Research Administration Office

University of California

Memo Operating Requirement

No. 86-7

Supplement No. 1

May 4, 1988

Subject: World Health Organization General Award Conditions

This memo updates and supplements operating requirements for dealing with award conditions attached to WHO awards. Current requirements are contained in C& G Memo 86-7, dated April 6, 1986.

PATENT RIGHTS AND PUBLICATION

Negotiations concerning Clause 6 of WHO's Technical Services Agreement, "Use of Results, Exploitation of Rights, and Publication", have been successfully concluded. WHO and the University have agreed to replace Clause 6 with language in Enclosure 1 to this C& G Memo. Accordingly, Contracts and Grants-Officers should line out the clause and note in the margin next to Clause 6, "As amended by agreement between WHO and the University dated May 4, 1988".

HUMAN SUBJECTS

The guidance offered in C& G Memo 86-7 with respect to Clause 7 of the WHO Technical Services Agreement remains in effect. Accordingly, C& G Officers should line out the first two sentences of paragraph 7.3 and note in the margin, "As amended by agreement between WHO and the University dated October 30, 1985".

SAMPLE NOTATIONS

Enclosure 2 shows how the Clauses 6 and 7 should be altered before accepting WHO awards containing these clauses.

Refer: Bill Sellers

ATSS 8-582-3045

(415) 642-3045

Subject Index: 11, 18

Organization Index: X-950

David F. Mears

University Contracts and Grants Coordinator

Enclosures

cc: Laboratory Contracts & Grants Officers


Enclosure 1 to

C& G Memo 86-7, Suppl. 1

May 4, 1988

6. USE OF RESULTS, EXPLOITATION OF RIGHTS, AND PUBLICATION

6.1 The results of the project funded under this Agreement shall be provided by the Institution to WHO in the form of all relevant information and, to the extent feasible, tangible products. There shall be no restriction on the use of those results for the purpose of promoting progress in science and technology. In the case of results that may be capable of industrial or commercial exploitation, confidentiality shall be maintained for a reasonable period of time to enable patent rights to be safeguarded or to allow alternative forms of legal protection to be explored. Unless both parties agree that confidentiality beyond that period is necessary in order to promote a public benefit, neither party shall be bound by any obligation to keep the results confidential.

6.2 The industrial or commercial exploitation of the results shall be designed to achieve, insofar as circumstances permit, the following objectives in the following order of priority:

the general availability of the products of creative activity; the availability of those products to the public health sector on preferential terms, particularly in developing countries; the grant to each party of additional benefits, including royalties.

6.3 All patent and similar rights in inventions shall belong to the Institution, or to the inventor(s) if the Institution so agrees and the inventor(s) agree to be bound by this general condition 6. To the extent that the Institution and inventor(s) are legally entitled to assign those rights to WHO and do not intend to exercise them, the rights shall be promptly transferred to WHO if it so requests. Under United States Public Law 98-620, WHO understands that the University is obligated to disclose to the U.S. Government every invention which was in part conceived or reduced to practice under its funding. The University has the right to retain title to such invention, but such right carries with it the obligation to file a patent application thereon. Failure to file requires assignment of the invention to the U.S. Government.

6.4 Each party shall provide the other with its full cooperation to permit the effective exercise of rights with a view to the attainment of the objectives set out under 6.2 above. It shall promptly furnish information concerning the progress of patent or similar applications filed by it, including copies of related material, as well as information concerning any commercial arrangement involving the results or rights arising out of the project funded under this Agreement. The Institution shall ensure, insofar as circumstances permit, that such commercial arrangement meets the objectives of paragraph 2 above, as provided therein. If such arrangement for the exploitation of results or rights makes reasonable provision for benefits to the public health sector, where possible in the form of preferential terms (paragraph 6.2b above), WHO shall waive its right to share in any additional benefits, including royalties.

6.5 In any publication by the Institution or the Principal Investigator relating to the results of the project, the responsibility for the direction of the work shall not be ascribed to WHO. Unless WHO advises otherwise, all publications shall include a notice indicating that the underlying investigation received financial support from WHO. Two off-prints or copies shall be sent to WHO unless another number is stipulated. WHO funds may not be-used for publication costs unless specifically authorized.