Introduction

Universities continually generate and transmit knowledge to society through research, education and academic publication.  The ANU has a primary function of "advancing and transmitting knowledge, by research and teaching of the highest quality".[1] 

Intellectual property rights ("IP") created from such activities give rise to the need for management through an IP policy.  IP created in a university context usually (although not always) takes the form of copyright material or new inventions, and the knowledge embodied in IP offers additional opportunities for dissemination of knowledge for the benefit to society.  Members of the university community have an interest in IP being managed to support the university mission outlined above, as well as a potential interest in equitable arrangements for the sharing of benefits from the commercialization of IP.  The Intellectual Property Policy 2010 updates the University's 2002 framework for management of IP.

As in past policy, employees will generally own copyright in their scholarly works.  Otherwise, (again as in past policy) the University will own IP created by employees.  Students generally, and Higher Degree Research Students in particular, own all IP they solely create.  Policies relating to the right of students to have their thesis examined and to copyright in their thesis remain in effect.  The new policy permits the University to acquire the IP of a HDR Student.  If such a situation arose, the student would be entitled to share in commercialisation benefits, in the same way as an employee. 

A major aspect of the policy is its provisions relating to commercialization (Part 5).  These provisions provide processes for effecting commercialisation and for sharing of benefits with originators. 

Notable Changes

The new IP policy introduces a number of notable changes which relate to the scholarly mission of the University:

1. The policy places makes clear that it is the scholars who create IP who determine the means to disseminate it (section 4).

2. The University encourages and supports open access publication (section 6).

3. The IP policy creates new academic licences for the benefit of employees and students, relevant where the University owns IP. These licences are designed to enable a scholar to continue to use IP they have created for scholarly purposes, after they leave the University. They may not apply where IP is being commercialized (section 13).

4. The IP policy authorises a scholar to create open content licences over IP they create where it is not being commercialised (section 14). Subject to certain restrictions, this allows scholars to licence materials such as software, data, sound and film recordings for use by third parties. Either you (as owner), or the University (as licensee) also have the ability to make course materials available on an open content or open access basis (Section 9).

5. The IP policy strengthens the university's capacity to resist pressure to consent to third parties infringing scholars' moral rights or seeking to control or prevent academic publication (sections 5 and 15).

Using the Policy

The policy sets out principles and rules relating to intellectual property. Details may be implemented through other university policies, procedures, codes or guidelines.  These guidelines and procedures provide useful pointers and additional guidelines for different users in the university community.  Follow the links to sections most relevant to you.

HDR Students

Researchers Generally

Employees

Staff Supervisors

Honorary Status Holders

Deans

Research Managers and Contract Negotiators

HDR student

As a HDR Student, you may generate new knowledge or intellectual property that may fall under the IP Policy.  The default position is that you own IP which you alone generate as part of your higher degree research.  If you participate in a project funded by an organisation outside the University (such as a commercial organisation) you may be asked to enter into a deed with the University assigning the IP created as part of the project to the University.  Also refer to the guidelines below which apply to researchers generally.

• Section 11. Graduate Research Student Intellectual Property
• Relates to ownership of student IP and circumstances under which the University may acquire ownership.
• it is not the intention of the policy to affect copyright ownership of theses or other publications by the student. See Degrees of Doctor of Philosophy and Master of Philosophy, Information for Candidates on the Submission and Examination of Theses.
• These provisions are available to address situations where commercialisation plans for IP, or the intention to maintain equity where there are multiple originators, justifies the University acquiring of HDR Student IP.

Researchers Generally

• Section 6. Terms of Publication:  Open Access
• As soon as it is appropriate to do so, you must deposit a copy of a final accepted version of a peer-reviewed Scholarly Work (not the publisher's PDF) at http://research.anu.edu.au/access/.
• The University will check for the Publisher's policies regarding copyright compliance. When this is permitted by the Publisher the deposited work will be displayed through ANU Research, to be discovered and presented online by search engines. Provisions exist to allow Members, for valid reasons, to restrict open publication in this way.  If necessary, the University may contact you for a publishable version if the version provided cannot be published by the University under the Publisher's policies.
• The final published version of any Scholarly Works, such as a conference paper or a journal article, will be collected and archived by the University for reporting to the Higher Education Research Data Collection (HERDC).  HERDC eligible publications are collected through ARIES in the Research Office.

You may, when providing a work to the University through scholarskeep, indicate that it may not be published or may not be published for a specified time.

• Section 7. Duties in Relation to Recording and Disclosing New Knowledge
• Relates to record keeping associated with the generation of knowledge.
• Record keeping should adhere to disciplinary and legal requirements:
• http://policies/policies/records_and_archives_management/policy
• http://policies/policies/policy__responsible_practice_of_research/policy
• Section 12. Background Intellectual Property
• Within 30 days of commencing employment Background IP that is to be used in your research with the University should be declared, especially if you anticipate that this background IP may be required for commercialisation activities. This will best be done by informing your immediate supervisor in writing of the background IP.
• Section 14. Open Content Licensing
• Section 14 allows open content licensing of IP created within the University. An example of open content licensing is grant of an open source software licence. Advice may be sought from the ANU Legal Office on the framing of such open content licenses.
• Sections 16 - 19. Commercialisation
• IP created within the University may be commercialised under provisions of Part 5 of the Intellectual Property Policy
• Advice may be sought from the ANU Office of Commercialisation on all issues relating to commercialisation of IP.
• Section 25. Transitional Provisions
• The Policy affects IP identified after the commencement date.
• Any IP identified before the commencement date is subject to the IP Policy in place at that time.

Employees

New employees

• Section 12. Background Intellectual Property
• Within 30 days of commencing background IP should be declared. This will best be done by informing your immediate supervisor in writing of the background IP.

Ongoing employee

• See material for researchers generally
• Section 8. Intellectual Property Created by Employees
• The University owns all IP generated by employees, other than copyright in exempt works (which include books, articles, conference papers, research papers, course materials, literature, artistic, dramatic and musical works).
• Section 9: Ownership of Copyright in Exempt Works.
• Employees own copyright in exempt works.
• Course materials are a special category of exempt works. While you are in employment with the University, the University may use course materials you create for teaching purposes, including by modifying those materials.

Exiting Employees

• Section 9. Ownership of Copyright in Exempt Works
• On finishing employment you will need to consider whether you wish to negotiate with the University in regard of continued use of course materials you have created. The University may continue to use course materials if you do not raise the issue within 12 months of leaving employment.

Staff supervisor

• Section 7. Duties in Relation to Recording and Disclosing New Knowledge
• Relates to record keeping associated with the generation of knowledge.
• Record keeping should adhere to disciplinary and legal requirements:
• http://policies/policies/records_and_archives_management/policy
• http://policies/policies/policy__responsible_practice_of_research/policy
• Section 10. Intellectual Property Created by Visitors (Honorary Status Holders)
• Relates to ownership of IP generated by visitors to the University.

• Section 12. Background Intellectual Property
• o Within 30 days of commencing background IP should be declared.

Honorary Status Holders

• Refer to materials for Researchers generally
• Section 10. Intellectual Property Created by Visitors (Honorary Status Holders)
• Relates to ownership of IP generated by visitors to the University and the circumstances under which the University may acquire ownership.
• http://policies/policies/honorary_status__emeritus__academic_status_and_visitors_/policy.
• You may negotiate special arrangements in regard of IP created as an Honorary Status Holder on commencing your appointment.

Deans

• Section 17. Benefits of Commercialisation
• Distribution policy for commercialisation proceeds.

Research Managers and Contract Negotiators

The following provisions are particularly relevant to research and business managers.

• Section 5: Controlled contract terms.
• Relates to contract negotiation.
• Agreements that limit the dissemination of new knowledge should not be entered into without approval of the delegate.
• Section 15. Moral Rights
• Relates to contract negotiation.
• Agreements should not be entered into that infringe upon moral rights without approval of the delegate.
• Part 5: Commercialisation of Intellectual Property.
• Further information on processes for commercialisation at ANU can be obtained from the Office of Commercialisation (http://www.anu.edu.au/commercialisation/).
• Section 25. Transitional Provisions
• The Policy may not affect IP created before the commencement date.
• Any IP identified before the commencement date is subject to the IP Policy in place at that time.
• Advice should be sought from the ANU Legal Office on transitional issues.

[1] Australian National University Act 1991, section 5(1)(a)