unisa draft ip policy version 1
TRANSCRIPT
INTELLECTUAL PROPERTY POLICY
(DRAFT FOR DISCUSSION PURPOSES)
TABLE OF CONTENTS
1. TITLE 1
2. BACKGROUND 1
3. SUMMARY OF THE POLICY 1
4. IP STRATEGY ALIGNMENT 1
4.1. Alignment of IP Strategy with UNISA Objectives 14.2. Alignment of IP Strategy with Applicable Legislation, Government Initiatives and Policies 2
5. OBJECTIVES OF THE POLICY 2
5.1. The objectives of UNISA in establishing this Policy are the following: 2
6. SCOPE OF THE POLICY 3
6.1. Persons Affected 36.2. Activities and Property Impacted by Policy 46.3. Declaration 4
7. DEFINITIONS OF WORDS AND EXPRESSIONS USED IN THE POLICY 5
7.1. Usual Meaning 57.2. Other UNISA Documents 57.3. Specific Definitions 5
8. CREATION AND OWNERSHIP OF INTELLECTUAL PROPERTY 10
8.1. UNISA Employees, Students and Researchers 108.2. Collaborators 118.3. Contract Research 118.4. Exceptions 12
9. IP MANAGEMENT 12
9.1. Corporate Structures 129.2. Functions of the Technology Transfer Office and IP Steering Committee 13
10. USE OF INTELLECTUAL PROPERTY 19
10.1. Use of Intellectual Property by Employees, Students and Researchers 1910.2. Respect for Intellectual Property 2110.3. Termination of Engagement and Surrender of UNISA Intellectual Property 22
11. PROTECTING CONFIDENTIAL INFORMATION / KNOW-HOW
11.1. Publication11.2. Duty to take Special Care11.3. Sources of Additional Information11.4. Labelling of Information11.5. Third Parties and the Need To Know11.6. Non-Disclosure Agreements11.7. Disclosing Information Belonging to Third Parties11.8. Third-Party Requests for UNISA Information11.9. Recovery or Destruction11.10. Reporting Improper Disclosures
12. SERVICE PROVIDERS AND CONSULTANTS
12.1. Ownership12.2. Moral Rights12.3. Undertaking to Sign All Documents12.4. Authorised Use12.5. Consequences of Termination12.6. Licences
13. RESERVED RIGHTS
13.1. Privileges and Entitlements
14. COMMERCIALISATION OF UNISA’S INTELLECTUAL PROPERTY
14.1. Commercialisation Strategy14.2. Financial Returns from Commercialisation14.3. Commercialisation Preferences14.4. Decision Making14.5. Involvement in Technology Transfer14.6. Involvement in Spin-Off, Subsidiary or Emerging Company
15. BENEFIT SHARING
15.1. Beneficiaries15.2. Income Allocation15.3. Formula of Income Allocation
16. INFRINGEMENT OF UNISA’S INTELLECTUAL PROPERTY
16.1. Responsibility of Employees, Students and Researchers16.2. Steps to be Taken
17. SANCTIONS FOR VIOLATING THE POLICY
17.1. Employees, Students and Researchers
18. REQUESTS FOR EXCEPTIONS FROM POLICY
19. MONITORING AND ADMINISTRATION OF THE POLICY
19.1. Accountability19.2. Questions comments and suggestions19.3. Interpretation and Disputes
20. GENERAL PROVISIONS OF THE POLICY
20.1. Amendment or Cancellation of the Policy20.2. Number and Gender20.3. Other Applicable Policies20.4. Other Applicable Laws
21. EFFECTIVE DATE OF THE POLICY
22. TERM OF THE POLICY
11. TITLE
The full title of this Policy shall be "UNISA INTELLECTUAL PROPERTY POLICY"
(hereinafter referred to as the “Policy”).
12. BACKGROUND
UNISA acknowledges the need to stimulate innovation and harness the outcomes of
original research and other intellectual activities undertaken by Employees, Students
and Researchers of UNISA, as well as Collaborators of, and Service Providers to,
UNISA.
In terms of the Intellectual Property Rights from Publicly Funded Research and
Development Act 51 of 2008 (the “Act”), UNISA will retain ownership of all IP generated
through publicly financed research and development, and is obliged to manage and
commercialise its IP in accordance with sound business principles, to maximise its
value and benefit in the best possible interest of the nation.
In pursuit of these objectives, UNISA hereby adopts the following policy on all matters
relating to the management of Intellectual Property.
13. SUMMARY OF THE POLICY
This Policy regulates the creation, exploitation, use, protection, commercialisation and
management of Intellectual Property belonging to UNISA.
14. IP STRATEGY ALIGNMENT
14.1. Alignment of IP Strategy with UNISA Objectives
1
The Policy is underpinned by a proper alignment between the holistic
UNISA IP Strategy and the UNISA core objectives. When IP issues come
to the fore, cognisance shall be taken of the relative importance and value
of the particular IP measured against the backdrop of UNISA’s academic
environment and public objectives.
14.2. Alignment of IP Strategy with Applicable Legislation, Government Initiatives
and Policies
The holistic intellectual property strategy summarized in the Policy shall not
be in conflict with government initiatives, legislation or policies dealing with
the same subject matter. The Policy shall be reviewed from time to time
to ensure that it remains in harmony with applicable legislation, as well as
government initiatives, frameworks and policies.
15. OBJECTIVES OF THE POLICY
15.1. The objectives of UNISA in establishing this Policy are the following:
15.1.1. to lay down a regulatory framework regarding the creation, use,
protection, commercialisation and management of UNISA’s
Intellectual Property;
15.1.2. to ensure that individual and group behaviour is consistent with
UNISA’s expectations and with the requirements of any
applicable legislation and regulations;
15.1.3. to promote awareness of Intellectual Property and commercialisation
of Intellectual Property, so that research outcomes are harnessed
in a manner consistent with its mission to be an innovation
forerunner;
15.1.4. to provide, encourage and maintain within UNISA an environment
2
which demonstrates respect for the Intellectual Property rights of
UNISA and of third parties;
15.1.5. to encourage positive participation by those affected by this Policy
during the planning, design and execution of UNISA’s operating
procedures; and
15.1.6. to provide those who are affected by this Policy with the means and
tools to fulfil their obligaitons, to perform their activities and to
assume their responsibilities in a fully effective manner.
16. SCOPE OF THE POLICY
16.1. Persons Affected
This Policy shall apply to:
16.1.1. any Employee of UNISA, including:
16.1.1.1. any Employee working (on the premises of a client of
UNISA or) at any location other than where UNISA
carries on its primary operations;
16.1.1.2. any Employee who creates or uses UNISA’s Intellectual
Property in the course of a contract, an exchange of
services, a mandate, a training period, a cooperative
undertaking or otherwise.
16.1.2. any Student or Researcher, such as an under-grad student, graduate
student, post-doctoral fellow, visiting scientist or other person
participating in research sponsored or hosted by UNISA, or
making significant use of the UNISA Equipment, facilities, funds,
or other resources.
3
16.1.3. any Service Provider and/or Consultant that creates Intellectual
Property in the course of rendering services to UNISA; and;
16.1.4. any Employee, Student, Researcher, Service Provider or Consultant
that deals in any way with UNISA’s Intellectual Property.
16.2. Activities and Property Impacted by Policy
This Policy shall also apply to:
16.2.1. the colleges, schools, departments, administrative units and
campuses of UNISA;
16.2.2. All services rendered to UNISA by its various Service Providers and
Consultants;
16.2.3. The operations and activities of Service Providers/Consultants that
develop Intellectual Property in the course of rendering services
to UNISA;
16.2.4. the systems, equipment and resources of UNISA.
16.3. Declaration
16.3.1. On taking up employment with UNISA, Employees will acknowledge
that they have read and are aware of the terms of this Policy and
agree to be bound by the terms and conditions of this Policy.
16.3.2. On engaging with UNISA, all Service Providers, Contractors and will
acknowledge that they have read and are aware of the terms of
this Policy and agree to be bound by the terms and conditions of
this Policy.
16.3.3. On enrolling with UNISA, all Students will acknowledge that they have
read and are aware of the terms of this Policy and agree to be
bound by the terms and conditions of this Policy.
4
16.3.4. On commencing research involving UNISA in any way, all
Researchers will acknowledge that they have read and are aware
of the terms of this Policy and agree to be bound by the terms
and conditions of this Policy.
17. DEFINITIONS OF WORDS AND EXPRESSIONS USED IN THE POLICY
17.1. Usual Meaning
Words and expressions used in this Policy shall generally keep their usual
dictionary definition.
17.2. Other UNISA Documents
Any words and expressions used in this Policy, which are defined in other
UNISA documents (e.g.: other policies, vocabulary, guidelines, standards,
methods, etc.), shall be ascribed the definitions set out therein.
17.3. Specific Definitions
For purposes of this Policy and unless the context obviously indicates
another meaning, the following words and expressions shall have the
following meaning:
17.3.1. “Act” shall mean the Intellectual Property Rights from Publicly
Financed Research and Development Act 51 of 2008 and the
associated regulations;
17.3.2. “Collaborator" shall mean a person or organisation engaged to
undertake work for or with UNISA under a joint research or
collaboration agreement;
17.3.3. "Confidential information" shall mean shall mean all tangible and
intangible information, in any format or material embodiment
5
and whether proprietary or not, which UNISA has an interest
in keeping confidential and which by its nature is or ought to
be reasonably identifiable as confidential, whether in writing or
in electronic form or pursuant to discussions between UNISA
and a third party, or which may be obtained by examination,
testing, visual inspection or analysis, and which includes, without
limitation:
17.3.3.1. Scientific, business or financial information, including
UNISA’s Intellectual Property and all information
embodied in reports, outcomes or findings of studies,
assessments, evaluations or analyses; and
17.3.3.2. third party information, including information received
in confidence from a third party, such as information
disclosed by a collaborative partner of UNISA or by a
Service Provider;
17.3.4. "Consultant" shall mean any natural person that provides services of
any nature to UNISA under a consultation agreement;
17.3.5. "Copyright" shall mean the right to prevent third parties from
reproducing and/or adapting any Copyrighted Work;
17.3.6. “Copyrighted Work” shall mean a work eligible for copyright, as
defined in section 2 of the Copyright Act 98 of 1978, including but
not limited to, literary and artistic works, computer programmes,
compilations, sound recordings, broadcasts and program carrying
signals;
17.3.7. "Design" shall mean the monopoly right granted for the protection
of an independently created design that is new and original and
such protection shall extend to designs dictated essentially by
aesthetic or functional considerations as well as topographies
6
of integrated circuits and integrated circuits, and the owner of
a protected design shall have the right to prevent third parties
not having the owner’s consent from making, selling, using or
importing articles bearing or embodying the design which is a
copy, or substantially a copy, of the protected design;
17.3.8. "Employee" shall mean any person employed by UNISA, whatever
his/her position in the organisation (director, manager,
professor or otherwise), and will include persons employed on a
permanent, fixed-term or part-time basis;
17.3.9. "Equipment" shall mean any amenities, office equipment, laboratory
apparatus, facilities or machinery including, without limitation,
such equipment as:
17.3.9.1. computers (including laptops);
17.3.9.2. telephones (including cellular telephones);
17.3.9.3. Personal Digital Assistants (PDAs); and
17.3.9.4. Photocopiers.
17.3.10. “Full Costs” shall mean the full costs of research and development
as defined in the Act;
17.3.11. "Intellectual Property" shall mean the result of UNISA’s creative
endeavour that is recognised and protected by law including
Patents, Designs and Know–How, but excluding Copyright and
Trade Marks;
17.3.12. “IP Steering Committee” shall mean a committee established under
section 9.1 of the Policy;
17.3.13. "Know-how" shall mean all Confidential Information of whatever
7
nature relating to UNISA and its business and/or to the Patents,
Designs, Trade Marks or Copyrighted Works or their exploitation;
17.3.14. “Line Manager" shall mean managers identified by the Technology
Transfer Office as such for the purpose of the implementation of
this Policy;
17.3.15. “NIPMO” shall mean the National Intellectual Property
Management Office established in terms of the Act;
17.3.16. "Patent" shall mean a right granted for any inventions, products
or processes in all fields of technology, provided that they are
new, involve an inventive step and are capable of industrial
applications to an inventor, for a limited period to exclude others
from making, using, importing, disposing of or offering to dispose
of the invention without the permission of the inventor and where
the subject matter of a patent is a process, to prevent third parties
not having the owner’s consent from the act of using the process,
and from the acts of using, offering to dispose of, disposing of
or importing for these purposes at least the produce obtained
directly from the process;
17.3.17. “Policy” shall mean the policy set out in this document;
17.3.18. “UNISA" shall mean the University of South Africa, a juristic
person established under the Higher Education Act 107 of 1997
(as amended) having its primary premises as Preller Street,
Muckleneuk, Pretoria;
17.3.19. “Research Entity” shall mean one of the following recognised
entities:
17.3.19.1. School of Graduate Studies;
17.3.19.2. College of Agriculture and Environmental Sciences;
8
17.3.19.3. College of Economic and Management Sciences;
17.3.19.4. College of Human Sciences;
17.3.19.5. College of Law;
17.3.19.6. College of Science, Engineering and Technology;
17.3.19.7. Inter-College Board;
17.3.19.8. Professional and Administrative Research Committee
(PARC), comprising professional and administrative
employees who have been designated to do
research;
17.3.19.9. Graduate School for Business Leadership; and
17.3.19.10. Any other entity recognised by UNISA as a research
entity;
17.3.20. “Researcher” shall mean any post-doctoral fellow, visiting scientist
or other individuals participating in research sponsored or hosted
by UNISA, or making significant use of the UNISA Equipment,
facilities, funds, or other resources;
17.3.21. "Service Provider" shall mean any third party (other than a
Consultant) that renders any services to UNISA pursuant to any
type of service provider agreement with UNISA;
17.3.22. “Student” shall mean any person enrolled to study towards a
qualification with UNISA;
17.3.23. “Technology Transfer Office” shall mean an office established under
section 9.1 of the Policy;
17.3.24. “Trade Mark" shall mean any sign, or combination of signs capable
9
of distinguishing the goods or services of one undertaking from
those of another undertaking;
17.3.25. “Vice Principal” means UNISA’s Vice Principal: Research and
Innovation.
18. CREATION AND OWNERSHIP OF INTELLECTUAL PROPERTY
18.1. UNISA Employees, Students and Researchers
18.1.1. All Intellectual Property created, designed, made, prepared,
established, modified, converted, expanded, developed,
improved, perfected or translated by:
18.1.1.1. an Employee, during the course and scope of his/her
employment with UNISA;
18.1.1.2. a Student, during the course of study towards a
qualification with UNISA; and
18.1.1.3. a Researcher, during the course and scope of research
sponsored or hosted by UNISA,
whether or not on UNISA’s premises, whether or not during
regular working hours, alone or with the cooperation of one or
more other people, shall belong to UNISA.
18.1.2. Subject to any decision to the contrary taken by the IP Steering
Committee, Employees, Students and Researchers shall retain
moral rights in their work. In all cases, Employees, Students and
Researchers must obtain consent from the Technology Transfer
Office before publishing their work as described more fully in
section 11 hereto.
10
18.2. Collaborators
18.2.1. Collaboration refers to a situation where a Collaborator for the one
part, and an Employee, Student or Researcher for the other part,
jointly contribute intellectually to the creation of the Intellectual
Property. Unless NIPMO has approved contractual provisions
to the contrary, UNISA shall ensure that the ownership of the
Intellectual Property in the resultant outputs that is co-created,
vests in UNISA.
18.2.2. All agreements for the engagement of Collaborators shall incorporate
Intellectual Property provisions setting out the ownership of
Intellectual Property. Such agreements shall not deal only with
ownership of the Intellectual Property in the resultant research
outputs, but shall also address ownership and license of any
pre-existing Intellectual Property - also known as 'background'
Intellectual Property. Employees, Students or Researchers
requiring such a contract shall inform their Line Managers who
shall be responsible for securing the appropriate contracts from
the Technology Transfer Office.
18.3. Contract Research
Contract research refers to the situation where UNISA undertakes research
for and on behalf of a third party, usually in exchange for some form of
consideration.
18.3.1. Not Full Costs
Where the Full Costs of the research are not paid by the third
party contracting UNISA to conduct research, the Intellectual
Property created in the course and scope of carrying out the
research is governed by the Act and UNISA shall be the owner of
all Intellectual Property resulting from such an engagement.
11
18.3.2. Full Costs
Where the Full Costs of the research are paid by the third party
contracting UNISA to conduct the research, the Intellectual
Property created in the course and scope of carrying out the
research will not be governed by the Act and the parties are free
to decide who shall be the owner of the Intellectual Property. In
this case, UNISA shall endeavour, but shall not be obliged, to
ensure that ownership of all Intellectual Property resulting from
such an engagement, vests in UNISA.
18.3.3. It is therefore important that Line Managers seek advice from
Technology Transfer Office on the appropriate agreements to
be concluded prior to undertaking contract research in order to
ensure that UNISA’s rights in the resultant Intellectual Property
are protected as well as to ensure that UNISA’s obligations to the
third party with which it contracts, are honoured.
18.4. Exceptions
Any request for exceptions or deviations to the above provisions relating
to ownership of Intellectual Property must be approved in writing by the IP
Steering Committee.
19. IP MANAGEMENT
19.1. Corporate Structures
19.1.1. UNISA shall establish a Technology Transfer Office and an IP
Steering Committee, whose roles shall be to consider, advise and
decide on all matters relating to the appropriate protection, use
and commercialisation of UNISA’s Intellectual Property as set out
in more detail in section 9.2 hereunder.
12
19.1.2. The Technology Transfer Office shall be an office within the
department of the Vice Principal and shall be staffed with
appropriately qualified personnel whom, when considered
collectively, have interdisciplinary knowledge, qualifications
and expertise in the identification, protection, management and
commercialisation of Intellectual Property and in Intellectual
Property transactions.
19.1.3. IP Steering Committee shall be constituted by:
19.1.3.1. the Vice Principal (Chairperson);
19.1.3.2. at least one member of the Senate Research
Committee; and
19.1.3.3. at least one member of the Senate Higher Degrees
Committee;
and shall have the right to co-opt such additional members
as can assist it in the discharge of its responsibilities. The IP
Steering Committee will report to the Vice Chancellor and
Principal.
19.2. Functions of the Technology Transfer Office and IP Steering Committee
19.2.1. The Technology Transfer Office will, in relation to the creation and
protection of IP:
19.2.1.1. Receive invention disclosure forms from Line Managers;
19.2.1.2. evaluate appropriate creations as regards to their
practical and commercial value;
19.2.1.3. conduct novelty searches to determine if any aspect
of Intellectual Property is in fact new and possibly
13
patentable;
19.2.1.4. provide advice regarding the feasibility, operational
processes and marketability of an invention or design;
19.2.1.5. advise as to the protection and exploitation of an
appropriate creation;
19.2.1.6. assist Employees, Students an Researchers with formal
agreements, including those relating to confidentiality
and any arrangements with third parties;
19.2.1.7. obtain advice and make recommendations on the
patentability of inventions generated from UNISA
activities;
19.2.1.8. regulate the publication of IP in order to protect the
novelty of patentable inventions;
19.2.1.9. be responsible for developing guidelines for the labelling
of Confidential Information; and
19.2.1.10. procure appropriate specialised intellectual property
legal advice, where required
19.2.2. The IP Steering Committee shall, in relation to the creation and
protection of IP:
19.2.2.1. decide on the budget to be allocated for Intellectual
Property activities, such as Patent and Design
prosecution costs, renewal fees as well as the
costs of dealing with the enforcement of UNISA’s
Intellectual Property;
19.2.2.2. decide on any other matter referred to it by the
14
Technology Transfer Office for decision; and
19.2.2.3. provide the Vice Principal with an annual summary
report on the IP generated by UNISA.
19.2.3. The Technology Transfer Office will, in relation to the management
and implementation of the Policy:
19.2.3.1. Propose draft amendments to this Policy and IP
Management Manual as often as is necessary in
order to ensure that the guidelines are relevant and
reflect current best practice;
19.2.3.2. educate Employees, Students and Researchers on the
importance of IP within UNISA and the principles of
the IP Policy and the procedures set out in the IP
Management Manual;
19.2.3.3. oversee the manage the practical implementation of the
Policy and IP Management Manual;
19.2.3.4. identify IP Managers for the purpose of implementing
the Policy and notify all Employees, Students and
Researchers of the identity of their IP Manager;
19.2.3.5. advise the IP Steering Committee of any recommended
variations to the Policy and Management Manual;
19.2.3.6. provide advice and support to all staff insofar as
interpretation and implementation of the Policy and IP
Management Manual are concerned.
19.2.4. The IP Steering Committee will, in relation to the management and
implementation of the Policy:
15
19.2.4.1. approve an IP management manual (the “IP
Management Manual”) prescribing guidelines and
procedures on how UNISA, on a practical level, is to
implement the principles set out in the Policy;
19.2.4.2. at least annually, review this Policy in light of
any interpretation problems and in light of any
technological or legislative changes that may have
occurred;
19.2.4.3. approve/reject any proposed amendments to the Policy
and Management Manual that may be proposed by
the Technology Transfer Office;
19.2.4.4. submit to the Vice Principal a detailed list of the
amendments approved to this Policy, as well as the
justification for each such change.
19.2.4.5. consider any request for exceptions or deviations to
the provisions of this Policy relating to ownership
of Intellectual Property and approve/reject such
requests;
19.2.4.6. act as a panel for the resolution of disputes arising from
the interpretation of the Policy;
19.2.4.7. advise the Vice Principal on all matters relating to IP
management and administration.
19.2.5. The Technology Transfer Office will, in relation to the use and
commercialisation of IP:
19.2.5.1. identify, manage and mitigate risks associated with the
use and commercialisation of UNISA’s IP;
16
19.2.5.2. assess the viability of the commercialisation of UNISA’s
IP;
19.2.5.3. identify and address any potential conflict of interest that
may arise with respect to the commercialisation of
UNISA’s IP;
19.2.5.4. direct and control the negotiation and execution
of agreements with third parties pertaining to the
commercialisation of UNISA’s IP;
19.2.5.5. refer to the IP Steering Committee for decision, any
contemplated assignment of UNISA’s IP;
19.2.5.6. develop licensing and royalty models for UNISA; and
19.2.5.7. conduct freedom-to-operate searches to determine if
any technology utilised by UNISA will infringe the
intellectual property rights of a third party;
19.2.5.8. manage the sharing of benefits with Employees,
Students and Researchers that are inventors;
19.2.5.9. make recommendations to the IP Steering Committee
regarding the level of access that Employees,
Students and Researchers shall have to various
categories of Confidential Information, taking into
account the sensitivity of the Confidential Information
and the access required to achieve holistic UNISA’s
objectives; and
19.2.5.10. monitor the use of IP outside of UNISA, follow market
trends and identify opportunities for commercialisation
of UNISA IP.
17
19.2.6. The IP Steering Committee will, in relation to the use and
commercialisation of IP:
19.2.6.1. reject/approve a request for proposed assignment of IP
to a third party;
19.2.6.2. decide on the level of access that Employees, Students
and Researchers shall have to various categories
of Confidential Information, taking into account
the sensitivity of the Confidential Information and
the access required to achieve holistic UNISA’s
objectives;
19.2.6.3. determine whether and/or when UNISA’s Intellectual
Property portfolio is to be reviewed; and
19.2.6.4. provide the Vice Principal with an annual summary
report on the outcomes of commercialisation
endeavours involving UNISA’s IP and any related
issues.
19.2.7. The Technology Transfer Office will, in relation to UNISA’s interaction
with NIPMO:
19.2.7.1. refer UNISA’s Intellectual Property for which UNISA
elects not to obtain statutory Intellectual Property
protection to NIPMO within the prescribed time
period;
19.2.7.2. formulate a methodology for calculating the Full Costs
of research and submit to NIPMO for approval;
19.2.7.3. submit the Policy and Management Manual to NIPMO
for approval of all principal policy decisions required
by the Act;
18
19.2.7.4. report to NIPMO on an annual basis in all matters
pertaining to UNISA’s Intellectual Property in a
manner prescribed by NIPMO;
19.2.7.5. recover Intellectual Property protection costs from a
fund administered by NIPMO, when applicable; and
19.2.7.6. motivate and apply to NIPMO for financing for capacity-
building and activities of the Technology Transfer
Office.
110. USE OF INTELLECTUAL PROPERTY
110.1. Use of Intellectual Property by Employees, Students and Researchers
110.1.1. Employees, Students and Researchers shall take care to
ensure that Intellectual Property belonging to UNISA and/
or to third parties shall, at all times, be protected against any
accidental, premature, unlawful or unauthorized disclosure, use,
reproduction, misappropriation or destruction.
110.1.2. Line Managers have an obligation to ensure that the Employees,
Students and Researchers are aware of and adhere to the
provisions of this Policy.
110.1.3. Employees, Students and Researchers have the following
obligations as regards any Intellectual Property to which this
Policy applies (as set out in section 8.1.1 above):
110.1.3.1. he/she shall disclose, immediately upon the creation of
such Intellectual Property or immediately upon such
creation coming to his/her attention, to his/her Line
Manager
110.1.3.2. he/she and sign all documents that may be necessary
19
in order to ensure that ownership of such Intellectual
Property properly vests in UNISA;
110.1.3.3. he/she shall inform UNISA of prior art relevant to the
scope and/or validity of the Intellectual Property which
is within his/her personal knowledge;
110.1.3.4. he/she shall use UNISA’s Intellectual Property in a
prudent and conscientious manner for the purpose of
advancing UNISA’s interests;
110.1.3.5. he/she shall inform his/her Line Manager of any
unauthorized use of the Intellectual Property;
110.1.3.6. he/she shall protect the integrity of UNISA’s Intellectual
Property;
110.1.3.7. in addition to this Policy, he/she shall respect the
guidelines, standards and methods issued from time
to time by the Technology Transfer Office;
110.1.3.8. he/she shall abide by the laws, regulations, decrees,
judgments and other legal requirements imposed
by any competent authority with respect to the
Intellectual Property;
110.1.3.9. he/she shall abide by the provisions relating to
Intellectual Property which are set forth in any
contract to which UNISA is a party;
110.1.3.10. he/she shall respect the security rules regarding the
creation, use and protection of UNISA Intellectual
Property, as such rules are issued from time to time
by UNISA;
20
110.1.3.11. he/she shall report to his/her Line Manager any weak
point which he/she may discover or become aware
of as regards to the security measures protecting
UNISA’s Intellectual Property;
110.1.3.12. he/she shall cooperate with his/her Line Manager
or any person in charge in order to facilitate the
identification and correction of any flaw or problem
affecting the creation or use of UNISA’s Intellectual
Property, or the security measures protecting it;
110.1.3.13. he/she shall report forthwith to his/her Line Manager
any violation by anyone of any of the terms of this
Policy;
110.1.3.14. subject to his/her constitutional rights, he/she shall
provide his/her full cooperation and any evidence
required in the course of any investigation carried out
as regards the creation, use or protection of UNISA’s
Intellectual Property; and
110.1.3.15. at UNISA’s request, he/she shall testify before any
court, commission or other tribunal with respect to the
Intellectual Property or the creation, use or protection
thereof.
110.2. Respect for Intellectual Property
110.2.1. Employees, Students and Researchers shall at all times respect
and protect Intellectual Property rights held by UNISA or by a
third party and shall under no circumstances misappropriate or
infringe or attempt to misappropriate or infringe, all or part of
such Intellectual Property rights, whether directly or indirectly and
whether by using, disclosing, copying or reproducing same, or
21
otherwise.
110.2.2. If an Employee, Student or Researcher has any question about
whether to incorporate the unlicensed Intellectual Property of
a third party in any work undertaken for UNISA, he/she shall
first seek advice from his Line Manager. If necessary, the
Line Manager shall consult the Technology Transfer Office for
guidance.
110.3. Termination of Engagement and Surrender of UNISA Intellectual Property
110.3.1. When his/her engagement with UNISA terminates, for any reason
whatsoever, an Employee, Student or Researcher shall surrender
to UNISA, all material embodiments of UNISA’s Intellectual
Property in his/her possession. In particular, but without limiting
the generality of the foregoing, Employees, Students and
Researchers shall surrender to UNISA all tools, Equipment,
samples, documentation, stationery, business cards, software,
diskettes, memory sticks, hard drives and user guides.
110.3.2. When required to do so, Employees and Researchers shall attend
an exit interview with their respective Line Managers at which
they will be required to make full disclosure to UNISA of all
Intellectual Property that they may have been working on during
the term of their engagement with UNISA.
110.3.3. Moreover, Employees, Students and Researchers shall not keep
any partial or entire reproduction (copy, photocopy, draft,
summary or other), on any medium whatsoever, of all or part of
UNISA’s Intellectual Property after the date of termination of his/
her engagement with UNISA, unless the express consent of the
Technology Transfer Office has been obtained.
22
111. PROTECTING CONFIDENTIAL INFORMATION / KNOW-HOW
This section sets out standards regarding the protection of Confidential Information.
111.1. Publication
111.1.1. Before making a public disclosure of Confidential Information,
Employees, Students and Researchers shall submit to the
Technology Transfer Office, a request for authorisation thereto
(even where such Confidential Information is co-owned with one
or more Collaborators). “Public disclosure” shall include, inter
alia, disclosures at seminars and disclosures in academic and/or
research papers, journals or magazines.
111.1.2. The Technology Transfer Office shall determine whether public
disclosure of UNISA’s Intellectual Property shall be permitted,
having regard to the provisions of the Act.
111.1.3. Should the Technology Transfer Office be of the opinion that
publication of the Confidential Information will not compromise
protection and/or commercialisation of the Intellectual Property
in question and provided that the necessary NIPMO approval
has been obtained, the authorisation to publish will not be
unreasonably withheld or delayed.
111.1.4. In any publication pertaining to UNISA’s Intellectual Property, UNISA
shall endeavour to provide that both UNISA its Employees,
Students and Researchers, as the case may be, are recognised
for their contributions to the creation and/or exploitation of the
Intellectual Property.
111.2. Duty to take Special Care
To the extent required, Employees, Students and Researchers are given
access to Confidential Information. Proper protection of the confidentiality
23
of this information is essential if UNISA’s interests are to be preserved.
These interests include maintenance of competitive, advantage, trade secret
protection, and preservation of personal privacy. All Employees, Students
and Researchers must take special care to prevent disclosure of Confidential
Information to unauthorized third parties.
111.3. Sources of Additional Information
While this policy describes the considerations that Employees, Students
and Researchers should bear in mind before, during, and after disclosure of
Confidential Information to third parties, it cannot specifically address every
possible situation. Questions about the disclosure of specific information
must be directed firstly to the Line Managers and subsequently, if necessary,
to the Technology Transfer Office. Additionally, Employees and Researchers
are expected to use their professional judgment, and ask their Line Manager
for guidance in those instances where the appropriate requirements of
handling Confidential Information is unclear.
111.4. Labelling of Information
The Technology Transfer Office shall develop guidelines for the labelling
of all UNISA’s Confidential information. That policy will set out the different
types of labels to be affixed to various types of Confidential Information,
responsibility for labelling, practical implications of each label, consequences
of non-compliance, etc.
111.5. Third Parties and the Need To Know
Unless it has specifically been designated as suitable for public
dissemination, all UNISA’s Confidential Information must be protected from
unauthorized disclosure to third parties. Third parties may be given access
to UNISA’s Confidential Information only when a demonstrable need to know
exists, and when such a disclosure has been expressly authorized by the
relevant UNISA Line Manager.
24
111.6. Non-Disclosure Agreements
The disclosure of sensitive information to Consultants, Service Providers,
Collaborators, temporary staff, volunteers and other third parties must be
preceded by the execution of a Non-Disclosure Agreement (NDA). When
an NDA pertains to an organization, to be valid, a duly authorised officer
of the recipient organization must sign the NDA. Employees, Students
and Researchers must not sign NDAs provided by third parties without the
advance authorization of the Technology Transfer Office.
If an Employee, Student or Researcher of UNISA wishes to enter into an
agreement with a third party in terms of which Confidential Information will
be transferred, he/she will approach his/her Line Manager who will subject
to consultation with the Technology Transfer Office ensure that the following
terms are included in the agreement:
111.6.1. that the Confidential Information to be transferred will only be used
for the stated purposes; and
111.6.2. that the Confidential Information will not be released to any person
other than the third party or his/her co-workers working directly
under the third party who have agreed to abide by the terms and
conditions of the agreement.
111.7. Disclosing Information Belonging to Third Parties
Employees, Students and Researchers must not disclose third-party
information to other third parties unless the third party providing the
information has provided advanced approval of the disclosure. Even when
this disclosure has been approved in advance, the receiving party must sign
a Non-Disclosure Agreement with UNISA.
111.8. Third-Party Requests for UNISA Information
All requests from third parties for Confidential Information must be referred
25
to the relevant Line Manager. Such requests may include questionnaires,
surveys, and newspaper interviews. This policy does not apply to sales and
marketing information about UNISA and its offerings, nor does it pertain to
requests for information that has been approved for public release.
111.9. Recovery or Destruction
All material embodiments of Confidential Information provided to third parties
must be recovered and returned to Line Managers within a reasonable
period.
111.10. Reporting Improper Disclosures
If Confidential Information has been inappropriately disclosed, or is believed
to have been inappropriately disclosed, this must be reported immediately
to the relevant Line Manager. It is the Line Manager's responsibility to
determine whether the disclosure or suspected disclosure must be reported
to third parties such as NIPMO. If the Line Manager is uncertain about
what to do about the reported disclosure, he must seek advice from the
Technology Transfer Office.
112. SERVICE PROVIDERS AND CONSULTANTS
This section of the Policy is concerned with the responsibilities/obligations that are
specific to Service Providers and Consultants in relation to UNISA’s Intellectual
Property. It is acknowledged that most of the details pertaining to the relationship
between UNISA and its Service Providers will be found in the underlying agreement
between these parties. This policy seeks to provide a few policy pointers for the
protection of UNISA’s Intellectual Property in the context of interaction with Service
Providers/Consultants.
112.1. Ownership
26
All Intellectual Property developed by a Service Provider/Consultant in the
course of the contractual relationship with UNISA shall vest in UNISA. Any
deviation from this policy shall be subject to the prior written authorisation
of the Technology Transfer Office. Accordingly, Employees, Students
and Researchers must consult their Line Managers in order to ensure
that relevant agreements incorporate appropriate clauses providing for
assignment of Intellectual Property to UNISA.
112.2. Moral Rights
112.2.1. This refers to an author's right to be identified as the author of a
work as well as the right to object to any distortion or mutilation of
the work developed by the author on behalf of UNISA.
112.2.2. Although UNISA recognises and acknowledges an author's moral
rights, UNISA requires the author to reasonably waive all moral
rights to the work. This is necessitated by considerations of
efficiency and commercial expediency in order to ensure that
UNISA is able to make commercial decisions concerning the
exploitation of the work as speedily as possible. Requests for
exceptions must be directed to the Technology Transfer Office.
112.3. Undertaking to Sign All Documents
It is the responsibility of the Line Manager or a department engaging the
services of a Service Provider to ensure that the Service Provider signs all
documents and provides all authorizations or consents:
112.3.1. to give full effect to the relevant terms of this Policy; and
112.3.2. in particular, the Service Providers and Consultants shall allow
UNISA or its representatives to obtain all rights, title or interests
in or to the Intellectual Property developed by such Service
Providers/Consultants in any country whatsoever failing which,
27
the Service Providers/Consultants shall be deemed to have given
an irrevocable mandate to UNISA or to any person designated by
UNISA to provide all such authorizations or consents and to sign
all such documents for such purposes.
If assistance is required, the Line Manager must consult the Technology
Transfer Office.
112.4. Authorised Use
With regard to Service Providers/Consultants, the nature of the authorised
use of UNISA’s Intellectual Property will be set out in the applicable
agreements with UNISA. As a general rule, this will be use that is necessary
in order to achieve the objects of the underlying agreement.
112.5. Consequences of Termination
112.5.1. The consequences of termination of the agreement between UNISA
and any Service Provider/Consultant in relation to Intellectual
Property shall be addressed in the applicable agreement between
the parties. However, as a general rule, upon termination of the
agreement, the Service Provider shall transfer and surrender
to UNISA all the Intellectual Property developed under the
agreement, as well as copies thereof, to UNISA. Further, unless
otherwise agreed in the relevant contract, the Service Provider
shall immediately cease all use of UNISA’s Intellectual Property.
112.5.2. It is the responsibility of the relevant Line Manager to ensure that the
post- termination provisions are adhered to.
112.6. Licences
Unless otherwise agreed in the underlying agreement between the parties,
the Service Providers/Consultants do not have an automatic licence to use
any of the Intellectual Property that they could have created for UNISA. The
28
terms of such license will be subject to such conditions as the Technology
Transfer Office may determine.
113. RESERVED RIGHTS
113.1. Privileges and Entitlements
UNISA reserves the right to exercise all the privileges and entitlements
granted to it by the applicable Intellectual Property laws, including but not
limited to the following:
113.1.1. it may refrain from creating, cease creating, or prohibit the creation
or continued creation of any Intellectual Property whatsoever;
113.1.2. it may refrain from using, cease using, or prohibit the use or
continued use of any Intellectual Property whatsoever;
113.1.3. as regards the information, messages, files or data contained
in UNISA’s Equipment or originating there from, it may take
cognizance of all or part thereof, or read, copy, reproduce, print,
use, communicate, store, move, archive or destroy same in whole
or in part, whether or not such information, messages, files or
data were created, received or stored by Employees, Students or
Researchers with the help of the said Equipment;
113.1.4. it may, use any technical means whatsoever, monitor access to
the Equipment and the use thereof by Employees, Students or
Researchers whether such monitoring is carried out in real or
non-real time and whether or not such Employees, Students or
Researchers are aware of such monitoring;
113.1.5. it may access or open any encrypted, encoded or password-
protected message or file;
29
113.1.6. it may temporarily or permanently interrupt access to the Equipment
and the use thereof by Employees, Students or Researchers if it
is of the opinion that the actions of the Employees, Students or
Researchers or the consequences of such actions are such that:
113.1.6.1. they infringe or are likely to infringe any right, title or
interest in or to any of UNISA’s Intellectual Property
belonging to UNISA or to a third party;
113.1.6.2. they breach or are likely to breach one or more
rules relating to the creation, use or protection of
Intellectual Property;
113.1.6.3. they breach or are likely to breach one or more
security rules; or
113.1.6.4. they breach or are likely to breach one or more of the
provisions of this Policy or of other applicable policies,
guidelines, standards or methods; and
113.1.7. it may provide its full cooperation and any evidence required in
the course of any investigation carried out by the police, by
UNISA’s insurers, by the victim's insurers or by the victim himself/
herself, as regards any criminal offence or civil fault alleged
against Employees, Students or Researchers or a third party
in connection with the creation, use or protection of UNISA
Intellectual Property.
114. COMMERCIALISATION OF UNISA’S INTELLECTUAL PROPERTY
114.1. Commercialisation Strategy
114.1.1. Commercialisation refers to the process by which UNISA obtains
30
some benefit from the exploitation of any of UNISA’s IP.
Commercialisation can take various forms, including licensing
arrangements, strategic alliance, joint venture, co-branding
arrangements with business partners, etc. The decision to
commercialise any aspect of UNISA’s IP shall be made by the
Divisional Executive – Corporate Services on recommendation
by the IP Steering Committee or any manager or sub-committee
nominated by them.
114.1.2. In assessing a suitable commercialisation strategy for UNISA’s IP,
the Technology Transfer Office and IP Steering Committee shall
take into account the balanced achievement of maximum benefit
for the public as well as UNISA, in order to ensure long-term
public benefit.
114.1.3. To enable UNISA to focus on its main objectives and basic
research, UNISA shall endeavour, as far as practically possible,
to identify, engage and appoint external commercialisation
partners, and to grant rights to such commercialisation partners
through which commercialisation of UNISA’s IP is to take place.
114.1.4. The appropriate commercialisation strategy shall be determined by
the IP Steering Committee taking into account:
114.1.4.1. the nature and scope of UNISA’s IP, its scientific and
technical validity and stage of development;
114.1.4.2. the potential commercial application of UNISA’s IP and
the alignment thereof with the primary business and
core competencies of UNISA;
114.1.4.3. related government policies and directives;
114.1.4.4. the internal capacity of UNISA to implement and
31
manage a proposed commercialisation strategy;
114.1.4.5. the expected viability and return on the
commercialisation of UNISA’s IP;
114.1.4.6. potential costs, risks, revenues and benefits of the
commercialisation of UNISA’s IP;
114.1.5. The Technology Transfer Office shall, where required, consult
and seek advice from relevant external sources with relevant
experience when identifying a commercial strategy as set out
above.
114.1.6. The Technology Transfer office may, inter alia, consider the
following commercialisation models:
114.1.6.1. Assignment: ownership of UNISA’s IP is assigned
outright to a third party under appropriate negotiated
terms and conditions;
114.1.6.2. Licence: a right to exploit UNISA’s IP is granted
to a third party under certain conditions and for a
predetermined term;
114.1.6.3. Managed Commercialisation: UNISA’s IP is
commercialised in-house under the guidance of the
Technology Transfer Office, through the sale of a
product or service embodying the IP;
114.1.6.4. Joint Venture/Partnership: UNISA becomes a party
to a joint venture development or commercialisation
partnership.
114.2. Financial Returns from Commercialisation
32
114.2.1. Subject to section 15.3 , financial returns from commercialisation of
UNISA’s IP shall in the first instance be applied to recover any
direct costs involved with seeking and maintaining IP protection
as well as commercialisation of the IP, which costs may include:
114.2.1.1. legal or other expert advice;
114.2.1.2. the cost of obtaining IP protection and maintenance of
any registered rights in respect thereof;
114.2.1.3. plant/Equipment costs;
114.2.1.4. business planning costs; and
114.2.1.5. the ongoing cost of commercially exploiting the IP.
114.2.2. The net returns, being the remainder of the returns once direct costs
have been accounted for shall be shared with inventors who are
Employees, Students or Researchers, in order to encourage
the generation of commercially useful inventions by Employees,
Students and Researchers in terms of clause 15.3.
114.3. Commercialisation Preferences
114.3.1. The Technology Transfer Office shall as far as reasonably possible
endeavour to adopt a commercialisation model in which UNISA’s
ownership of IP is retained.
114.3.2. Should a licensing model be adopted, the following preferences
shall be taken into account in identifying a licensee and
determining the terms and conditions of such licence:
114.3.2.1. There shall be a preference for entities having Broad
Based Black Economic empowerment credentials;
114.3.2.2. There shall be a preference for small to medium
33
enterprises;
114.3.2.3. Where manufacture is involved, there shall be a
preference for entities having local manufacturing
capabilities;
114.3.2.4. There shall be a preference for non-exclusive
licensing. In license agreements entered into with
commercial partners, non-exclusive licensing shall
be a preferred option as it will permit wider access to
the actors within the economy and will create, under
some circumstances, a performance incentive.
114.3.2.5. Exclusive licensing may also be considered in
particular circumstances, for instance when
developing early stage technologies that require
considerable further development work or to ensure
that commercial partners are interested in investing
time, resources and effort into the commercialisation
of UNISA’s IP.
114.3.2.6. To prevent failures in the commercialisation of
technology which other potential developers might be
better placed to exploit, performance clauses must be
included in licence agreements.
114.3.2.7. There shall be a preference for licensing a local
commercialisation entity. Reasonable and
demonstrable efforts shall be made to license
UNISA’s IP locally, as local licensing will have a
maximum impact on stimulating national and local
economic development and providing the South
African business sector with new commercialisation
opportunities.
34
114.3.2.8. Licensing a foreign commercialisation entity can be
considered to increase foreign direct investment
and technology partnerships for South Africa
when licensing is not reasonably possible in South
Africa, or where it could supplement local licensing
arrangements.
114.3.2.9. Where local licensees cannot be secured, UNISA
shall ensure that locally beneficial arrangements
(such as for example manufacturing preferred pricing,
R&D obligations) are secured are far as reasonably
possible.
114.4. Decision Making
Any decision regarding the sale, assignment or the granting of exclusive
rights to any of UNISA’s IP shall require the prior approval of the IP Steering
Committee.
114.5. Involvement in Technology Transfer
Employees and Researchers are expected to accord UNISA their primary
professional loyalty and to ensure that outside obligations, financial interests
and activities do not conflict with their commitment to UNISA. In particular,
Employees should not seek to influence UNISA’s IP commercialisation
decisions in such a way as to promote personal gain or advantage to their
associates or that may lead to reduced income for UNISA or its affiliates.
Where an Employee or Researcher is, or may potentially be in a position
of conflict of interest in respect to commercialisation of IP by UNISA, the
Employee must disclose this situation to the Technology Transfer Office
within 5 days, in order for the office and the Employee/Researcher to
negotiate a strategy that resolves the conflict of interest.
35
An Employee, Student or Researcher who has an economic interest in a
commercialisation project of UNISA shall still be entitled to receive any
benefit due to them as an inventor/creator of the IP, however they may not
participate in negotiations to transfer technology to any organisation in which
they have such interest.
114.6. Involvement in Spin-Off, Subsidiary or Emerging Company
Spin-offs, subsidiaries and emerging companies are recognised as an
important part of the national economy. It may be attractive to Employees
to be able to participate in such a company without having to leave the
employ of UNISA. However, this can lead to a conflict of interest which must
be identified up front and a strategy developed to deal with the conflict of
interest.
In the case where an Employee wishes to become involved full-time with
a spin-off, subsidiary or emerging company, or is involved in an executive
capacity, the Employee’s duties and remuneration shall be reconsidered and
adapted accordingly, in consultation with the Employee and in compliance
with any guidelines issued by NIPMO.
No Employee, Student or Researcher shall be involved in any other private
company, close corporation or other separate entity or enterprise that
competes with UNISA by providing consulting, research or any other services
that would prejudice UNISA. No Employee, Student or Researcher who
is involved in a spin-off enterprise, or an enterprise engaged with UNISA
shall compete or be involved with any other entity that competes with such
enterprise without prior authorisation from UNISA which authorisation must
be reduced to writing and signed.
115. BENEFIT SHARING
115.1. Beneficiaries
36
There are a number of possible beneficiaries from exploitation of IP, including
the creator/inventor of the IP, the Research Entity within UNISA to which the
creator belongs, UNISA itself and private co-owners of a spin-off, subsidiary
or emerging company.
115.2. Income Allocation
115.2.1. Employees, Students and Researchers that are IP creators, and
their heirs are granted a right to a portion of revenues that accrue
to UNISA from the commercialisation of the IP for as long as
revenues are derived from such IP.
115.2.2. Income that accrues to the IP creator in his/her personal capacity
is taxable. If the IP creator elects to retain the funds in their
research account (if applicable), the funds will not be taxable,
but shall be subject to the rules governing the use of research
account funds.
115.2.3. Benefits granted to the IP creators will be shared in accordance
with their relative contributions unless otherwise agreed between
the IP creators in writing. The status of the IP creators shall not
be a factor in determining a creator’s share in the benefits. Any
dispute which arises with respect to benefit sharing shall be
adjudicated by the IP Steering Committee, whose decision shall
be final.
115.2.4. The share of revenue which is to be allocated to a Research Entity
of UNISA shall be allocated to the head of the Research Entity.
The head of the Research Entity shall determine the distribution
within the Research Entity. The funds shall be applied in the
interest of research and may not be allocated to any individual for
personal gain.
115.2.5. The share of revenue that is to be allocated to UNISA shall be
37
allocated to the Vice Principal for the promotion and development
generally, of research and innovation.
115.2.6. Revenue from IP that is co-owned by UNISA and an outside
organisation shall be divided in accordance with the agreement
between the parties.
115.3. Formula of Income Allocation
115.3.1. First R1,000,000 of Revenue
Twenty percent of the gross revenues accruing to UNISA in
respect of the first R1,000,000 of gross revenue generates shall
be shared between the IP creator(s).
Commercialisation costs will then be deducted from the balance
to determine the net revenue, which shall be split between
the relevant Research Entity (40%) and UNISA (60%). In the
event that the IP is co-owned with an outside organisation, after
deduction of the commercialisation costs, the remainder of the
revenue shall be split in accordance with the agreement between
the outside organisation and UNISA.
115.3.2. Revenue above R1,000,000
Commercialisation costs will first be deducted from any revenue
in excess of R1,000,000 to determine the net revenue. The net
revenue shall then be split between the IP creator(s) (30%), the
relevant Research Entity (30%) and UNISA (40%).
In the event that the IP is co-owned with an outside organisation,
after deduction of the commercialisation costs and 30% or the
remainder for payment of the IP creator(s), the remainder of the
revenue shall be split in accordance with the agreement between
the outside organisation and UNISA.
38
115.3.3. Death of a Beneficiary or Termination of Engagement with UNISA
In the event of the death of a beneficiary of revenue generated
through the commercialisation of UNISA IP, the revenues shall be
paid to the estate of the beneficiary of such IP creator, and upon
winding up of the estate, to his/her heirs. The heirs shall have
the responsibility of notifying UNISA of any changes in contact
details after death of the beneficiary.
In the event of the termination of engagement, with the
exception of dismissal of an Employee, of a beneficiary of
revenue generated through the commercialisation of UNISA IP,
revenues shall continue to be paid to the beneficiary. It is the
duty of the beneficiary to notify the Technology Transfer Office
of any changes in contact details after termination of his/her
engagement.
116. INFRINGEMENT OF UNISA’S INTELLECTUAL PROPERTY
116.1. Responsibility of Employees, Students and Researchers
If infringement or illegal use of UNISA’s Intellectual Property by a third party
comes to the attention of any Employee, Student or Researcher, then he/she
shall immediately notify the Technology Transfer Office of such infringement
or illegal use.
116.2. Steps to be Taken
116.2.1. It shall be within the discretion of the Vice Principal to determine
what steps shall be taken against an infringer and Employees,
Students and Researchers shall co-operate fully with UNISA in
whatever measures, including legal action, are taken to bring any
infringement or illegal use to an end.
39
116.2.2. Any damages awarded in infringement proceedings shall be for the
benefit of UNISA.
116.2.3. It shall further be within the Vice Principal’s discretion to decide what
steps will be taken by UNISA if infringement proceedings are
instituted against UNISA as a result of the infringement of a third
party’s Intellectual Property rights by an Employee, Student or
Researcher.
117. SANCTIONS FOR VIOLATING THE POLICY
117.1. Employees, Students and Researchers
UNISA regards the failure to comply, in whole or in part, with one or more
of the provisions of this Policy, to be a serious offence. Accordingly, any
Employee, Student or Researcher found guilty of violating this Policy may
face a number of penalties, including:
117.1.1. cancellation of access rights to the Equipment and/or UNISA’s
Intellectual Property contemplated in this Policy;
117.1.2. dismissal or expulsion;
117.1.3. prohibition of access to premises;
The provisions of this paragraph must be read together with any other
disciplinary policy or code of UNISA, which sets out the processes that need
to be followed in order to institute disciplinary proceedings.
118. REQUESTS FOR EXCEPTIONS FROM POLICY
Subject to any other applicable provision, any request to depart from this Policy shall
40
be made in writing and shall be sent to the IP Steering Committee, which shall have full
authority to grant such request, in whole or in part, or to refuse same.
119. MONITORING AND ADMINISTRATION OF THE POLICY
119.1. Accountability
The Vice Principal shall be accountable for the implementation of this Policy.
119.2. Questions comments and suggestions
Any Employee, Student or Researcher with questions, comments or
suggestions relating to the content or interpretation of this Policy shall direct
these to his/her Line Manager and/or the Technology Transfer Office.
119.3. Interpretation and Disputes
119.3.1. Any dispute relating to the interpretation of one or more of the
provisions of this Policy shall be resolved by the IP Steering
Committee.
119.3.2. Furthermore, at least once a year, the IP Steering Committee shall:
119.3.2.1. hold a meeting in order to review this Policy in light
of any interpretation problems and in light of any
technological or legislative changes that may have
occurred; and
119.3.2.2. submit to the Vice Principal a detailed list of the
changes approved to this Policy, as well as the
justification for each such change.
120. GENERAL PROVISIONS OF THE POLICY
41
Unless otherwise stated in this Policy, the following provisions shall apply.
120.1. Amendment or Cancellation of the Policy
This Policy may be modified or cancelled at any time and without notice, at
UNISA’s discretion, provided that any modifications/amendments shall be
communicated to Employees, Students, Researchers, Service Providers and
Consultants in such manner as the Vice Principal may deem appropriate.
120.2. Number and Gender
Where appropriate, the singular number set forth in this Policy shall be
interpreted as the plural number, and the gender shall be interpreted as
masculine, feminine or neuter, as the context dictates.
120.3. Other Applicable Policies
This Policy is in addition to all other UNISA policies, and to all guidelines,
standards and methods issued by UNISA. It is not in any way intended to
replace or supersede one or more of such policies, guidelines, standards
and methods, unless otherwise specified in this Policy, but shall prevail over
any contrary Intellectual Property provisions in any other policy, guideline or
standard.
120.4. Other Applicable Laws
This Policy in addition to having cognisance legislation regarding Patents
and Designs, incorporates legislation which may be relevant to UNISA’s
Intellectual Property, such as the Act.
121. EFFECTIVE DATE OF THE POLICY
This Policy shall become effective from the date on which it is approved by the IP
Steering Committee.
42
122. TERM OF THE POLICY
This Policy shall remain effective until it is repealed, or amended or replaced by another
policy.
43