Chinese Culture University Management Guidelines Governing Research and Development Achievements and Technology Transfers
Adopted by the 1574th (ad-hoc) Administrative Council on 09 NOV 2005
Amended and adopted by the 1st University Council Meeting of Academic Year 2005 on 14 DEC 2005
Adopted by the 1580th Administrative Council on 08 MAR 2006
Adopted by the 1672nd Administrative Council on 05 SEP 2012
Adopted by the 3rd University Council Meeting of Academic Year 2012 on 29 MAY 2013
Amended and adopted by the 1711th Administrative Council on 03 AUG 2015
Amended by the 1st University Council Meeting of Academic Year 2015 on 23 DEC 2015
Adopted by the 1743rd Administrative Council on 11 APR 2016
Amended by the 2nd University Council Meeting of Academic Year 2017 on 30 MAY 2018
Adopted by the 1755th Administrative Council on 10 APR 2019
Amended by the 2nd University Council Meeting of Academic Year 2018 on 29 MAY 2019
Adopted by the 1771th Administrative Council on 05 AUG 2019
Amended by the 1nd University Council Meeting of Academic Year 2019 on 16 DEC 2020
Article 1 Objectives
The present Guidelines are prescribed by the Chinese Culture University (“the University”) to encourage research and innovation and to effectively utilize and manage research and development achievements (“R&D achievements”) attained by the subsidiary units, faculty and staff members, and students.
Article 2 Scope of applicability
With respect to inventions derived from research conducted by the subsidiary units, faculty and staff members, and students of the University either ex officio or by utilizing various resources of the University, unless otherwise stipulated in a contract, all intellectual property rights (including patents, trademarks, copyright, trade secrets, and plant species) derived from such inventions shall be attributed to the University. The R&D achievements of a research project that received a grant from either a government agency, a relevant group, or an individual shall be governed by the present Guidelines, unless otherwise governed by law or stipulated in the contract set up with a commissioning institution; this also is applicable to the R&D achievements of a project commissioned by the University. In accordance with the provisions of the present Guidelines, a written contract shall be set up with the University to govern matters pertaining to the ownership, management, implementation, and use of any R&D achievement. The ownership, implementation, and use of any R&D achievement shall adhere to the principles of fairness and efficiency while taking into consideration the proportion of contributions in terms of capital and labor.
Article 3 Definitions
For the purpose of the present Guidelines, work-related R&D achievements refer to any invention or creation that is produced either with subsidy, commission or funding appropriated from the budget of the University or by using the equipment of the University by any full-time faculty or staff member or student of the University while serving or enrolled respectively at the University; same is applicable to any invention or creation set forth by an inventor who is neither a full-time faculty or staff member nor a student of the University but is employed thereby to execute a research project for the University; and, an inventor refers to any person who invented the research achievement in question.
Article 4 Managing authority and review organization
For the purpose of review and management of R&D achievements, the University shall organize the “Chinese Culture University Management Committee for Research and Development Achievements and Technology Transfers” (“the Research Management Committee”), for which the President shall act as the convener while the Dean of Research and Development shall serve as the executive secretary.
The Research Management Committee shall be constituted by 15 to 21 members, including, by appointment of the President, the Dean of Academic Affairs, Dean of Student Affairs, Dean of General Affairs, Dean of Research and Development, Dean of International and Cross-Strait Affairs, Dean of Continuing Education, Director of the Personnel Office, Director of the Accounting Office, Director of the Office of Information Services, Director of the Center for Teaching and Learning Resources, heads of relevant academic units, and several scholars and experts; the members shall serve a term of two years, may be reappointed for consecutive terms, and shall receive no remuneration for such purpose; nevertheless, scholars and experts not affiliated with the University may be discretionarily reimbursed for transportation costs.
The responsibilities of the Research Management Committee are as follows:
- Review of R&D achievements and technology transfers.
- Negotiation and review of ownership, implementation, incentive reward, and reasonable compensation remuneration of R&D achievements.
- Formulation of ratios of application fees, maintenance fees, and processing fees that should be paid by any relevant person and unit.
- Formulation of ratios for distribution of licensing fees and royalties of technology transfers.
- Formulation of rations for distribution of the technology transfer incentive reward provided by a subsidizing institution.
- Other relevant matters.
For the purpose of effective management and review of R&D achievements and intellectual property rights of the University, the convener of the Research Management Committee may enlist three to five members of said Committee to form a review panel for consideration of cases.
The management, utilization, and promotion of R&D achievements of the University shall be undertaken by the Office of Research and Development.
Article 5 Review procedures for R&D Achievements and Patent Applications
The Research Management Committee shall review matters pertaining to patent applications according to the following procedures:
- Relevant documents shall be furnished by an inventor and submitted to the Office of Research and Development within six months upon completion of any R&D achievement.
- The application documents shall first be examined by a review panel and, when necessary, may be sent to two to three external experts in the relevant field for document review, where candidates for such external experts shall be selected by the review panel on the basis of the nature of the application.
- Upon being recommended by the review panel, the application shall be submitted by the Office of Research and Development to the Research Management Committee for review.
- The Research Management Committee shall convene a review meeting, for which the inventor shall be notified and be present at the meeting to provide information, and, when necessary, the presence of relevant person(s) may be requested to provide comments.
- If approval is granted by the review meeting, the application shall be handled accordingly.
- If approval is not granted by the review meeting, the inventor may amend the application thereof or file an appeal to the Research Management Committee to request for reconsideration within one month of the conclusion of the review meeting. If approval is granted upon reconsideration, the application shall be processed according to items 2 to 4 above; if approval is still not granted, no resubmission of the application shall be accepted.
With respect to any work-related R&D achievement, the inventor thereof has the obligation to assist the University in the preparation of patent application-related documents and in the application procedures. The University, nonetheless, shall disburse to the inventor a reasonable sum of incentive reward and make appropriate attribution of the name of the inventor. Any inventor who is a full-time faculty or staff member of the University shall notify same of any non-work-related invention that is attained by utilizing resources of the University or experiences related thereto and, where necessary, the creation process.
Article 6 Principles for Patent Application Fees and for Distribution of Royalties
With respect to any work-related R&D achievement, regardless of whether or not the Research Management Committee approved that the patent-related application and maintenance fees are to be paid by the University, the University shall appoint a patent attorney to file on behalf of the University a patent application with the competent authority for patents. With respect to any non-work-related R&D achievement, the inventor may either request for the patent application to be filed on behalf of the University or assign the patent rights to the University, and, regardless of whether or not the Research Management Committee approved that the patent-related application and maintenance fees shall be paid by the University, the University shall appoint a patent attorney to file on behalf of the University a patent application or assignment with the competent authority for patents. For domestic patent applications, the rights and interests (including any licensing fee and royalty) generated by the application and the maintenance fees for each patent shall be distributed in proportions as provided in the following table:
For any overseas patent application, the distribution ratio of the application and maintenance fees and royalties shall be determined by the Research Management Committee. Any royalty from licensing or transfer of technology conducted by the University in a non-patent format shall be subjected in principle to the following ratio:
(1) Inventor: 80%
(2) College: 5%
(3) University: 15%
The pricing for patent licensing in principle shall be governed in terms of appraisal by the Technology Transfer Appraisal Table of the University; the Technology Transfer Appraisal Table shall be set out by the Office of Research and Development.
Article 7 Evaluation of patent maintenance
A patent held by the University shall be maintained, upon the acquisition of the patent certificate, for a period of three years in principle, from the fourth year onwards, a request shall be made annually by the Office of Research and Development for the Research Management Committee to invite the inventor and relevant professionals to evaluate the necessity of continued maintenance of the patent. Once found unnecessary upon review, the inventor may opt to pay for continued maintenance, and the distribution of any royalty thereafter shall be governed, whenever not governed by a contract or agreement, in accordance to the principles set out in the Table for the Distribution of Patent Fees and Royalties of Article 6; alternatively, the inventor may, with a reasonable remuneration, request the University for an assignment or license in accordance with statutory procedures.
Article 8 Patent-related Disputes and Academic Ethics
With respect to R&D achievements for which a patent has been applied per the present Guidelines, matters pertaining to any ligation or other disputes shall be handled by a legal counsel of the University, while the inventor has the obligation to provide responses with respect to the disclosure of the invention, to attend the proceedings, and to provide the University with assistance; matters pertaining to academic ethics shall be handled in accordance to the relevant provisions.
Article 9 Utilization of Research and Development Achievements
For teaching or research purposes, the subsidiary units of the University may apply for utilization of any R&D achievement, while a record of such shall be made accordingly.
Article 10 Transfer and Licensing of Research and Development Achievements
Transfers or licensing of R&D achievements shall be paid and non-exclusive licenses in principle, while exclusive licenses may be considered on a project-by-project basis for the following circumstances:
- for preventing unfair competition from competitors that may hinder industry development;
- the licensed achievement is a product that required long-term review by the government before commercialization;
- the continued development and commercialization of a technique calls for a large sum of capital to be invested by the licensed implementation unit; or,
- the implementation and use are limited to a specified period, scope, and region.
For the purpose of public good, promoting overall industry development, or increasing the benefits of utilizing an R&D achievement, upon approval by the Research Management Committee, an executing unit may license without royalty, assign for a fee, assign without fee, or trust the R&D achievement to another research organization or commercial entity.
The format and wording of agreements for such purpose shall be provided by the University. Such agreements shall comprise in the wording thereof the following items:
- the basis for agreement;
- the name, scope, region, and period of the transferred or licensed matter;
- transfer or licensing fees and royalties thereof;
- rights and obligations;
- default provisions; and
- other provisions that need to be mentioned.
Article 11 Duty of Confidentiality
Members of the Research Management Committee and relevant staff members thereof, with respect to the R&D achievements and information derived therefrom that said persons reviewed, handled or processed, shall adhere to the following principle of confidentiality:
- knowledge on any R&D achievement, whether published by a faculty member of the University or undisclosed, gained by handling the relevant tasks shall remain confidential;
- insofar as an undisclosed R&D achievement is involved, a non-disclosure agreement shall be signed with any relevant supplier;
- confidentiality measures shall be adopted for confidential data of any pertinent R&D experiment, affiliated staff members shall be required to uphold confidentiality, the duties of a good administrator shall be fulfilled, and when necessary, relevant persons shall be required to sign a non-disclosure agreement;
- any confidential document and knowledge thereof gained by handling the relevant tasks shall be kept safe;
- personal income tax data being handled shall remain confidential unless consent to disclosure is granted by the individual; and,
- unless authorized by the University, review information and the content or result of a review meeting shall not be disclosed to a third party.
Article 12 Recusal from utilizing R&D Achievements
- For the purpose of protecting the faculty and students of the University and allowing R&D achievements to be used in a fair, just, and open manner, the inventors of an R&D achievement of the University and any person, whether affiliated or not affiliated with the University, involved in tasks related to the management or use of an R&D achievement (“an involved person”), when participating in the management or use of the R&D achievement, insofar as any action or inaction of the involved person may directly or indirectly benefit the property or non-property interests of that individual or a related person thereof (“a conflict of interest”), the relevant provisions of the present Guidelines shall be followed.
- A related person refers to:
- the spouse of the involved person or a family member living therewith;
- a second-degree relative of the involved person;
- a trustee of trusted properties of the involved person or of the spouse thereof; or,
- a profit-seeking enterprise in which the involved person or any person listed in items (1) and (2) serves as the person in charge, a director, a supervisor, or a manager;
nonetheless, if the involved person is assigned to any of the aforementioned offices by the Government or the University, other statutory regulations shall govern.
- For the purpose of this Article, interests comprise property interests and non-property interests.
Article 13 Duty of Disclosure and Recusal
- When the involved person participates in or handles the management and use of the R&D achievement, a declaration of non-conflict of interest shall be made. The content and format of such declarations shall be stipulated by the Office of Research and Development.
- Insofar as the involve person encounters a conflict of interest, the following shall govern:
- the involved person or a related person thereof shall recuse oneself;
- for cases of non-recusal of the involve person or a related person thereof, the involved person shall take the initiative to disclose relevant information, and may only continue to participate in handling the relevant matters if recusal is deemed unnecessary by the University; and,
- if recusal is deemed necessary by the University, the involved person or the related person thereof shall recuse oneself immediately.
Article 14 Information Disclosure
- The involved person shall ensure that information disclosed thereby is complete and correct, the content and format of such disclosures shall be stipulated by the Office of Research and Development.
- The information disclosed by the involve person, other than statutory disclosures or matters that should be submitted to the competent authority or a subsidizing, commissioning, or funding agency, shall remain confidential and not to be disclosed. The Office of Research and Development shall be responsible for the centralized management of such information per the Personal Data Protection Act, the Trade Secrets Act, and other statutory regulations.
Article 15 Recusal Review and Appeal
- The Office of Research and Development shall submit the information disclosed by the involved person to the Research Management Committee for review. The Research Management Committee may invite the involved person, any related person, a relevant scholar or expert, and a legal professional as nonvoting participants in the review, and shall state in the record the facts and reasons for a decision.
- Insofar as recusal is deemed necessary upon review by the Research Management Committee, the Office of Research and Development shall submit the result of the review to the President for approval and then notify the involved person to recuse oneself.
- If the involved person wishes to dispute the result of the review by the Research Management Committee, the person may submit a written response.
Article 16 Report handling and notification
- If a conflict of interest is reported by a third person with specific facts, the Office of Research and Development shall submit such a case to the President for approval, then notify the person being reported to submit a written response, and, governed mutatis mutandis by the provisions of the previous article, submit to the Research Management Committee for review.
- If the conflict of interest is determined by the Research Management Committee as having taken place and of great severity, the Office of Research and Management shall submit the case to the President for approval and then notify the competent authority and the subsidizing, commissioning, or funding agency of the research achievement.
Article 17 Education and training
The Office of Research and Development may hold, from time to time, education and training courses related to recusals due to conflict of interest, information disclosure, and confidentiality.
Article 18 Promulgation and Implementation
The present Guidelines and any amendment thereto shall be implemented upon being adopted by the Administrative Council and the University Council.
※In case of any discrepancies between the Chinese original and this translation, the Chinese original shall prevail.
Chinese Culture University Management Guidelines Governing Research and Development Achievements and Technology Transfers