THE UNIVERSITY OF CALIFORNIA’S
RELATIONSHIPS WITH INDUSTRY
IN RESEARCH AND TECHNOLOGY TRANSFER

February 2000 Progress Report on
Priority Action Items Arising from the 1997 President’s Retreat

  

  1. Policy structure for managing intellectual property rights granted to University research partners

    University campuses and Laboratories are increasingly called upon to enter into new and complex research relationships with industry in support of the University’s research, education, and public service missions. In response to these evolving relationships, on August 26, 1999 President Atkinson issued Principles Regarding Rights to Future Research Results in University Agreements with External Parties (see excerpt, below). The Policy delineates University principles regarding rights and obligations concerning research results arising from the full range of UC research-related relationships with external parties. It was developed in response to recommendations made by administrators, faculty and industry representatives who attended the President's Retreat in 1997. The policy was originally formulated by a systemwide Technology Transfer Advisory Committee (TTAC) working group that included representatives of Business and Finance and Academic Affairs in the Office of the President, and the Academic Senate. In addition to extensive campus, Laboratory and Senate review and input, the policy underwent review by the Council on Research, the Council of Vice Chancellors for Research, and the full TTAC.

    The Principles Policy provides direction for the growing number of faculty and administrators involved in new forms of research relationships with industry and other extramural parties. It offers a basic framework that enables the University to maintain appropriate consistency in managing research results across the campuses and Laboratories while providing for greater flexibility in the local administration of agreements. In addition, the principles provide University negotiators with a basis to support positions taken during often challenging contract negotiations. Guidance is being developed to support the systemwide implementation of the Policy.

     

 

Excerpts from the Policy:

Principles Regarding Rights to Future Research Results

In University Agreements with External Parties

Preamble--This policy defines the core principles to be addressed in University agreements with external parties as to rights to future research results including patents, copyrights, tangible property, and data generated by the University community or through the use of University resources…

Principles…

1. Open Dissemination of Research Results and Information

Agreements with external parties shall not abridge the ability of University researchers to disseminate their research methods and results in a timely manner. The most fundamental tenet of the University is the freedom to interpret and publish or otherwise disseminate research results in order to support the transfer of knowledge to others and maintain an open academic environment that fosters intellectual creativity.

2. Commitment to Students

Agreements for research relationships with external parties shall respect the University's primary commitment to the education of its students.

3. Accessibility for Research Purposes

Agreements with external parties shall ensure the ability of University researchers to utilize the results of their research to perform future research.

4. Public Benefit

Agreements with external parties shall support the ability of the University to make available for the public benefit in a diligent and timely manner any resulting innovations and works of authorship.

5. Informed Participation

All individuals involved in research governed by a University agreement with an external party shall have the right and responsibility to understand the rights and obligations related to future research results embodied within the agreement.

6. Legal Integrity and Consistency

Commitments concerning future research results made in agreements with external parties shall be consistent with all applicable laws and regulations and the University's contractual obligations to others.

7. Fair Consideration for University Research Results

Agreements with external parties shall provide fair consideration to the University and the general public for granting commercial access to future University research results.

8. Objective Decision-Making

When establishing or conducting University relationships with external parties, decisions made about rights to future research results shall be based upon legitimate institutional academic and business considerations and not upon matters related to the personal financial gain of any individual.

Applicability

These principles shall apply to all University agreements with external parties that impact rights to University research results whether such agreements are administratively managed as contracts and grants, as procurements, as sales and services contracts, or as other forms of agreement.

3. University policy guidance on what is an appropriate academic enterprise

4. University/Industry Visitor Exchanges

5. Engineering Initiatives

6. Campus and Faculty-Centered Licensing Programs

7. Organization, staffing and accountability for research interactions with industry

9. President’s Industry-University Cooperative Research Program (IUCRP)

10. California Institutes for Science and Innovation

12. UCSD Joint Senate-Administration Committee on University Interaction with Industry.

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