Intellectual Property Policy

1. Purpose

1.1 The Intellectual Property Policy (the policy) outlines UTS’s position on intellectual property ownership and the rights and responsibilities of the university, its staff, its students and affiliates in relation to the creation and management of intellectual property.

1.2 The policy is supported by the Research Intellectual Property Procedure and the Teaching and Learning Intellectual Property Procedure.

2. Scope

2.1 This policy applies to staff, students and affiliates.

2.2 This policy does not apply to:

intellectual property created while undertaking any outside work (refer Outside Work Policy)
certain commercial activities that are subject to separate written intellectual property arrangements approved by the relevant delegate in line with the Commercial Activities Policy.

3. Principles

3.1 UTS owns and manages intellectual property in order to encourage and facilitate its use for the benefit of the university and society. UTS may invest in, and actively pursue the registration of, its intellectual property and may enter into commercial agreements, including licences and assignments, that authorise others to use that intellectual property.

3.2 UTS encourages broad dissemination of its intellectual property through the UTS digital repository, publication and teaching. Exceptions to this principle are outlined in this policy.

3.3 UTS supports the National Principles of Intellectual Property Management for Publicly Funded Research and the Australian Technology Network of Universities’ intellectual property principles (available at About ATN).

3.4 UTS is sector leading in its approach to acknowledging and managing traditional knowledge of Indigenous people. In line with the Indigenous Policy, UTS actively consults on matters involving traditional knowledge. UTS acknowledges that the intellectual and cultural property rights of Aboriginal and Torres Strait Islander peoples or Indigenous peoples should be respected and preserved.

4. Policy statements

Intellectual property created by staff

4.1 UTS owns all intellectual property created or generated by staff in the course of, or in connection with, their employment with the university. This enables UTS to:

ensure greater connections and reach for its research in line with the UTS 2027 strategy
support the principles outlined in the Open Access Policy, and
enable the ongoing development of teaching materials to meet the university’s evolving educational needs.

4.2 Staff must manage and report on intellectual property created during their employment with UTS in line with this policy, its procedures and any associated guidelines.

4.3 Research and scholarly works will be collected and stored in the UTS digital repository in line with the Open Access Policy. As part of UTS’s commitment to supporting the principles of an international open access community, UTS waives ownership of the copyright for scholarly works authored by a staff member (‘author’ for the remainder of this statement), subject to the following limitations:

this waiving of copyright ownership by UTS does not grant the right to disclose confidential information, or to publish the manuscript or scholarly work in contravention of a prior agreement between the university and a third party
this waiving of copyright ownership by UTS does not grant any author the right to disclose any details of intellectual property that may be the subject of any existing or potential application for registration of that intellectual property, such as an invention
the author must provide to the university a copy of the scholarly work in a timely manner in accordance with the requirements detailed in relevant university’s procedures, and
this waiving of copyright ownership by UTS is subject to a perpetual, irrevocable, royalty-free, non-exclusive licence in favour of the university to use that scholarly work for education and research purposes and to make the scholarly work available through an institutional repository.

Intellectual property created by students

4.4 Normally, UTS students own the intellectual property they create through their studies, coursework and research at UTS. Exceptions to this include where the intellectual property is:

created by the student as part of their responsibilities as an employee of the university
a scholarly work of joint authorship by one or more students and one or more staff or affiliates in which case the provisions of statement 4.3 of this policy will apply, or
assigned to the university by the student under an agreement or contract.

4.5 UTS students always own the copyright in their graduate research thesis.

4.6 In accordance with Rule 3.9, Student Rules, as a condition of candidature, UTS has specific rights to the work of students that endure even while the student owns the intellectual property.

Intellectual property created by affiliates

4.7 UTS expects to own all intellectual property created or generated by affiliates in the course of, or in connection with, their services or contract with the university and any contracts or agreements must reflect this expectation. Any exceptions or alternate arrangements in relation to intellectual property created by affiliates must be explicitly set out in writing and approved by the relevant delegate (refer UTS Delegations).

Commissioned works

4.8 UTS expects to own all its commissioned works and all intellectual property and other rights in its commissioned works. Any contracts, agreements or instructions must reflect this expectation. Any exceptions or alternate arrangements in relation to a particular commissioned work must be explicitly set out in writing and approved by the relevant delegate (refer Delegations).

Course and educational material

4.9 In line with statement 4.1, UTS owns the intellectual property (and other rights) for all course and educational materials that staff create as part of their employment. This allows the university the necessary access to further develop, update or adapt these materials to suit different educational or delivery needs.

4.10 UTS does, however, grant staff who create course and educational material full access (via a free, perpetual and irrevocable licence) to use their own teaching and educational material for their own academic use.

4.11 Staff and affiliates who create course and education material must provide these to the university in accordance with the guidelines issued by the UTS Library for depositing a copy in the university’s digital repository (refer UTS Library: Publishing services).

4.12 To enable the ongoing development of teaching and research by the university, staff who are authors of any course and educational material will be required to consent to waive their moral rights in that course and educational material when depositing a copy in the university’s digital repository.

Management of intellectual property at UTS

4.13 UTS has processes and systems for the management of its intellectual property in order to facilitate its potential use, connectedness and overall impact. UTS relies on staff and students complying with this policy to ensure appropriate management of its intellectual property.

4.14 UTS will evaluate, determine and pursue the broadest range of options in the management of university-owned intellectual property. This may require limiting disclosure of confidential information and deferring publication of research outcomes and the preparation and filing of applications to register intellectual property rights.

4.15 Creators of university-owned intellectual property have an enduring obligation to assist the university in managing intellectual property right registration including, but not limited to, signing documents enabling UTS to pursue any application or maintain a patent registration.

Reporting of research-generated intellectual property

4.16 Creators of UTS owned intellectual property resulting from research activities must report the details of that intellectual property in a timely manner before the disclosure of any intellectual property to a third party in line with the Research Intellectual Property Procedure.

Intellectual property and Indigenous knowledge

4.17 The Indigenous Policy outlines the university’s commitment to the UN Declaration of the Rights of Indigenous People. Creation of intellectual property that involves the traditional interests or property of Indigenous peoples and/or the use of traditional knowledge must be managed in line with these principles.

4.18 The Deputy Vice-Chancellor (Research), the Deputy Vice-Chancellor (Education and Students) and the Pro Vice-Chancellor (Indigenous Leadership and Engagement) will work with relevant Indigenous groups (where possible and reasonable and before any undertakings) to ensure rights to traditional knowledge conforms with the UN Declaration and the Indigenous Policy.

Distribution of financial benefit

4.19 Any financial benefit that UTS may receive as a consequence of the university’s ownership and management of its course and educational material will be solely for the benefit of the university.

4.20 Financial benefit from the management of specific university-owned intellectual property resulting from research will be used as follows:

First, UTS will seek to recover all costs incurred by the university in relation to the management of that intellectual property.
Second, where the costs incurred by UTS in managing the intellectual property are fully recovered, the net financial benefit will be shared in line with the provisions outlined in the Research Intellectual Property Procedure.

Complaints

4.21 Where complaints or disputes arise in relation to the management of intellectual property under this policy, staff, students or affiliates may make their complaint in writing as soon as possible (normally within 14 days of the dispute occuring) to the:

Director, Research Office in relation to research-generated intellectual property created by staff and affiliates
Dean, Graduate Research School in relation to graduate research related intellectual property
Pro Vice-Chancellor (Education) in relation to teaching and learning intellectual property, or
relevant director or equivalent of the unit responsible for any activities that are not research or teaching and learning.

4.22 Disputes or complaints in relation to the operation of this policy should be resolved in line with the Staff Complaints Policy or the Student Complaints Policy as appropriate.

Exceptions

4.23 Exceptions to this policy may be requested where appropriate justification can be made. Requests for exceptions must be made in writing to the relevant delegate (refer Delegations and below). Approvals must be documented in a written contract or agreement. Exceptions must be approved by the:

Director, Research Office for research matters
Pro Vice-Chancellor (Education) for teaching and learning and student matters
Chief Operating Officer for employment matters
Deputy Vice-Chancellor (External Engagement and Partnerships) for UTS Startups, and
Dean, Graduate Research School for graduate research related matters.

4.24 Breaches of this policy will be managed in line with the applicable Enterprise agreements and/or the Code of Conduct or section 16, Student Rules as appropriate.

5. Roles and responsibilities

5.1 Policy owner:

The Deputy Vice-Chancellor (Research), Deputy Vice-Chancellor (Education and Students) and the Chief Operating Officer are jointly responsible for enforcement and compliance of this policy, ensuring that its principles and statements are observed.

The Deputy Vice-Chancellor (Research) has specific responsibility for:

research and research-generated intellectual property (including graduate research) in line with this policy and the Research Policy
the approval of the Research Intellectual Property Procedure, and
issues relating to open access in line with the Open Access Policy.

The Deputy Vice-Chancellor (Education and Students) has specific responsibility for:

intellectual property developed as part of course and educational material in line with the Award Course Approval Policy and the Award Course Approval and Publication Procedure, and
the approval of the Teaching and Learning Intellectual Property Procedure.

The Chief Operating Officer has particular responsiblility for staffing, employment contracts and appointments.

Deans and other members of the University Leadership Team are responsible for managing the provisions of this policy in their specific areas of responsibility.

5.2 Policy contact:

The Director, Research Office is the primary point of contact for advice on implementing and administering issues in relation to research-generated intellectual property.

The Pro Vice-Chancellor (Education) is the primary point of contact for advice on implementing and administering issues in relation to teaching and learning generated intellectual property.

The University Librarian is the primary point of contact for advice on open access.

The Dean, Graduate Research School is the primary point of contact for advice on graduate research students’ intellectual property.

6. Definitions

The following definitions apply for this policy and all associated procedures. Definitions in the singular include the plural meaning of the word.

Affiliate is defined in the Code of Conduct. For the purposes of this policy, and to remove all doubt, includes consultants and other people generating intellectual property in collaboration with UTS staff or students, or otherwise engaged by the university to undertake a specific activity, anyone conducting or managing research or creating new knowledge or new works including coursework or teaching materials for or in association with the university, including all within scope of the Research Policy and to other people by agreement. The provisions outlined in the Code of Conduct apply to affiliates.

Commissioned work means a specific work that UTS has directed or requested a staff member, affiliate or third party to create by means of a contract, agreement or arrangement approved by the relevant delegate responsible for the activity. Commissioned works include rany work (written or otherwise) created where the staff member or affiliate is remunerated over and above their usual salary. It also means specific work the university has contracted a third party to produce by means of an agreement in line with the Procurement Policy.

Course and educational material includes, but is not limited to:

materials used in, or in connection with, the provision of lectures, tutorials, seminars, workshops, field or laboratory classes, assessments, practicum and other teaching activities conducted by the university
presentations, overhead transparencies, slides, photographs, maps, diagrams, books and handbooks, manuals, teaching aids, course outlines, exercises, computer code, computer programs and multimedia works and online courses that serve a teaching or assessment function, and
all subject and course design and all related documentation.

Creator means a staff, an affiliate and, where relevant, a student responsible for the creation, authorship or originators of university-owned intellectual property.

Financial benefit means income received by UTS in relation to the management of its intellectual property. This includes, but is not limited to, royalties, licence fees, milestone and lump sum payments and proceeds from the sale of shares. Financial benefit excludes income received by the university for the purpose of conducting research on or in relation to its intellectual property.

Intellectual property (also IP) means any proprietary right that arises under, or is capable of being obtained under, legislation relating to copyright, patents, designs, trademarks, circuit layouts or plant varieties; and any common law intellectual property, including know-how, trade secrets and confidential information.

Intellectual property statutory rights are protected by Australian laws::

These laws, together with other legislation, international treaties and conventions including as defined in Article 2 of the World Intellectual Property Organization Convention of July 1967, protect intellectual property statutory rights.

Management (or manage) for the purposes of this policy means all rights to use or apply intellectual property, including, but not limited to the right:

to disclose intellectual property to any party
to apply for, prosecute, or terminate any registration, such as a patent, in any jurisdiction
to license intellectual property
to assign ownership of intellectual property to another party, and
not to perform any action in relation to specific intellectual property.

Moral right has the meaning given in the Copyright Act 1968 (Cwlth) and includes the right of attribution, the right against false attribution and the right of integrity.

Net financial benefit means the financial benefit less any costs paid or payable by UTS to a third party in relation to the management of the specific intellectual property. Those costs include, but are not limited to: costs incurred in seeking, obtaining and maintaining any registration for some or all of the specific intellectual property, especially patent application fees; patent attorney fees; proof of concept funding; other legal and financial advice and services; business establishment or registration costs; any filing costs for related intellectual property; design, prototype and testing; travel and accommodation; and marketing.

Scholarly work means an original work in any format that is protected as copyright material and intended for academic publication. Examples of scholarly works include journal articles, books, book chapters and presentations for an academic or professional audience.

Staff (also staff member) is defined in the Code of Conduct. For the purposes of this policy also includes other appointees, whether paid or not, conjoint, adjunct and visiting appointees.

Approval information

Policy contacts	Deputy Vice-Chancellor (Research) Deputy Vice-Chancellor (Education and Students)
Approval authority	Academic Board
Review date	2023
File number	UR20/1058
Superseded documents	Intellectual Property Policy 2014 (UR06/482)

Version history

Version	Approved by	Approval date	Effective date	Sections modified
1.0	Academic Board (AB/20-2/31)	27/05/2020	01/07/2020	New policy.
1.1	Deputy Director, Corporate Governance (Delegation 3.14.2)	22/02/2022	22/02/2022	Minor change to reflect portfolio realignment under Fit for 2027 project.
1.2	Deputy Director, Corporate Governance (Delegation 3.14.2)	19/09/2024	23/09/2024	Update to reflect new title of Deputy Vice-Chancellor (External Engagement and Partnerships).