IP Policy for Universities

1. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY IP Policy for Universities Experience of Hungary Tamas Bene, IP manager University of Debrecen IP Policy for Universities

2. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Intellectual property management systems at universities • Innovation models (Open Science, Open Innovation, Triple Helix) • Major factors that influence trends in IP management • IP – Most common sources of regulation: • ownership clauses in patent or other IP-related law • ownership clauses in labor law • clauses in national R&D system law • act on higher educational • governmental rulings • national codes of practice • specific rules of funding systems • policies or other specific internal rules on the institutional level • collective agreement between the employer and the employees • individual contract between the employer and the employee • judicial practice. Tamas Bene, IP manager University of Debrecen IP Policy for Universities

3. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Define your IP strategy! The IP strategy should be defined based on the preferred way of knowledge transfer at the institution. Main methods of knowledge transfer: • Teaching, education • Free dissemination (publication, conferences) • Collaborative research • Contract research • Sponsored research (also grant research performed in consortiums) • Private consultancy • Traditional technology transfer, licensing • Creation of spin-off companies, support of regional economy • Establishment of joint companies with industrial partners • Strategic cooperation with local big companies in various technology fields • Faculty and student entrepreneurship (outside the university) • Movement of highly skilled research staff to industry Tamas Bene, IP manager University of Debrecen IP Policy for Universities

4. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY The need for an IP policy at universities and research institutions • To safeguard the university’s and the researchers’ overall interests in managing collaborative research activities and technology transfer. • To ensure commercial returns for both the institution and the inventors. • To achieve social benefits from the innovation process. • To create economic impact of new knowledge generated at the institutions. • There are several stakeholders in the R&D process each of them contributing to the generation or exploitation of IP, such as: • universities • researchers/inventors • students • research sponsors • industrial partners • mediator organizations (TTOs) • organizations exploiting University IP (licensees) • investors • others. Tamas Bene, IP manager University of Debrecen IP Policy for Universities

5. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Advantages of a good IP policy An IP policy is an extremely useful tool since it can involve the institutional, national and international aspects of IP management in one regulatory document on the institutional level. • Creates procedures for the daily routine of IP-management • Clear and transparent IP management • Provides clear, specific provisions on IP issues • Creates legal certainty for companies and other third parties • Safeguards the interests of all parties by stipulating deadlines • Ensures professional IP management • Stimulates more industrial support for research • Generates income for the university and the researchers • Encourages bringing research results to the public benefit • Strengthens public image of the university and its’ researchers • Enhances the reputation of the university and researchers Tamas Bene, IP manager University of Debrecen IP Policy for Universities

6. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY How to start the elaboration of an IP policy? • The mission and role of the university should be assessed especially in the context of education, research and relation to entrepreneurship. • Major types of roles: • follows the open science model • focus on research and development • expects significant income through technology transfer • promote economic development and have the characteristics of entrepreneurial university. • The IP policy should reflect the mission of the university and the institutional control over IP should be set in accordance with the mission. • Main challenges: • Legal environment has to be taken into account • National policy framework • Harmonization with other institutional regulations Tamas Bene, IP manager University of Debrecen IP Policy for Universities

7. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY How to start the implementation of the model IP policy? Implementation of the model Policy should be done with due care especially concerning legal issues. The model Policy has to be adapted in a manner consistent with applicable national law and other relevant regulations. It is recommended that the Institute seeks professional legal advice before implementing the model Policy. Tamas Bene, IP manager University of Debrecen IP Policy for Universities

8. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Implementation I. – Content of the policy An IP Policy relates to the ownership, protection and commercial exploitation of intellectual property created byresearchers in the course of their duties or activities at the given Institute. It sets out the rules of the Institute for cooperationwith industrial and business organizations and provides guidelineson the sharing of the economic benefits arising from the commercialization of intellectual property. • Personal scope and related legal issues • Types of IP covered • Ownership of Intellectual Property • Research collaboration - confidentiality vs. public disclosure • Obligations of the institute and the researchers in IP management • Distribution of revenues, motivation of scientists • Conflict of interest issues Tamas Bene, IP manager University of Debrecen IP Policy for Universities

9. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Ownership of publicly-funded research results • Typical/possible owners of IP created at universities: • inventor/author • university/public research institution • the state or any governmental organization providing research funds • third party enterprise providing research funds • no one owns, public domain. • General rule – when determining the ownership of an IP, the first owner of the IP has to be determined first - or else legal complications may arise later. • Two typical regimes: • Professor’s privilege model • Institutional ownership system • There may be specific regulations for publicly-funded research results, typically in countries introducing the institutional ownership model. These are often based on national public research-related acts, grant systems or codes of practice. Tamas Bene, IP manager University of Debrecen IP Policy for Universities

10. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Industry Typical contribution of the key players to the creation of IP Financial contribution Who owns ? Industrial knowledge University Collaboration Technical staff Salary of the researchers Funds for the research Academic career for the researcher Goodwill Inventor/researcher Facilities supporting research Administrative services Intellectual contribution Research infrastructure Tamas Bene, IP manager University of Debrecen IP Policy for Universities

11. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Expected activities of the university in managing IP • Negotiating research cooperative agreements where IP issues are concerned (with the researchers involved) • Receiving invention disclosures • Preparing opinions on patentability • Evaluating the commercial potential of the invention or other IP • Obtaining patent protection (if necessary) • Seek exploitation of IP – find commercial development partners • Managing the process of commercialization • Funding is critical: • to hire professional management • to cover patent and commercialization costs. Tamas Bene, IP manager University of Debrecen IP Policy for Universities

12. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Conflict of interest and confidentiality • A researcher’s primary commitment of time and intellectual contributions as an employee of the Institute should be to the education, research and academic programs of the Institute. • It is the responsibility of each Researcher to ensure that their agreements with third parties do not conflict with their obligations to the Institute or this Policy (private consultancy and other research service agreements). • Researchers should keep the University’s business secret in confidence. • Researchers should promptly report all potential and existing conflict of interest to the Institute. • The university should establish a committee or appoint an existing one to examine and solve IP-related disputes. Tamas Bene, IP manager University of Debrecen IP Policy for Universities

13. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Implementation II. – Institutional factors • Identification of who shall administer and enforce institutional IP policy • Support from the higher management of the university is essential • Getting faculty feedback during the preparatory phase will give importance and confidence • Appointment of responsible persons/committees/departments/offices for each task defined in the policy • Comparisons with other institute`s policies and making the results available via informal discussions will give credibility • Preparing, implementing and disseminating typical IP document forms - Model agreements, IDX form, etc. • Monitoring and evaluation of performance Tamas Bene, IP manager University of Debrecen IP Policy for Universities

14. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Implementation III. – Awareness factors Promotion and communication of the IP policy should involve: • Education of researchers and students in IP management • Preparing “translation” for the research community • Promotion of the policy and dissemination of IP culture among faculty staff and students through seminars, website and informal discussions • Applying the policy with consistency • Establishing IP management as a service to the community • Showcasing the benefits Tamas Bene, IP manager University of Debrecen IP Policy for Universities

15. Intellectual property management and technology evaluation systemat the University of Debrecen Reporting IP IP evaluation IP protection and exploitation Continuous communication and cooperation with the researchers Intellectual product Technology evaluation Technology and project monitoring Exploitation and business incubation Spin-off Invention disclosure forms VRS/ Unit VRS/ Rector VRS/ Rector HU patent PCT Technology registry Rector decision Licensing R&D service unit (as part of the University) Utilization with industrial partner Unit: Relevant unit of the University VRS: Vice rector for strategic affairs Notice of refusal 7th week 12th month 1st day 4th week ~8-9th week 6-36th month

16. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Income sharing at the University of Debrecen Net income Inventors University 60% 40% 1/3 1/3 1/3 Center Faculty Innovation Fund Tamas Bene, IP manager University of Debrecen IP Policy for Universities

17. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Summary • A good IP policy has to create an uneasy balance between: • researchers’ right to publish • protection of research results generated through public funds • guarantee of academic freedom for the researchers • industrial exploitation of the public research results • ensure fair economical compensation for each stakeholder of the innovation process. • As an overall result it is expected that developing IP policies at universities and research institutions will support them to a significant degree in transferring new technologies to the industry and create new links with local and regional economy. Tamas Bene, IP manager University of Debrecen IP Policy for Universities

18. “IP Management @ Universities”Istanbul, May 16 to 18, 2012 Albert Long Hall, BOGAZICI UNIVERSITY Thank you for your attention!Tamas BeneUniversity of Debrecentbene@unideb.huhttp://detti.unideb.hu Tamas Bene, IP manager University of Debrecen IP Policy for Universities