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14 In Higher Education A Guide to Strategic Decision-Making in Universities Int

14 In Higher Education A Guide to Strategic Decision-Making in Universities Intellectual MANAGINGProperty Intellectual MANAGINGProperty A Guide to Strategic Decision-Making in Universities The Guide The Guide 15 Intellectual Property Contents 1 Why is IP management important? 16 1.1 The benefits 19 1.2 The need for strategic management 21 1.3 Strategic checklist 29 2 Financial expectations and budget management 34 2.1 Risk and returns 35 2.2 Handling uncertainty over expected costs and returns 36 2.3 What are realistic expectations? 37 2.4 Setting Budgets 39 3 Ownership of IP and negotiations with sponsors 44 3.1 Ownership and control 45 3.2 Negotiating with research sponsors 49 4 Incentives 60 4.1 To whom should incentives apply? 61 4.2 How should incentives be applied? 65 4.3 Relationship to other university policies 69 5 IP management functions 70 5.1 The responsibilities of the IP management office 71 5.2 The IP office: location and structure 73 5.3 The relationship between the IP office and other departments and research groups 76 5.4 Should notification of inventions be compulsory? 76 5.5 Some complexities in IP management 77 6 Implementation: working with others 82 6.1 Collaboration between universities to manage IP 83 6.2 Working with other external organisations 89 7 Monitoring and Evaluation 94 7.1 The monitoring and evaluation framework 95 7.2 Interpreting performance indicators and the impact of uncertainty of time horizons 96 7.3 Using input measures and ratios 97 7.4 Measures of internal process performance in IP management 98 7.5 Selecting suitable performance indicators 99 Annex A: Provenance of the Guide i Annex B: Glossary iv Annex C: AUTM performance measures v 1. Why is IP management important? 1 Why is IP management important? 16 1.1 The benefits 19 1.1.1 Effective knowledge transfer 19 1.1.2 Using others’ IP 19 1.1.3 Income 20 1.1.4 Staff recruitment and retention 20 1.1.5 Other benefits 21 1.2 The need for strategic management 21 1.2.1 IP issues are pervasive 21 1.2.2 IP management and other means of knowledge transfer 24 1.2.3 Key policy overlaps 24 1.2.4 Preservation of missions 25 1.2.5 Conflicts of interest 27 1.3 Strategic checklist 29 16 In Higher Education 17 Intellectual Property Intellectual Property, often known as IP , allows people to own their creativity and innovation in the same way that they can own physical property. The owner of IP can control and be rewarded for its use, and this encourages further innovation and creativity to the benefit of us all. In some cases IP gives rise to protection for ideas but in other areas there will have to be more elaboration of an idea before protection can arise. It will often not be possible to protect IP and gain IP rights (or IPRs) unless they have been applied for and granted, but some IP protection such as copyright arises automatically, without any registration, as soon as there is a record in some form of what has been created. The four main types of IP are: • patents for inventions - new and improved products and processes that are capable of industrial application • trade marks for brand identity - of goods and services allowing distinctions to be made between different traders • designs for product appearance - of the whole or a part of a product resulting from the features of, the lines, contours, colours, shape, texture and/or materials of the product itself and/or its ornamentation • copyright for material - literary and artistic material, music, films, sound recordings and broadcasts, including software and multimedia However, IP is much broader than this extending to confidentiality (or trade secrets), plant varieties, performers rights and so on. What is IP? 1. Why is IP management important? 18 In Higher Education IP management is of strategic importance for two sets of reasons: • universities can derive significant benefits from an effectively managed IP portfolio • effective management requires IP policies and activities which need to relate to many other university policies. 1. Why is IP management important? ACTIVITY Using others’ research papers, publications, etc ✓ ✓ Research information Preparing and collating research or experimental results ✓ ✓ Publishing or presenting research, academic or technical papers ✓ ✓ ✓ ✓ Industrial design projects ✓ ✓ ✓ ✓ Contract research ✓ ✓ ✓ ✓ Consultancy projects ✓ ✓ ✓ ✓ ✓ Starting discussions on a collaborative project or contract research ✓ ✓ Receiving important confidential information ✓ Giving out confidential information ✓ ✓ Using computer software ✓ ✓ ✓ Developing computer software ✓ ✓ ✓ ✓ Revising or providing a manual or computer assisted drawings ✓ ✓ ✓ Preparing notes for lectures ✓ ✓ Responding to telephone queries of a technical nature ✓ Reproduced from Theros IP guide (www.Theros.co.uk) Patents Confidential information Copyright Design rights Trade Marks Figure 1.1: IP and University activities 19 Intellectual Property 1.1 The benefits The size, and nature, of benefits will depend on the size of the IP portfolio and the missions and strategies of individual universities. All universities, however, employ (and train) substantial numbers of staff and students who generate IP in the course of their day-to- day activities, and there are a number of potential benefits which apply across the board. 1.1.1 Effective knowledge transfer IP management is an essential part of effective knowledge transfer Universities are expected to engage in a diverse range of activities in return for the public funding they receive, and one of these is the generation and transfer of knowledge. This is reflected in mission statements, which typically encompass the development and transfer of knowledge for social, quality of life and wealth generation purposes. In many cases, open publication and making research results freely available will be the most effective form of knowledge transfer. But most research outputs require substantial investment before they can be brought to market and find applications. Competitive advantage derives from many factors, depending on the nature of the market and technology, but protection of the underlying research results can be important. The issue is not simply one of protection in order to encourage commercial investment. University researchers require continuing access to the results of their research for use in future projects and teaching. Effective IP management is required to ensure that this is the case. The university may also wish to draw on the results for commercial purposes in the future. Negotiations and agreements therefore need to be structured so that future needs of the university can be accommodated. Protecting research results and their publication are not, of course, mutually exclusive. It will be necessary only to delay publication for a short period while patents are filed. 1.1.2 Using others’ IP Universities have considerable latitude to use others’ IP freely, but if their research is used for commercial purposes they need to be on their guard against the possibility of infringement Researchers are generally able to use IP owned by others without a licence, provided it is used privately and for purposes that are not commercial, or it is used for experimental purposes relating to the subject matter of the invention. However, if research activity 1. Why is IP management important? 20 In Higher Education crosses over into commercial work and, for example, a university assigns to a company IP rights arising from the research programme, there could be an infringement. Considerations of a similar nature arise in relation to copyright and the use of published materials for teaching purposes (particularly e-learning). Part of the IP management function is to ensure that there is clarity amongst researchers as to the legal position and to guard against any such infringements. 1.1.3 Income There is undoubted potential for universities to generate surpluses from the IP management function, although there is a need for realism over the scale of returns. Effective IP management can also attract research sponsors Commercialisation of IP can generate income for the university. One way is directly through the sale or licensing of IP . While there has, historically, been a tendency to over-estimate the revenue potential of IP generated within the HE sector, there can be little doubt that real potential does exist. This potential is unlikely to be realised if universities adopt a passive stance towards exploitation. Instead, there is a need to identify exploitable IP , decide how it can best be protected, evaluate its commercial potential, identify routes to commercial development, and secure and negotiate with appropriate partners. The issues surrounding financial returns from the commercialisation of IP are discussed in more detail in Chapter 2. The strength of a university’s IP portfolio, and how well it is managed, may also be a factor in attracting research sponsorship. Sponsors may be interested in accessing the IP within the portfolio. In addition, if the university is seen to a be a competent IP manager, then this will give confidence to the sponsor that effective partnerships can be established to take forward the commercialisation of results. 1.1.4 Staff recruitment and retention The quality of IP management will influence the financial benefits that staff receive for commercially related work and can therefore strengthen uploads/Management/ strategic-guide.pdf