Contents

INTELLECTUAL PROPERTY POLICY

PART I: INTRODUCTION

Section 1. Name of Policy

Section 2. Commencement

Section 3. Purposes

PART 2: DISSEMINATION OF KNOWLEDGE

Section 4. Dissemination of Knowledge

Section 5. Controlled Contract Terms

Section 6. Terms of Publication: Open Access

Section 7. Duties in Relation to Recording and Disclosing New Knowledge

PART 3: OWNERSHIP OF INTELLECTUAL PROPERTY

Section 8. Intellectual Property Created by Employees

Section 9. Ownership of Copyright in Exempt Works

Section 10. Intellectual Property Created by Visitors

Section 11. Graduate Research Student Intellectual Property

Section 12. Background Intellectual Property

PART 4:  MEMBER LICENSING AND MORAL RIGHTS

Section 13. Academic Licensing of Creating Member

Section 14. "Open Access" Licensing by Member

Section 15. Moral Rights

PART 5: COMMERCIALISATION OF INTELLECTUAL PROPERTY

Section 16. Proposing Commercialisation and Protection of Intellectual Property

Section 17. Benefits of Commercialisation

Section 18. Sharing of Benefits Where There are Joint Creators of Intellectual Property

Section 19. Commercialisation by Members Creating Intellectual Property

Section 20. Confidentiality

PART 6:  GENERAL

Section 21. University Intellectual Property and Third Party Interests

Section 22. Rights and Obligations of Joint Creators

Section 23. Effect and Implementation

Section 24. Glossary

Section 25. Transitional Provisions

PART I:  INTRODUCTION

Section 1. Name of Policy

1.1       This Policy is to be known as the Intellectual Property Policy.

Section 2. Commencement

2.1       This Policy commences on 1 July 2010

Section 3. Purposes

3.1       The purpose of this Policy is to:

(a)        promote the advancement and transmission of knowledge generated in connection with teaching or research within the University;

(b)        facilitate the advancement of research and education;

(c)        support free transmission of information and ideas through publication;

(d)        outline the terms and conditions on which staff are employed, visitors welcomed and students admitted to the University;

(e)        further the statutory functions of the University to develop commercially any discovery, invention or intellectual property arising in connection with the University; and

(f)         provide a framework to assist Members to give effect to the purposes of this Policy.

PART 2:  DISSEMINATION OF KNOWLEDGE

Section 4. Dissemination of Knowledge

4.1       The University Creates and disseminates Knowledge through its Members by:

(a)        teaching;

(b)        publication;

(c)        research; or

(d)        such combination of the foregoing, as may best provide benefit to society.

4.2       The University pursues and encourages the widest dissemination of research findings for the greatest public benefit.

4.3       In respect of the purposes set out in paragraphs 3.1(a) and (b), the University and each Member must act in accordance with applicable codes of conduct and policies in effect within the University from time to time.

4.4       Subject to this Policy, a Member who Creates or disseminates Knowledge initially determines the pathway or pathways for dissemination of that Knowledge taking into account the most effective mechanisms to:

(a)        promote further research and education;

(b)        transfer Knowledge to other Members and the general public; and

(c)        maximise benefit to society.

4.5       The University's activities which result in the dissemination of Knowledge include dissemination through commercial mechanisms.

4.6       Dissemination of Knowledge through Commercialisation is governed by Part 5 of this Policy.

Section 5. Controlled Contract Terms

5.1       Unless otherwise determined by the Vice Chancellor, the University must not enter into an agreement if a term of the agreement:

(a)        allows publication of New Knowledge to be withheld beyond a reasonable period which is necessary solely to enable Commercialisation or Protection of Intellectual Property arising from the New Knowledge;

(b)        makes the content of any Scholarly Work or publication arising directly or indirectly from the research or Commercialisation subject to the control of any person external to the University; or

(c)        enables a contracting partner to prevent further publication or Commercialisation of New Knowledge if the partner does not proceed with Commercialisation of that knowledge.

5.2       Notwithstanding anything in this Section or Section 4, the Vice Chancellor may, where he or she considers appropriate for the purposes of this Policy, issue binding directions in respect of all matters concerning the dissemination of New Knowledge or Intellectual Property associated with New Knowledge, including determining the dissemination pathways to be adopted in respect of any New Knowledge and the contractual terms that the University may accept.

5.3       For the purposes of paragraph 5.1(b), control in relation to a Scholarly Work includes, but is not limited to, any third party right to require the alteration of the substantive academic content of a Scholarly Work or to delay or prevent its publication, except to the extent permitted by paragraph 5.1(a).

5.4       A reasonable period for the purposes of this section is 6 months or (where exceptional circumstances or the particular discovery or discipline dictates) up to a maximum of 2 years.

Section 6. Terms of Publication: Open Access

6.1       The object of this Section is to promote the availability of Scholarly Works Created within the University free or at a low cost to Members and the public in accordance with Open Access Principles, without causing unreasonable detriment to the creating Member.

6.2       A Member who Creates a Scholarly Work must, when it is accepted by a publisher for publication or otherwise the Member deems the work ready for publication, provide a copy of the Scholarly Work to the University.

6.3       Subject to Sub-section 6.4, copies of Scholarly Works received by the University under this Section may be made published by the University to Members or the public.

6.4       If the Member reasonably believes that the exercise by the University of rights under Sub-section 6.3 may:

(a)        impede the Member's ability to disseminate the Scholarly Work by publication through a third party or otherwise;

(b)        result in unreasonable financial loss to the Member; or

(c)        impede collaboration with co-authors outside the University,

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

Section 7. Duties in Relation to Recording and Disclosing New Knowledge

7.1       Each Member must:

(a)        keep a record of New Knowledge generated by the Member in connection with the University, in accordance with the scholarly and professional discipline of which the Member is a part and in accordance with any applicable research policies or laws, and make such records available to any authorised officer of the University on request;

(b)        if requested by the University, provide a copy of any Work developed by the Member in connection with the University to the Member's immediate supervisor or the officer nominated by the University.

PART 3: OWNERSHIP OF INTELLECTUAL PROPERTY

Section 8. Intellectual Property Created by Employees

8.1       The University owns all Intellectual Property Created in whole or in part by an Employee:

(a)        in the course of, or arising from the employment of the Employee, at the University;

(b)        using the assets, resources or Intellectual Property of the University (including without limitation the name of the University);

(c)        using the Intellectual Property of another Member in connection with the University;

(d)        Created or developed in collaboration with a Member in connection with the University; or

(e)        which vests in the University at law.

Section 9. Ownership of Copyright in Exempt Works

9.1.      Notwithstanding section 8, subject to this section and the rights of third parties when the Exempt Work is Created, the University assigns copyright held by the University in any Exempt Work Created by the Employee to the Employee, or if more than one, to the creating Employees jointly as tenants in common, in such shares as are agreed in writing by those Employees.

9.2.      In respect of an Exempt Work which also constitutes a Scholarly Work, the creator must comply with section 6 of this Policy.

9.3       In respect of an Exempt Work which is a monograph, the creator must on its publication provide two hard copies, free of charge, to the University, one copy of the work which the University may deposit in a University library and the second which the University may use for uses not reserved to the copyright owner by the Copyright Act.

9.4       In respect of an Exempt Work which constitutes Course Materials, the University retains:

(a)        during the employment of the creating Employee, a world-wide non-exclusive licence to use the Course Materials for teaching and research; and

(b)        after the end of employment with the University, unless the Employee has notified the University in writing in accordance with sub-section (5), a perpetual, irrevocable, world-wide non-exclusive licence to use the Course Materials for teaching and research,

including the right to Create new materials which incorporate or modify the Course Materials or which reproduce the Course Materials in a new form.

9.5       No later than twelve months after the end of their employment, an Employee, by notice in writing, may request that the University enter into negotiations with the Employee to agree terms for assignment or continued licensing of the Course Materials to the University, including a royalty or fee to be paid to the Employee.

9.6       If a notice has been issued by an Employee under Sub-section 9.5, and the University and the Employee have been unable to agree terms within six months of the date of the notice, the licence granted to the University under Sub-section 9.4(b) immediately terminates.

9.7       If a Member obtains a financial benefit from the publication of an Exempt Work assigned to the Member under this Section, the Member is entitled to retain that benefit and has no obligation to account to the University in respect of that benefit.

Section 10. Intellectual Property Created by Visitors

10.1     The University may, by notice in writing issued to a Visitor, acquire the Intellectual Property specified in the notice which a Visitor Creates:

(a)        in the course of undertaking research or teaching at the University;

(b)        using Intellectual Property of the University; or

(c)        in the course of undertaking work for which funding has been provided to the University by a party outside the University.

10.2     If the University acquires a Visitor's Intellectual Property under this section and the Intellectual Property is Commercialised by the University, the Visitor is deemed an Originator.

10.3     Before exercising its powers under this Section to acquire Intellectual Property, the University must consult with the Visitor.

10.4     Nothing in this Section prevents the University and a Visitor at any time agreeing the terms and conditions that will govern any Intellectual Property which the Visitor generates in connection with the University or any other terms and conditions governing the Visitor's appointment and conduct at the University, including without limitation, any terms or conditions which take into account previous dealings with the Intellectual Property.

10.5     Unless otherwise agreed by the Visitor and the University, the provisions of this Section shall be embodied in the terms of appointment of the Visitor.

Section 11. Graduate Research Student Intellectual Property

11.1     The University may, by notice in writing issued to a Graduate Research Student of the University, acquire the Intellectual Property specified in the notice which has been Created by the student:

(a)        in the course of or arising from their research at the University;

(b)        using the resources, assets or Intellectual Property of the University or Intellectual Property of another Member in connection with the University; or

(c)        in the course of undertaking work for which funding has been provided to the University by a party outside the University.

11.2     If the University acquires a student's Intellectual Property under this Section and the Intellectual Property is Commercialised by the University, the student is deemed an Originator.

11.3     Before exercising its powers under this Section to acquire Intellectual Property, the University must consult with the student.

11.4     Nothing in this Section prevents the University and the student at any time agreeing the terms and conditions that will govern any Intellectual Property which the student generates in connection with the University, including without limitation, any terms or conditions which take into account previous dealings with the Intellectual Property.

11.5     Unless otherwise agreed by the student and the University, the provisions of this Section shall be embodied in the conditions of enrolment of the student.

Section 12. Background Intellectual Property

12.1     No later than 30 days after commencement of employment of an Employee or appointment of a Visitor or enrolment as a Graduate Research Student, as the case may be, a Member must disclose to the University, through the Member's immediate supervisor or the Vice Chancellor any Intellectual Property that is not owned by the University and which the Member owns or has a licence to use that the Member wishes to use or incorporate into work undertaken in connection with the University ("Background Intellectual Property").

12.2     A Member must not use or incorporate Background Intellectual Property into work undertaken at the University unless:

(a)        the Member has disclosed the Background Intellectual Property to the University in accordance with Sub-section 12.1;

(b)        the Member and the University have agreed written terms which grant the University appropriate Intellectual Property rights to use the Background Intellectual Property; and

(c)        the Member is legally entitled to grant the rights provided for under paragraph 12.2(b) or those rights have been obtained from the relevant rights holders.

PART 4:  MEMBER LICENSING AND MORAL RIGHTS

Section 13. Academic Licensing of Creating Member

13.1     Subject to Section 20 and the rights of any third party in respect of the Intellectual Property, a Member who Creates Intellectual Property which is owned by the University is granted a perpetual, revocable, worldwide, non-exclusive licence to use (whether inside or outside the University) that Intellectual Property for the purpose of traditional:

(a)        research;

(b)        teaching; or

(c)        publication.

13.2     For the purposes of this Section, "traditional" includes:

(a)        scholarly activities such as undertaking publicly or philanthropically funded research within a public research institution or private university;

(b)        use of Course Materials for the conduct of personal teaching by the academic, including for avoidance of doubt, outside the University; and

(c)        publication of academic works including books, journal articles or conference papers (including through commercial publishers).

13.3     For the purposes of this Section "traditional" does not include:

(a)        research funded in whole or in part by a for profit organisation where that organisation has or may obtain a right to Commercialise the Intellectual Property;

(b)        licensing of Course Materials to an organisation other than for personal teaching by the academic;

(c)        provision of Course Materials for a fee through any medium.

13.4     Subject to the rights of third parties, in respect of copyright material, the licence in Sub-section 13.1 includes a licence to exercise, for non-commercial purposes, any of the rights set out in paragraphs 31(1) (a) and (b) of the Copyright Act 1968, including the right to sub-licence those rights.

13.5     If a Member obtains a Financial Benefit from exercise of the licence set out in Sub-section 13.1 (including any benefit in the form of a royalty on publication, salary, consultancy fee for work personally undertaken by the Member or benefit arising from statutory or voluntary licensing schemes in which the University or the Member participates), the Member is entitled to retain that benefit and has no obligation to account to the University in respect of that benefit.

13.6     The Vice Chancellor may from time to time determine additional terms and conditions applicable in relation to the licence set out in Sub-section 13.1, either generally, or in respect of particular Intellectual Property.

13.7.    The University may not revoke the licence granted under Sub-section 13.1, except with the prior written agreement of the Member.

Section 14. "Open Content" Licensing by Member

14.1     Subject to this Section, Section 20 and the rights of any third party in respect of the matter, a Member who Creates copyright matter which is owned by the University is granted a perpetual, irrevocable, worldwide, non-exclusive licence in respect of the copyright to grant licences to third parties over the copyright matter:

(a)        being an open content licence of the form maintained by the Creative Commons Corporation; or

(b)        being an open source licence in respect of Software, of the form maintained by the Open Software Initiative or the Free Software Foundation; or

(c)        in any other form of open content licensing determined from time to time in writing by the Vice Chancellor.

14.2     If an Employee of the University directly or indirectly derives a monetary benefit other than a Financial Benefit from the granting of licences under this Section, the Employee shall be deemed to have undertaken Commercialisation in accordance with Section 19, and subject to agreement of terms between the University and the Employee in accordance with Section 19, the Employee must account to the University for the monetary benefit and the University shall be entitled to payment from the Employee of a reasonable share of that monetary benefit.

14.3     If a Member or the University proposes or pursues the Commercialisation of copyright matter under Part 5 of this Policy, Sub-section 14.1 ceases to have effect during any period in which the copyright matter is being dealt with under that Part.

14.4     If a Member grants a licence of the kind contemplated in Sub-section 14.1, the Member must, through the Member's immediate supervisor, notify the University in writing of the grant of the licence.

Section 15. Moral Rights

15.1     Nothing in this Policy affects the Moral Rights of a person under the Copyright Act 1968.

15.2     Unless the person holding the Moral Rights has granted their written consent and either:

(a)        approved by the Vice Chancellor, or

(b)        the consent is solely in respect of non-attribution of authorship of a work intended for publication as an organisational publication of the party commissioning the work,

the University must not enter into a contract which requires the University to obtain from a person who Creates a work consent to an act which would otherwise constitute an infringement of Moral Rights that person holds.

PART 5: COMMERCIALISATION OF INTELLECTUAL PROPERTY

Section 16. Proposing Commercialisation and Protection of Intellectual Property

16.1     A Member who Creates Intellectual Property may propose the Commercialisation of the Intellectual Property by:

(a)        the University; or

(b)        by the Member or a nominee of the Member pursuant to Section 19.

16.2     A Member must, in respect of Intellectual Property being Protected or  Commercialised or considered for Protection or Commercialisation under this Part:

(a)        ensure that publication of the Intellectual Property is delayed for such reasonable period as is necessary to enable the Commercialisation or Protection of the Intellectual Property, including as reasonably directed by the University from time to time;

(b)        ensure that the Intellectual Property is disclosed to authorised officers of the University, including in such form or in accordance with such procedures as the University may direct from time to time;

(c)        ensure at time of disclosure, that the University is informed of the names of all individuals who have contributed to the development of the Intellectual Property;

(d)        ensure that all individuals who have contributed to the development of the Intellectual Property have been consulted and concur that the Commercialisation be proposed to the University;

(e)        assist any officer of the University concerned with Commercialisation or Protection of the Intellectual Property by providing all information and documents reasonably required by the officer for those purposes;

(f)         execute any document reasonably required by the University for the purposes of Protection or Commercialisation of the Intellectual Property, including any instrument assigning the Intellectual Property to the University or another party.

16.3     The University may at its absolute discretion and from time to time determine whether it will or will not pursue, or continue to pursue, Commercialisation or Protection of the Intellectual Property.

16.4     For the avoidance of doubt:

(a)        the University is under no obligation to either commence or continue Commercialisation or Protection of Intellectual Property;

(b)        this Section does not limit the power of the University to determine that the University will itself Commercialise the Intellectual Property; and

(c)        this Section does not prevent the University, at any time, determining, at its own initiative to commence, pursue, modify or abandon the Protection or Commercialisation of any Intellectual Property owned by the University.

Section 17. Benefits of Commercialisation

17.1     If Intellectual Property is Commercialised by the University, the University will share a portion of the Commercial Return received by the University with each Member who materially contributed to the Creation of the Intellectual Property, in accordance with any Commercialisation policy (or equivalent) in effect from time to time.

17.2     This Policy may from time to time be supplemented with additional policies concerning Commercialisation and the benefits of Commercialisation.

17.3     Sharing of the Commercial Return shall be based on the following distribution.

17.4     In determining the relative proportion to be accorded to the University and the Originators, the Vice Chancellor may have regard to:

(a)        the inclusion of students among the Originators which is to be deemed as an increase in the number of Originators warranting an additional distribution;

(b)        the personal contribution of time and resources by Originators in support of the research or Commercialisation effort, which is not otherwise remunerated by the University;

(c)        the contribution of background intellectual property by an Originator;

(d)        where the Originator is a student, the payment of full fees by the student to the University.

17.5     If (other than as a result of application of Sub-section 17.3) an Originator or an associate or Family Member of the Originator (other than another Originator) receives a benefit directly derived from the Commercialisation of Intellectual Property Created by the Originator, the University may reduce the distribution payable to that Originator, as determined by the Vice Chancellor, by an equivalent amount or otherwise as equitable in the circumstances.

17.6     For the purposes of this Section:

(a)        "Associate" includes any partner, partnership, company or trust connected with the Originator, through which the Originator or a Family Member of the Originator may have an interest or receive a benefit, or with whom the Originator has made arrangements for distribution of benefits arising from Commercialisation of the Intellectual Property; and

(b)        "Family Member" includes a spouse, partner, dependent, sibling or parent.

Section 18. Sharing of Benefits Where There are Joint Creators of Intellectual Property

18.1     The University determines the individuals who are to be recognised as Originators of the Intellectual Property and may seek additional information from Members to assist it in determining the pool of Originators ("Joint Originators").

18.2     The University may add or remove individuals as recognised Joint Originators, if additional information comes to light justifying such a change.

18.3     The Joint Originators of Intellectual Property recognised from time to time by the University, must together agree in writing the proportion to be allocated to each Joint Originator of the Commercial Return allocated to Originators under section 17.

18.4     If a dispute arises between the Joint Originators as to the proportions to be allocated, the dispute may be referred by any Originator to the Vice Chancellor, whose decision shall finally settle the dispute.

18.5     In settling a dispute under Sub-section 18.3, the Vice Chancellor may deal with the dispute in any manner the Vice Chancellor considers will expedite the resolution of the dispute, including without limitation, withholding distribution of benefits to Originators until the Originators have reached agreement on the proportion of benefit to be received by each Originator.

Section 19. Commercialisation by Members Creating Intellectual Property

19.1     A Member who Creates Intellectual Property may at any time, after the Intellectual Property is fully disclosed to the University, request the University to assign the Intellectual Property to the Member or an entity nominated by the Member for the purpose of Commercialisation or other dissemination of the Intellectual Property.

19.2     If the University, considering an application under clause 19.1, determines that:

(a)        no third party interests and no other Member will be prejudiced; or

(b)        it will no longer Commercialise the Intellectual Property; or

(c)        it does not wish to incur expense or further expense to Protect the Intellectual Property; or

(d)        the dissemination of the Intellectual Property will thereby be fostered,

it may offer to assign the Intellectual Property to the Member who has Created it.

19.3     If the University decides not to continue to Commercialise or Protect Intellectual Property, it must, subject to any existing legal obligations in respect of the Intellectual Property and Sub-section 19.4, offer to assign the Intellectual Property to the Member who Created it.

19.4     The terms of assignment to the Member who Creates Intellectual Property:

(a)        shall be reasonable terms agreed between the University and the Member and may include:

(i)         recovery of costs incurred by the University in Protecting or Commercialising the Intellectual Property; and

(ii)        payment of a royalty or other benefits to the University if financial or commercial benefits arise from the Intellectual Property; and

(b)        the terms of assignment must include:

(i)         a perpetual, royalty free, worldwide, non-exclusive licence to the University (including the right to sub-licence) to use, adapt, publish and deal with the Intellectual Property for the purposes of research and teaching; and

(ii)        performance requirements on the Member or nominee of the Member in relation to Commercialisation of the Intellectual Property or mechanisms which otherwise ensure that the Intellectual Property is disseminated or available for dissemination.

19.5     For the avoidance of doubt, once Intellectual Property is assigned to a Member under this Section, the University shall have no further obligation in respect of Commercialisation or Protection of the Intellectual Property, and no obligation to accept re-assignment of the Intellectual Property to the University.

19.6     Once Intellectual Property is assigned to a Member under this Section, the Member must ensure that no conflict of interest or improper use of public assets arises in respect of further development, Commercialisation or Protection of the Intellectual Property.

Section 20. Confidentiality

20.1     A Member must not knowingly act in a manner which would result in:

(a)        the loss of the opportunity to Protect Intellectual Property which the Member knows has been proposed for Commercialisation or is in the process of being Protected or Commercialised under this Part; or

(b)        the University being in breach of a contract concerning research or Commercialisation of Intellectual Property,

by:

(c)        unauthorised disclosure of confidential information;

(d)        failure to protect confidential information from disclosure;

(e)        unauthorised use of Intellectual Property outside the terms of a contract relating to the Intellectual Property; or

(f)        knowingly acting in any other manner the result of which is likely to place the University in breach of contract or any other legal duty of the University in connection with that contract.

PART 6 GENERAL

Section 21. University Intellectual Property and Third Party Interests

21.1     The University may, from time to time, adopt policies facilitating the dissemination of Intellectual Property Created by an Employee while undertaking research at another public research institution, including without limitation authorising the Member to enter into an intellectual property agreement with such third party institution or providing for assignment of Intellectual Property to that third party institution.

Section 22. Rights and Obligations of Joint Creators

22.1     If New Knowledge or Intellectual Property is jointly Created by more than one Member, those Members, in respect of that New Knowledge or Intellectual Property:

(a)        jointly and severally bear the obligations applicable to Members under this Policy; and

(b)        jointly hold and must jointly exercise the rights applicable to Members under this Policy.

22.2     If a dispute arises between the Members in respect of the joint exercise of rights under this Policy, the dispute may be referred by any one of them to the Vice Chancellor, whose decision shall be final.

22.3     Disputes with regard to authorship of a Work in the context of research shall be dealt with under the ANU policy Responsible Practice of Research, or replacement policies or guidelines, should they exist at the time of the dispute.

Section 23. Effect and Implementation

23.1     For the avoidance of doubt, this Policy does not limit, or prevent:

(a)        the vesting in or acquisition of Intellectual Property by the University at general law; or

(b)        the general power of the University to acquire Intellectual Property by virtue of contract (whether or not a party is referred to in this Policy); or

(c)        the freedom of the University to determine at its absolute discretion, the manner in which Intellectual Property vested in it is to be Commercialised, assigned, licensed or otherwise dealt with.

23.2     The Vice Chancellor may from time to time issue directions concerning any matter connected with the implementation of the provisions of this Policy.

Section 24. Glossary

24.1     In this Policy, unless the contrary intention appears:

Artistic Work has the same meaning as in the Copyright Act 1968.

Course Materials means any educational or training material (including lecture notes, tutorial sheets, assignments, course web pages, digital or analogue recordings of tuition) whether or not in electronic form Created in connection with the  

University, but does not include course curricula.

Commencement Date means the date on which this Policy commences.

Commercialisation means use or application of Intellectual Property in respect of a product, process or service or assignment, licensing or other dealing with Intellectual Property for purposes including:

(a)        generating income or obtaining assets in exchange for the Intellectual Property or access to the Intellectual Property; or

(b)        promoting the effective dissemination and application of the Intellectual Property for the benefit of society, through any commercial or quasi-commercial arrangement or vehicle.

Commercial Return means the value of the benefit received by the ANU from Commercialisation (whether by way or shares, other assets or income) less the expenses (including in-kind expenses) incurred by the University in the Protection, Commercialisation or further development of the Intellectual Property which generated the benefit.

Create includes, in relation to:

(a)        New Knowledge, or

(b)        Intellectual Property arising in connection with the University,

to independently develop, create or discover whether alone or in cooperation with others.

Dramatic Work has the same meaning as in the Copyright Act 1968.

Employee means a person who is employed by the University at the time he or she Creates any Intellectual Property and includes that person's executors, administrators, successors and assigns.

Exempt Work means:

(a)        a monograph;

(b)        a journal article;

(c)        a conference paper;

(d)        a research paper;

(e)        Course Materials;

(f)        a work of literature;

(g)        an Artistic Work;

(h)        a Dramatic Work;

(i)        a Musical Work; and

(j)        other kinds of works determined from time to time by the Vice Chancellor,

but does not include any work commissioned through the University where that work is subject to rights inconsistent with the provisions of Section 9.

Financial Benefit means a payment to a Member arising from an activity of the kind described in Sub-section 13.2.

Graduate Research Student means a student undertaking research leading to the award of Doctorate of Philosophy or a Master of Philosophy.

Intellectual Property includes all forms of intellectual property rights (in any jurisdiction) whether arising under legislation or general law including (without limitation) all rights resulting from intellectual activity in the industrial, scientific, commercial, literary or artistic fields, including the right to apply for registration of such rights, and includes all rights in relation to:

(a)        concepts;

(b)        know-how;

(c)        processes;

(d)        products;

(e)        data;

(f)        circuit layouts;

(g)        copyright and neighbouring rights;

(h)        confidential information;

(i)        designs;

(j)        inventions;

(k)        patents;

(l)        plant varieties;

(m)        plant breeder's rights;

(n)        trade marks and Trade Secrets,

but does not include any Moral Right.

Knowledge includes, without limitation:

(a)        information;

(b)        data;

(c)        ideas;

(d)        axioms;

(e)        hypotheses;

(f)        theories;

(g)        principles of nature;

(h)        beliefs, assumptions or suppositions;,

(i)        models;

(j)        paradigms;

(k)        truth propositions;

(l)        know-how;

(m)        skills;

(n)        techniques;

(o)        means of achieving particular results;

(p)        discoveries;

(q)        results of experiment, investigation or research;

(r)        conclusions arising from experiment, investigation or research;

(s)        information concerning a new invention or new process;

(t)        artistic, literary, musical or dramatic creations;

(u)        biological varieties arising from genetic or epigenetic modification or breeding;

(v)        algorithms (whether or not embodied in Software);

(w)        compilations of knowledge; or

(x)        new applications of existing knowledge,

arising in connection with the University.

Member includes:

(a)        Employee ;

(b)        Graduate Research Student;

(c)        Visitor; and

(d)        where more than one Member contributes to the creation of New Knowledge or Intellectual Property, all the contributing Members in respect of that New Knowledge or Intellectual Property.

Moral Rights has the meaning given in the Copyright Act 1968.

[Note: The Copyright Act recognises the following 3 types of Moral Rights:

(a)        an author's right to be identified as the author of a work - known as the right of attribution of authorship;

(b)        the right of an author to take action against false attribution - known as the right not to have authorship of a work falsely attributed;

(c)        an author's right to object to derogatory treatment of his or her work that prejudicially affects his honour or reputation - known as the right of integrity of authorship of a work.]

Musical Work has the same meaning as in the Copyright Act 1968.

New Knowledge means Knowledge which was previously unknown, not generally known or lost.

Open Access Principles means principles for the promotion of open access to Scholarly Works embodied in the Budapest Open Access Initiative of 14 February 2002, the Berlin Declaration on Open Access to Knowledge in the Sciences and Humanities of 22-23 December 2003 or similar principles adopted from time to time which enjoy widespread support among institutions of higher learning.

Originators means Members recognised by the University as entitled to share in the benefits of Commercialisation of Intellectual Property, in accordance with Section 18.

Protection means processes, including without limitation patenting, that establish ownership of or control access to or use rights in respect of Intellectual Property so as to contribute to the viability of Commercialisation of that Intellectual Property.

Scholarly Work means a Work (other than a monograph) in which New Knowledge is embodied (and where the Work has been peer reviewed, means the peer reviewed version of the Work) including:

(a)        a peer-reviewed article;

(b)        Software;

(c)        a Work published for the purpose of academic discourse;

(d)        a Work which disseminates New Knowledge to the public; and

(e)        any other kind of Work determined in writing from time to time by the Vice Chancellor

but does not include:

(f)        Works commissioned by the University or a third party intended for distribution under an organisational banner; or

(g)        any type of matter determined in writing from time to time by the Vice Chancellor as not constituting a Scholarly Work.

Software includes:

(a)        any computer program including all components thereof (irrespective of whether in source code, object code, firmware or other version);

(b)        any set of statements or instructions to be used directly or indirectly in a computer in order to bring about a certain result;

(c)        any operable, data or other electronic files made available with a computer program;

(d)        any electronic protocols embedded in a computer program;

(e)        any website, including all files, images, executable code, computer programs or other material provided over the internet in association with the website and including any translation into other human languages of any such material;

(f)        documentation made available with Software which is designed to assist users or developers of the Software;

(g)        any modifications, enhancements or bug fixes or developments (included new releases and new versions) of the Software which are made available.

Student other than in reference to a Graduate Research Student, means a person, who is or was enrolled in, or seeking enrolment in, a program or course offered by the University, or who is or was given permission by the University to audit a course, whether undergraduate or graduate and includes that person's executors, administrators, successors and assigns, and for the avoidance of doubt a person does not cease to be a student for the purposes of this Policy, even if they are no longer enrolled at the University.

Trade Secret includes any information (including a formula, pattern, compilation, program, device, method, technique, or process) that has independent economic value and that is generally not publicly known and is subject to reasonable confidentiality measures by its holders.

Visitor means:

(a)        a person who is given access to University resources for the purposes of teaching, research or other scholarly activity who is not an Employee, student or covered by separate arrangements addressing Intellectual Property ownership; or

(b)        a corporation given access to University resources for the purposes of undertaking research or development, whether or not in collaboration with the University; and

for the avoidance of doubt, a person or corporation continues to be a visitor for the purposes of this Policy even if the period of appointment as a visitor has ceased.

Work means any written material (whether digital or in hard copy) in human readable form in which Knowledge is embodied and which is ready for dissemination.

Section 25. Transitional Provisions

25.1     This Policy does not apply to:

(a)        Intellectual Property which was disclosed to the University before the Commencement Date;

(b)        any publication which was submitted for peer review prior to prior to the Commencement Date;

(c)        any Exempt IP[1] which was published prior to the Commencement Date;

(d)        any Commercialisation of Intellectual Property which commenced prior to the Commencement Date;

(e)        any Commercialisation of Intellectual Property Created after the Commencement Date which is being Commercialised together with Intellectual Property Created before the Commencement Date under Commercialisation arrangements existing at the Commencement Date.

25.2     This Policy shall not be taken to override any agreement existing at the Commencement Date between the Member and the University which explicitly deals with Intellectual Property.

25.3     This Policy replaces University policy Intellectual Property: Ownership, Protection and Commercialisation except in respect of Intellectual Property described in Sub-section 25.1.

[1] "Exempt IP" is a term defined in the University policy Intellectual Property:  Ownership Protection and Commercialisation.

This is a new document (700a/2009) replacing and updating policy 517/2006 relating to intellectual property. Previous versions of the IP policy can be found at: http://www.anu.edu.au/commercialisation/standard-forms.php