature of support, staff collaboration and/or funding provided to the student so that the work may be exploited for the benefit of the University specifically and for the benefit of society more generally.
2.4 Intellectual property rights in a work should always be protected.
2.5 Students / the University should not infringe the rights of others who own and control Intellectual Property.
2.6 The University will meet its obligations to those bodies providing funding, which may include, where appropriate, the management and exploitation of Intellectual Property.
This policy should be read in conjunction with the University’s Staff Intellectual Property Rights Policy where appropriate.
3.RegulationsRelatingto
StudentIntellectualProperty
ItisintendedthattheseRegulationswillapplytoall studentsoftheUniversityofSouth Wales,(meaningall personsenrolledonacourseoflearning, toincludebothundergraduatesandpostgraduates, an including both credit and non-credit bearing courses).
Onenrolmentstudentsenterintoalegallybinding agreementtobepersonallyresponsibleforthe effectivemanagementofintellectualproperty (IP). Failuretocomplywiththeenrolment form provisions and University policies willbeconsideredadisciplinary matter andwillbedealtwithundertheUniversity’s standard procedures.
A.Definitions
1.“Research” includes original investigation undertaken in order to gain knowledge and understanding. It excludes routine testing and routine analysis of materials, components and processes such as for the maintenance of national standards, as distinct from the developments of new analytical techniques. It also excludes the development of teaching materials that do not embody original research.
2.“Staff” means any person employed and paid a salary by the University. It does not include Employment Agency staff or Student Union-recruited staff.
3.“Performance Rights” are defined in s.180 of the Copyright, Designs and Patents Act 1988 as a dramatic or musical performance, a reading or recitation of a literary work, a performance of a variety act of any similar presentation. Recordings of lectures, seminars and presentations may be covered by the definition of “performance”.
B.Responsibility
1.When undertaking work form which IP may arise, students must assist in protecting the University’s rights to IP by keeping proper records of creation (such as lab books or other written evidentiary documents). Please refer to Appendix One for further information.
C. Ownership
1.Rights in IP created by students, e.g. copyright in course assignments, essays, dissertations and other creative works, will belong to the student, unless otherwise informed by the University that the provisions of Regulation C3 below apply.
However, the student agrees to acknowledge that the work was created whilst a student of the University of South Wales when exploiting such work.
2.In accepting this policy, students grant the University a licence to use certain IP and Performance Rights that they own (and to sub-licence as and when necessary) for certain administrative purposes (including, but not limited to University quality control procedures such as plagiarism detection and award validation programmes), and for educational and teaching purposes, on the following terms:
2.1 it is non-exclusive, world-wide, irrevocable and royalty-free;
2.2it is for the full term of life of the IP in questions;
2.3 for use in any format (existing or future);
unless otherwise agreed in writing mutually between the student and the University.
3.Rights in IP created by students who:
3.1 participate in an educational programme which is funded by the University or an external sponsor; or
3.2generate IP which builds upon existing IP produced by a member of academic staff; or
3.3generate IP jointly with a member or members of academic staff; or
3.4generate IP jointly with an external organization, e.g. an employer, or any other 3rd party
will belong to the University and/or a 3rd party as applicable. Where IP rights are created as a result of collaboration, the resulting ownership may be sole, joint or several.
In these cases, where IP is of commercial interest, such students may, at the discretion of the University, be entitled to a share of any financial income from the commercial exploitation of the IP rights.
Where the University asserts ownership of the student IP rights Regulation G will apply.
4.Students who are employed as members of staff of the University are covered by this Policy for IP they create as a student, and by the University’s employee policies, in particular the University’s Staff Intellectual Property Rights Policy, for IP they create as part of their employee duties.
D. Disclosure
The public disclosure of information relating to the existence of IP (other than under the terms of an explicit confidentiality agreement) will invalidate any subsequent patent application and/or diminish the potential commercial value and benefits accruing to the University and the inventor(s).
To prevent such:
1.Students should not disclose details relating to their work to
third parties (defined as anyone other than their supervising tutor and/or Dean of Faculty and/or the Commercial & Client Services Office (CCSO).
2.Students should endeavour to discuss all projects involving or potentially involving third parties with their supervising tutor and/or Dean of Faculty before embarking upon the project. Students should also ensure that an appropriate Confidentiality Agreement is signed at the earliest possible stage in any project involving a third party. The Commercial & Client Services Office (CCSO) can assist in the preparation of these agreements.
See Appendix Two: Typical Confidentiality Agreement Template.
3.All students are responsible to the University for disclosing in writing to their supervising tutor and/or Dean of Faculty at the outset of the work or as soon as they become aware of it:
3.1 any actual or potential IP arising from their work;
3.2the ownership by a third party of any IP referred to or used by their work;
3.3 any use to be made of existing University IP during their work; and
3.4 any IP which they themselves own which is proposed to be used by the University.
Such information will be passed to and be held by the Commercial & Client Services Office (CCSO) who will review it and assess it for protection and commercialisation.
See Appendices Three and Four: Intellectual Property Disclosure and Due Diligence Forms.
E.ProtectionofIntellectualProperty
Itisthepurposeoftheseregulationstoensureall effortsaremadetoestablishtheownershipof IntellectualProperty;thisisessentialtoensure IntellectualPropertyismanagedandprotected correctly.Assuch:
1.Whereappropriate,theUniversitywillmakeall applicationsnecessarytoprotectandregisterits interestinIntellectualProperty.
Whererequired,studentsmustjointheUniversityinthe makingofanysuchapplications.
2.Notwithstandingtheabove,studentsmustdisplay thefollowingmarkersonrelevantworks:
IPRMarkerExample
Copyright.©[Copyrightownersname][date].
©UniversityofSouth Wales, 2015
DatabaseRight.DatabaseRight,[RightHolder][date].DatabaseRight,UniversityofSouth Wales,
2015.
DesignRight.DesignRight,[RightHolder][date].DesignRight,UniversityofSouth Wales,
2015.
DatabaseRight.DatabaseRight,[RightHolder][date].DatabaseRight,UniversityofSouth Wales,
2015.
Patent,TM Or ®[RightHolder].TMUniversityofSouth Wales
®UniversityofSouth Wales–donotuseunless markisregistered,asthiswillbeanoffence.
MoralRights.[AuthorsName]hasassertedhisright, undertheCopyright,Designsand Patent Act1988,tobeidentifiedastheauthor
ofthiswork.
The UniversityofSouth Waleshas assertedits right, undertheCopyright,Designsand PatentAct1988, tobeidentifiedastheauthorofthiswork.
3.StudentsmustinformtheirDeanofSchoolupon becomingawarethattheintellectualpropertyrights solelyorjointlyownedbythestudentarebeing infringedbyathirdparty.Whereappropriate,the Universitymayinitiatelegalproceedings, whereupon thestudentmayberequiredtojointheUniversityinthe proceedingsissuedagainstthethirdparty.
4.StudentsmustinformtheirDeanofSchoolupon beingnotifiedbyathirdpartythatthethirdparty considersthestudenttohavebreachedtheir intellectualpropertyrights.
Whereappropriate,theUniversitymaydefendthe allegations/claim,whereuponthestudentmaybe requiredtojointheUniversityindefending any proceedingscommencedbythethirdparty/initiatedby theUniversityasacounterclaimagainstthethirdparty.
F.UniversityFacilitiesandMaterials
1.TheUniversityiswillingtoconsiderrequestsfromits studentsforalicensetousespecificUniversityowned IntellectualPropertyand/orits facilitiesfortheiruse (outsidethescopeoftheirnormalstudies).Theterms anddecisiontograntanysuchlicenceiswhollya matterfortheUniversity.
2.Initialrequestsshouldbemadeinwritingtothe DeanofSchoolwhoshallwithin20workingdaysof receiptgiveaninitialrulingorreasonsforrefusal.
G.Procedure where the University asserts ownership
of Student Intellectual Property Rights
With reference to Regulation C3, where the University asserts ownership of the IP rights, the Faculty, with support from the Commercial & Client Services Office, may pursue protection and commercialisation opportunities for the IP rights on behalf of the creator(s). Where appropriate, University ownership of IP rights does not preclude students from receiving royalties resulting from commercialisation of the work. In fact, in many cases University ownership can facilitate generation of licence fees or spinout businesses for the benefit of students.
H.Plagiarism and Third Party IP
The University subscribes to a plagiarism detection service called “TurnItIn”. Upon enrolment all students sign and agree to the terms of the Academic Handbook that, in accordance with the provisions of the Data Protection Act 1998, and pursuant to Regulation C of this Policy, the University is entitled to submit written academic works to prevent and detect any plagiarism.
Students should be aware that the incorporation of third party content into their work is limited, as provided for by the Copyright, Designs and Patents Act 1988.
I.BreachofTheseRegulations
Breachoftheseregulationsisadisciplinarymatter forUniversitystudentsundernormalprocedures.
J.Dispute Resolution
If a dispute arises in relation to any matter arising out of this Policy then it will be governed by the Student Complaints Procedure as contained in the Academic Handbook or the Code of Practice for Research Students as appropriate.
AppendixOne:
GuidanceonRecordingtheCreation ofIP
1.Background
Thisnoteexplainshowtoproperlyuseandkeep laboratorynotebooks/researchlogbooksandrecords inordertofacilitateproofofinvention.Thisis particularlyimportantforpatentsintheUSA,butthe samenotebookrecordscanbeusedforestablishment creationdatesforotherforms ofintellectualproperty.
Forall forms ofIntellectualProperty(IP),theonusison thecreatortoproveownershipanddateofcreativityor inventiveness.Theonusisrarelyontheinfringerto proveinnocence.Thisisparticularlytruefornaturally occurringrightssuchasCopyrightand(unregistered) DesignRights.However,evenforrightsthatrequire registration-suchaspatents,registereddesignsand registeredtrademarks-theonusisstillonthecreator
–justatanearlier stage.
Itisgenerallyconsideredgoodpracticebyresearchers, developersandengineerstokeepanotebooktolog theiractivities, andmanyalreadydothis-butthey oftendonotdoitinawaythatwillstandupincourt.
Establishinggoodpracticewithrespecttotherecording ofR&Dwillhelptoensurethattheintellectualproperty thatiscreatedisnotinadvertentlylost,andany potentiallyvaluableintellectualpropertyidentifiedatan earlystage.
2.HowtoKeeptheNotebook
Itshouldbepossibletokeeprecordsinreasonably completeandclearformwithoutbecomingtoo time-consumingandburdensome.
Thefollowingisintendedasageneralguideonhowto keepanotebook.Fromalegalstandpoint,alaboratory notebookentryshouldbesufcientlycompetentto provecertainfactors, suchastheconceptionofanidea, thetestingofamodel,andtheresultsofthetest.
2.1TheBookItself
•Itisimportanttousealaboratorynotebookthathas apermanentbinding.Loose-leaf,spiralboundor othertemporarilyboundbooksallowforpage removal,insertionsandsubstitutions,andare thereforenotsuitable
•Thepagesofthenotebookshouldalsobenumbered. Suchasystemhelpstoreducethepossibilityofany successfulchallengetothevalidityofthenotebook entry
•Laboratorybooksshouldneverbemutilated,for examplebytearingorcuttingoutpages
•Theperformanceoftherecordsisaprime considerationanditisthereforeimportantthatgood qualitypapershouldbeused
2.2InkQuality
•Donotusepencilorstrange-colouredinks
•Ensurethattheinkispermanent,notwateror solventreactive,anddoesnotsmear.Theinkshould belightstable
2.3TheEntriesintheBook
Asageneralguideline,thereshouldbeenough informationinthebooktoenablesomeoneworkingin thefieldtoduplicatethework.
•Alldatashouldbeidentifiedwithrespecttothe projecttowhichitrelates,forexample,byaproject orexperimentnumberorbyadescriptiveheading
•Donotuseslang,abbreviationsandundulytechnical jargon.Thenotebookmustbeunderstandableto others,notonlypatentattorneys,butjudgesand sometimestojurorsandpotentiallicensees
•Entriesshouldbeconsecutivelydated
•Anysubsequentdataaddedtothenotebook,for exampleresultsofanalysis,shouldbeenteredona separatepagewithreferencetotheoriginalentry
•Don’tleave blankareasonapage.Drawlines throughunusedpagesorpartsofpages
•Theentriesinthebookshouldbelegibleand factuallycomplete
•Itisimportanttodescribeinasfulldetailaspossible all experimentalprocedures.Thisshouldincludeall conditionsofexperimentandall apparatus,sketched ifnecessary.Fulldetailsoftheapparatusused
shouldalsobegiven
•Ifaninventionismade,thedatesof“conception”and “reductiontopractice”areveryimportantintheUSA. Therecordmustshowthattherehasbeenno “abandonment”betweenthesedates.Diligencein
thereductiontopracticeofaninventionmeansthat, asfaraspossible,generallysteady,uninterrupted andconstantworkoccurredfollowingtheconception ofaninvention
Inaninterfaceaction,unexplainedperiodsofactivity couldlosethecase,especiallywherecompeting inventiondatesareseparatedmerelybyamatter of days.Allactivitiesmustbeaccountedfor;evenifitis onlytonotesthatyouwerewaitingforsomethingthat resultedinadelay intheproceedings.Evenapparently irrelevantentriesnoting“onvacation”or“atthe
dentist”shouldbeincluded.
•Avoidmakingnegativenotessuchas“Nogood”, “Doesn’twork”whichmightbelaterconstruedas indicatingyouwereabandoningtheidea
2.4FactsNotOptions
•Donotexpressopinionsinnotebooks.Thiscould leadtomisinterpretation
•Thebookshouldbelimited tofactual,quantitative andqualitativeresults.Statementslike“theideais obvious”,“Ithinkitisun-patentable”,“perhapswould infringepatentX”shouldbeavoided
2.5InsertsandSupportingInformation
•Ifarecordneedstobekeptofcomputer-generated output-orotherinsertssuchasgraphs,drawings, photographsorotherloosepages-eachinsert shouldbedatedandattachedinapermanentway (e.g.glued,stapled) ontosuccessivenumberedpages ofthepermanentlyboundlaboratorynotebook.
Thewitnessshouldwriteandsignacrossthejoin
•Ifsupportrecordscannotbeaddedtothenotebook itself(e.g.largeengineeringdrawings,computer sourcecode,relatedreports,thesesetc)then referencetothemshouldbemadeinthenotebookin aconsistentwayandtheyshouldbestoredinan orderly,readilyretrievablemanner
2.6Errors,ChangesandAdditions
•Errorsshouldnotbeerasedorobliteratedbeyond recognition.NeithershouldTipp-Ex/correctionfluid beused.Simplycrossoutanerrorsothatitis apparentwhattheerrorwas
•Explainall errorsandmistakesastheyoccurand initialthem
•Neverremovepagesfromthenotebook
•Entriesshouldneverbechangedorenlargedata laterdate.Itisbettertomakeanewentry,pointing outthechange
•Pencildiagramsorsketchesshouldneverbe retracedinink
2.7Signing
•TheUSPatentOffice hasruledthatanotherwitness whoisindependentmustcorroborateaninventor’s testimony.Forexample,iftheworker isaPhD studentthenthewitnessshouldnotbehisorher supervisor,sincethesupervisorislikelytobecomea co-inventor,andthereforenotindependent
•Therefore,someoneworkingonanunrelatedproject shouldwitnessthenotebook.Peopleinvolvedinthe sameprojectarepotentialco-inventorsandtheir signaturescouldbeworthless
•Thewitnessmust,ofcourse,understandtheneedto maintainconfidentiality
•Ensurethateachpageissignedanddatedbythe authorandwitnessedassoonaspossible,preferably everyweek
•Donotleave any pagesundated,unsignedor un-witnessed
2.8SafeKeeping
•Thenotebookshouldberegardedasaconfidential legaldocumentandassuchits useshouldbe controlled.Whencompleted,itshouldbestoredina safeplace.Itshouldnotbetreatedasafreely availablepublication
AppendixTwo:
TypicalConfidentiality AgreementTemplate
Thisisanexampleofatypical confidentialityagreement.Ifyouintend tousethisagreement,pleasecontact theCommercial & Client Services Office.
Two-wayconfidentialityagreementincluding provisionsforintellectualproperty.
THISAGREEMENTismadeBYandBETWEEN:
(1)[nameofcompany],acompanyincorporatedin [...... ], [undercompanyregistrationnumber[...... ]] whoseprincipalplaceofbusinessisat[address]
(the‘Supplier’);and
(2)[nameofcompany],acompanyincorporatedin [...... ],[undercompanyregistrationnumber[...... ]] whoseprincipalplaceofbusinessisat[address] (the‘Recipient’).
Recital
ThePartieswishtoexchangeConfidentialInformation inconnectionwithaprojectwhichtheyplanto undertaketogetherconcerning[insertdetails](the
‘Project’)andtheyrecognisethattheunauthoriseddisclosureoruseoftheConfidentialInformationcould causethePartiescommercialharm.Therefore,theyare willingtoenterintothisAgreementinaccordancewith theprovisionsofthisAgreement.
ITISAGREEDasfollows:
Definitions
InthisAgreementthefollowingwordsshallhavethe followingmeanings:
‘ConfidentialInformation’(a) / inrespectofInformationprovidedindocumentaryformorbywayofamodelorinothertangible form,Informationwhichatthetimeofprovisionismarkedorotherwisedesignatedtoshow expresslyorbynecessaryimplicationthatitisimpartedinconfidence;(b) / inrespectofInformationthatisimpartedorally,any InformationthattheDisclosingPartyorits representativesinformedtheReceivingPartyorits representativesatthetimeofdisclosurewas impartedinconfidence;
(c) / inrespectofConfidentialInformationimpartedorally,anynoteorrecordofthedisclosure;
(d) / any copyofany oftheforegoing;and
(e) / thefactthatdiscussionsaretakingplacebetweentheDisclosingPartyandtheReceivingParty.
(c) / inrespectofConfidentialInformationimpartedorally,anynoteorrecordofthedisclosure;
‘Information’ / shallmeanbutshallnotbelimited toinformationanddataconcerningformulae,algorithms, sequences,chemicaland biologicalcompositions;knowledgeofbiological structuresandfunctions inplants,soils,pests,humans,animalsandtheenvironment.
SuchInformationalsoincludesknowledgeoftheexistence and activityofbiological materialnotin thepublicdomainaswellasthebiological orothermaterials.Theresearchcollaborations, commercialrelationships,products,andcorporatedevelopmentstrategiesofthePartiesarealso includedinInformation.
SuchInformationisnotdependentonhowitisdisclosed,whetherexpressedastechnical informationorotherwiseanditincludesthatrepresentedinintellectualpropertyorknowhow generally.Itshallincludebutshallnotbelimited to;notes,letters,memoranda,reports,contracts, registrations,licences,tables,databases,databooks,notebooks,computerprints,textanddata storedincomputerprogrammes,drawings,charts,illustrations,materials,samples,andall other documentationandmaterialspreparedormadeavailablepursuanttotheProject.
‘DisclosingParty’ / thePartytothisAgreementthatdisclosesInformation,directlyorindirectly,totheReceivingParty underorinanticipationofthisAgreement.
‘PermittedPurpose’ / shallmeanthattheConfidentialInformationmayonlybeusedbytheReceivingPartyforthe purposeof[consideringwhethertoenterintoafurtheragreementwiththeDisclosingPartyrelating to][theProject].[Projecthasthepurposegiven aboveintheRecital.]
‘ReceivingParty’ / thePartytothisAgreementthatreceivesInformation,directlyorindirectly, fromtheDisclosingParty.
ObligationsoftheReceivingParty
Foratermof10yearsfromthedateofthisAgreement, exceptasprovidedforinclause7,theReceivingParty undertakestotheDisclosingPartyto:
(a)receiveandkeeptheConfidentialInformationsecret andconfidentialandnotdisclosesuchConfidential Informationtoany thirdparty;
(b)takeall necessaryprecautionstoensurethatsuch undertakingisenforcedandisenforceableandtake suchactionastoensurethatpatentabilityisnot destroyedthroughmakinginformationavailabletothe public,forinstancebywrittenororaldescription;
(c)usetheConfidentialInformationonlyforthe
PermittedPurpose;
(d)onlydisclosetheConfidentialInformationunder bindingobligationsofconfidence(whichitundertakes toenforceandforwhichitislegallyresponsible)to
thoseofits subsidiaries,employees,sub-contractors, secondedstaff,officers,agents,consultantsand collaboratorsasneedtohaveaccesstheretowholly necessarilyandexclusivelyforthepurposesofthe ProjectwhoseidentitytheReceivingPartyshallprovide totheDisclosingPartyattheirrequest;
(e)notwithouttheDisclosingParty'spriorwritten consentmakeanycommercialuseoformakeany commercialgainfromtheConfidentialInformationor seektoobtainanyprotectionoftheintellectual propertycontainedintheConfidentialInformation;and (f)promptlynotifytheDisclosingPartyifitbecomes awarethatany oftheConfidentialInformationfalls withintheprovisionsofclause3.
LimitationoftheobligationsoftheReceivingParty
Clause2shallnotapplytoConfidentialInformation which:
(a)wasknowntotheReceivingPartypriortoits communicationbyorthroughtheDisclosingParty(as evidencedbytheReceivingParty’srecords);or
(b)isorbecomesinthepublicdomainexceptbyany defaultorfaultoftheReceivingPartyorany person acquiringitfromtheReceivingParty;or
(c)becomesknowntotheReceivingPartybytheaction ofanotherpersonnotinbreachofanyobligationof confidentialityowedtotheDisclosingParty;or
(d)isdevelopedbyany oftheReceivingParty’s employeeswhohavenothadanydirectorindirect accessto,oruseorknowledgeof,theinformation impartedbytheDisclosingParty.
(e)isrequiredtobedisclosedbylegalprocess,lawor regulatorybody.
ObligationsoftheReceivingParty
toenforceandforwhichitislegallyresponsible)to thoseofits subsidiaries,employees,sub-contractors, secondedstaff,officers,agents,consultantsand collaboratorsasneedtohaveaccesstheretowholly necessarilyandexclusivelyforthepurposesofthe ProjectwhoseidentitytheReceivingPartyshallprovide totheDisclosingPartyattheirrequest;
(e)notwithouttheDisclosingParty'spriorwritten consentmakeanycommercialuseoformakeany commercialgainfromtheConfidentialInformationor seektoobtainanyprotectionoftheintellectual propertycontainedintheConfidentialInformation;and (f)promptlynotifytheDisclosingPartyifitbecomes awarethatany oftheConfidentialInformation
ReturnofConfidentialInformation
1.1UponterminationofthisAgreement,intheevent thattheReceivingPartyisinbreachofany ofthe conditionsofthisAgreement,andatany othertimeon thewrittenrequestoftheDisclosingParty,the
ReceivingPartywillimmediately returntheConfidential Informationandanycopiesthereofmadebyorinthe possessionoforunderthecontroloftheReceiving
PartypursuanttothisAgreement,andmakenofurther useordisclosureofany oftheConfidentialInformation. IftheDisclosingPartysodictates,theConfidential Informationshallbedestroyedundertheabove circumstances.
1.2The ReceivingPartymay,however,keeponecopy oftheDisclosingParty’sConfidentialInformationinits legaladviser’sfilessolelyforthepurposeofenablingit tocomplywiththeprovisionsofthisAgreement.
Limitationoftransferredrights
1.3TheReceivingPartyacknowledgesandagreesthat thepropertyandcopyrightinConfidentialInformation disclosedtoitbytheDisclosingParty,includingany documents,filesandanyotheritemscontainingany ConfidentialInformation,belongstotheDisclosing Party.ItwillnotberemovedfromtheReceivingParty’s addressnorbegiventoany otherpersonorparties.
1.4ThisAgreementshallneitherprejudicenorlimitthe rightsoftheDisclosingPartyinrespectofany intellectualpropertyrightsintheConfidential Information.
1.5ExceptasprovidedforhereintheReceivingParty maynotassignortransferany rightsorobligations hereunderwithoutthepriorwrittenconsentofthe DisclosingParty.
1.6ThisAgreementshallnotbeconstrued:
(a)togranttheReceivingPartyanylicenceorrights otherthanasexpresslysetouthereininrespectofthe ConfidentialInformation,nor
(b)torequiretheDisclosingPartytodiscloseany
ConfidentialInformationtotheReceivingParty.
ForegroundIntellectualProperty
1.7IntheeventthattheReceivingPartymakesor observesanynewdiscovery,improvementorinvention (‘Invention’)relatingtotheConfidentialInformationor
asadirectresultoftheProject thentheReceivingParty willbringthistotheattentionoftheDisclosingParty.
1.8NeitherPartyshallmakeorseektomakeactual commercialgainfromsuchanInvention,normakeany patentapplicationorsecureanyotherproprietary rightstolegallyprotectany suchInvention,exceptwith thepriorwrittenagreementoftheotherParty.
1.9TheDisclosingPartywill,atall times,retainthe righttouseanInventionfornon-commercialresearch purposes.
Publication
ThePartiesshallnotarrange norpermit thepublication ofany informationregardingtheresultsoroutcomeof theConfidentialInformationwithoutthepriorwritten consentoftheotherParty,suchconsentshallnotbe unreasonablywithheld.
LimitationofLiabilityofDisclosingParty
ThePartiesgivenowarrantiesinrelationtothe ConfidentialInformationdisclosedbyithereunderand inparticular(butwithoutlimitingtheforegoing)no warrantyorrepresentation,expressorimplied,isgiven bytheDisclosingPartyastotheaccuracy,efficacy, completeness,capabilitiesorsafetyofany materialsor informationprovidedunderthisAgreement.
Notices
Allnoticesrequiredtobeservedpursuanttothis Agreementshallbemadeinwritingtotheaddressesat theheadofthisAgreement.
LawandDisputes
Thevalidity,constructionandperformanceofthis
AgreementshallbegovernedbyEnglishlaw.
Anydisputearisingunderorinconnectionwiththis Agreementshallbesubjecttotheexclusivejurisdiction oftheEnglishcourtstowhichthepartiestothis Agreementherebysubmit.
Third Parties
Exceptasprovidedinclause[number], thisAgreement doesnotcreateanyrightenforceablebyany person whoisnotapartytoit(‘ThirdParty’)underthe Contracts(RightsofThirdParties)Act1999,butthis clausedoesnotaffectany rightorremedyofaThird PartywhichexistsorisavailableapartfromthatAct.
AGREEDbytheParties throughtheirauthorisedsignatories:
Forandonbehalfof
Signed PrintName Title Date
Forandonbehalfof
Signed PrintName Title Date
AppendixThree:
IntellectualPropertyDisclosureForm
ThepurposeofthisformistoconfidentiallydisclosenewIntellectualProperty(IP)created,determinelegal ownership,reducetheriskofinfringementandprovidethebasisforassessingcommercialisationpotential. Pleasediscloseall informationyoubelievetoberelevantanduseaseparatesheetifnecessary.Pleasetreatthis documentasconfidentialasdisclosingIPmayjeopardisefutureprotectionandcommercialisationoptions.
Name:
Position:
Department/School:
Tel:
Pleaseanswerthefollowingquestions,andincludeclearlyreferencedenclosuresasnecessary.
DescriptiveTitleoftheIP/invention:
Whowasinvolved?Pleasetellusforeachindividualwhocontributed,inventedorauthored(ifsoftware):
Name:
Nationality:
Status–StudentorEmployee:
Whotheiremployeris,andifthisisnotUniversityofSouth Wales,areany contractsorarrangementsinplace?
WhatsourcesoffundingweredrawnoninsupportoftheworkwhichledtothecreationoftheIP?
E.g.EPSRC,CASEStudentship,Universityfunds,etc. Pleaseprovideanyreferencecodeorcontractualinformation.
IMPORTANTNOTE:Inventorsmustbelegalinventorsaccordingtothedefinitioninpatentlaw
SoftwareAuthorsarethosewhoactuallywrotethecodeandthereby createdthecopyright.
PleasetellusaboutyourIP/invention.
PleasetellusthestoryofthedevelopmentoftheIP/invention,forexample:
Whatdoyouthinkyourinventionis?
Whatwillyourinventionbeusedfor?
HowdoestheIP/Inventiondiffer fromexistingmaterialor‘stateoftheart’ technology?
WhataretheadvantagesofyourIP/inventionandhowdoesitimprove onthepresentsituation?
WhatisnewaboutyourIP/invention?
Howand whydoesitwork?Whatisthesciencebehindtheinvention?
Arethereany otherusesoftheinvention?
Whenandwheretheinventionwasfirstconceived?
Whenandwherewastheinventionfirstreducedtopractice?
Whatpracticalworkhasbeendonetodateontheinvention?Hastheinventionbeentestedinthelaboratoryorhasitbeenused? Ifsopleasegiveresults.
Whodidwhatinthedevelopmentoftheinvention?Whattheycontributedtothedevelopmentofthetechnology
(e.g.cameupwiththeoriginalidea;designedexperiments;carriedoutexperimentalwork;wrotecode)s.
Doyouknowofanypublishedliterature(includingpatents)relevanttoyourinvention?Haveyoudoneany searchingfor publishedliterature,andifsowhere?Pleaseprovideanydetails.
Whatisthefundingbackground oftheworkyou’ve doneontheinvention?Didyouuseany equipment,materials,samples,giftsorotherin kindsupportprovidedbythirdparties,orbiological materialsobtainedfromhumans?Ifso,pleasegivedetails;specifically:waspatient consentobtainedandhastheusebeenapprovedbytherelevantethicscommittees??
Forinventionsthatincludesoftwarepleaseprovidethefollowingadditionalinformation.
Pleaseprovidethesoftwareapplicationnameandversionnumber:
Forsourcecodedevelopedbytheresearchersidentifiedinquestionabove:
Arethereanyencryptsdevelopedforthesoftwaretowork?Ifso,whoby?
Forothersourcefilesorlibrariesthatarerequiredtobuildthesoftwareapplication(externalsoftware):
Hasthisbeenbetatested?Ifso,when,whereandwhoby?
Non-Disclosure
Whohaveyoutoldabouttheinvention?Whendidyoudothisandwhere?
Whendidyoufirstdescribetheinventioninwritingorelectronically? Do labbookrecordsexist,orpersonalnotes?
Haveyoupublished,verbally(inlecturesormeetings),electronically(includingcommentsonsocialnetworkingsitesorfilmsoftheinvention onYouTube) orinwriting,anythingrelevanttotheinvention,andifsowhenand what?Pleasetellusaboutabstracts, webpagesand presentationsaswellasanypublishedarticles.Andalsoanypresentationstocollaborative partnerse.g.EUfundedprojects.Haveyou exhibiteddetailsaboutyourinventionona‘public’computer e.g.workedonitintheUniversitylibrary,oratyourdeskwhenstudents
orvisitorsarepresent?
Aredetailsofyourinventionstoredanywhereotherthanonasecure serverintheUniversity e.g.memorystick,laptopcomputer, homecomputerorothermobiledevice?
Doyouhaveplanstopublishthework?Ifso,whatisthetimescaleandwherewillthepublication takeplace? Ifadraftpaperexistspleaseprovideacopy.
PotentialforCommercialisation
DoyouthinkcommercialexploitationofthisIP/inventionisviable?Why?
Haveyouundertakenany marketresearchordiscussedyouinventionwithotherstoreachyourconclusionaboutthecommercialviability?
Areyouawareofanycompanieswhohaveaninterestinthearea,e.g.companieswhosponsor researchorwhoattendrelevantconferences? Ifso,pleasesupplythecompanies’names(andcontactdetails,ifyouhavethem).
Whatareyourfutureplansfordevelopingthetechnology?Doyouhavefundsinplaceforthiswork,andwhatdoyouthinkyouwill achieve inthisarea inthenext12months?).
Name:
Signature:Date:
Pleasereturnthisform,marked“StrictlyConfidential”to the Commercial & Client Services Office, University of South Wales
19
AppendixFour:
IntellectualPropertyDueDiligenceForm
ThepurposeofthisformistoestablishwhatIntellectualProperty(IP)currentlyexists,determinelegalownership andreducetheriskofinfringement.ItshouldbeusedatthestartofaprojecttocreatearecordoftheIPyouwillbe takingintotheprojectordisclosingtothirdparties.Pleasediscloseall informationyoubelievetoberelevantand useaseparatesheetifnecessary.PleasetreatthisdocumentasconfidentialasdisclosingIPmayjeopardisefuture protectionandcommercialisationoptions.
Name:
Position:
Department/School:
Tel:
WhatprojectareyouplanningonusingtheIPin?
WhatIPwillyoubeusing–pleasegiveabriefdescription:
Thefollowingquestionsrelatetothecircumstances underwhichtheIPwascreated.
WhenwastheIPcreated?
Duringthisperiodwereyou…Asalariedemployee?Ifyespleasestatethenameofyouremployer?
Duringthisperiodwereyou…Astudent?Ifyespleasestatetheinstitutionatwhichyouwereregistered?
WhatsourcesoffundingweredrawninoninsupportoftheworkwhichledtothecreationoftheIP?
e.g.EPSRC,CASEStudentship,Universityfundsetc. Pleaseprovideanyreferencecodeorcontractualinformation.
Pleasereturnthisform,marked“StrictlyConfidential”to the Commercial & Client Services Office, University of South Wales.
20
AppendixFour:
AppendixFive:
All Rights Release Agreement
Available at: