Revamp of Policy on Research, Intellectual Property and Knowledge Transfer

The Policy on Research, Intellectual Property and Knowledge Transfer has been replaced by the Policy on Intellectual Property and the Policy on Research (collectively the “New Policies”) with effect from August 1, 2020.

The New Policies are derived from the Policy on Research, Intellectual Property and Knowledge Transfer. Whilst most of the provisions in previous policy were adopted under the New Policies, certain provisions have been updated upon review. You may learn more about the policy change below.

_{Background of Policy Change}

While reviewing the Policy on Research, Intellectual Property and Knowledge Transfer (“Previous Policy”) in 2014, the Research Committee saw a need to update the intellectual property and knowledge transfer provisions therein, and suggested that upon revision, the Previous Policy should be separated into two policies: the Policy on Intellectual Property (“IP Policy”) and the Policy on Research (“Research Policy”).

Consequently, a task force was formed to examine CUHK’s policies on intellectual property and knowledge transfer matters and to prepare the IP Policy. Then the Previous Policy was revised into the Research Policy to govern research related matters.

The IP Policy and Research Policy were endorsed and approved by the AAPC, the Senate and the Council and jointly replace the Previous Policy on August 1, 2020.
_{Links to Policies}

Policy on Research, Intellectual Property and Knowledge Transfer (Replaced by Policy on Intellectual Property and Policy on Research on August 1, 2020)

Policy on Intellectual Property (Effective on August 1, 2020)

Policy on Research (Effective on August 1, 2020)
_{Effective Date}

The Policy on Intellectual Property and Policy on Research replace the Policy on Research, Intellectual Property and Knowledge Transfer (“Previous Policy”) with effect from August 1, 2020.

The link to the Previous Policy would redirect users to the Policy on Intellectual Property and Policy on Research from August 1, 2020 to December 31, 2020 to ensure a smooth transition.
_{Introduction to Policy on Intellectual Property}

As in the previous policy, the Policy on Intellectual Property was premised on the principle that intellectual property created by CUHK employees in the course of their employment and within the scope of their duties are owned by CUHK, in accordance with the laws of Hong Kong.

Previous policies that are applicable are retained in the Policy on Intellectual Property. For major changes to University policies on intellectual property and knowledge transfer matters, please go to Section 5.
Major Changes in Policy on Intellectual Property
1. _{Special Ownership Arrangement of Scholarly Works (Para 5.2)}
  
  Under the previous policy, copyright in scholarly works (e.g., books and journal articles) created by staff is owned by the University. Noting that publishers will usually request ownership of the copyrighted materials, the Policy on Intellectual Property allows staff members to own the copyright of their scholarly works provided that a free licence to use, reproduce, translate and disseminate the copyrighted materials will be given to the University.
2. _{Granting Licence to Staff to Use Teaching Materials (Para 5.3)}
  
  The copyright of teaching materials belongs to the University under the previous policy. Some staff members consider that it poses a hurdle for them to use the same set of materials for their external teaching engagements. After careful deliberation, it is decided that ownership of teaching materials will still reside with CUHK. However, a free licence, subject to any contractual obligations of the University, will be granted to staff to use such materials for non-commercial teaching and research purposes under the Policy on Intellectual Property.
3. _{Assigned Works are Owned by CUHK (Para 5.4)}
  
  At times, the University may require staff members to perform works or duties which are outside the normal scope of their employment (“Assigned Works”). The Policy on Intellectual Property explicitly provides that the intellectual property of those Assigned Works shall reside with the University.
4. _{Releasing Software under Open Source Licence and for Non-Commercial Use (Para 5.6)}
  
  The previous policy provides that software created by staff is owned by the University. This ownership arrangement remains unchanged under the Policy on Intellectual Property. In view of the advancement of technology and open source practice in the field of engineering, the Policy on Intellectual Property provides an option for staff members to decide whether to release software created by them: (a) under open source licence; or (b) for non-commercial use.
5. _{Releasing Database for Non-Commercial Use (Para 5.7)}
  
  Database is a form of copyright which is owned by the University under both the previous policy and the Policy on Intellectual Property. With the aim to promote knowledge transfer and open source research activities, the Policy on Intellectual Property provides an option for staff members to release database for non-commercial use provided that such release complies with relevant laws and contractual obligations.
6. _{Arrangements Concerning IP Created by Certain Students (Para 6)}
  
  Under the previous policy, the following categories of students are required to assign to CUHK the portion of intellectual property created by them under University’s projects:
  
  (i) Research postgraduate students who received financial support (e.g. graduate assistantships, research assistantships or studentships) from the University; and
  
  (ii) Students (such as self-financed research postgraduates, taught postgraduates, undergraduates, exchange students and visiting students) who used CUHK’s facilities and resources when they conduct research led by CUHK staff.
  
  Under the Policy on Intellectual Property, this assignment requirement remains unchanged. However, it will not apply to any student whose enrollment is subject to contract with another institute, e.g., dual degree programme, in which the ownership arrangement of intellectual property created by him/her is stipulated.
  
  Thesis is a topic which is not included under the previous policy. Under the admission notification and thesis submission form of the Graduate School, the University recognizes that the copyright in thesis belongs to the students and will only obtain a licence to use the thesis for academic purposes, such as keeping a copy at the library. Such arrangement is now explicitly provided under Para 6.4 of the Policy on Intellectual Property.
  
  Although it is not provided under the previous policy, students assigning intellectual property to CUHK are entitled to share income in accordance with their contribution to the projects as if they were staff members of the University. This income sharing arrangement is explicitly provided under Para 6.5 of the Policy on Intellectual Property.
  
  Staff members shall observe the Guidelines on Student Assignment of Intellectual Property. For details, please click here.
7. _{The Handling of IP Infringement and Claims (Para 8.4)}
  
  The handling of legal or administrative action concerning intellectual property of University is not mentioned under the previous policy. For the sake of clarity, the Policy on Intellectual Property explicitly provides that the University shall determine how should a legal or administrative action concerning intellectual property of University be handled on a case-bycase basis. This is in line with the current practice of the University.
8. _{Licensing IP to Companies Incorporated by Staff (Para 9.6)}
  
  The University is keen on nurturing entrepreneurial spirit. With the aim to promote knowledge transfer and to encourage entrepreneurship, the Policy on Intellectual Property provides that companies incorporated by staff can obtain licences to use the intellectual properties they generated at the University provided that the terms are negotiated in good faith.
_{Introduction to Policy on Research}

After removing the provisions concerning intellectual property and knowledge transfer from the Policy on Research, Intellectual Property and Knowledge Transfer, the remaining parts related to research were consolidated to form the Policy on Research. As the University’s policies on research underwent major review in 2014 and 2017, only a few provisions have been refined. For details, please go to Section 7.
Changes in Policy on Research
1. _{Relaxing Eligibility Requirement for External Research Grants (Para 5.1)}
  
  Currently, staff members who are not eligible for serving as Principal Investigators (“PIs”) for external research grants (excluding RGC grants) may, with the approval from the Chairperson of Research Committee and under the supervision of a staff at Professor rank, undertake research grant supported projects as PIs. To promote research activities at the University, it is suggested that supervision of ineligible staff for external research grants can be provided by any full-time staff at Associate Professor rank or above.
2. _{Research Ethics (Paras 5.4 & 5.7 and Schedule 8)}
  
  Paras 5.4 and 5.7 are inserted to include the mandatory requirement that staff members who apply for research grants must go through research ethics training, and the importance of publication ethics. Schedule 8 are revised in order to tally with the existing clearance procedures of the Survey and Behavioral Research Ethics Committee for research projects involving human subjects. Other minor changes to Paras 8.5 & 16 and Schedule 5 are about an expanded definition of plagiarism, update on some official title and websites.
3. _{Impact Development as a Grant Deliverable (Para 12.4)}
  
  Considering RGC’s additional emphasis on research impact, impact development is added as one of the expected grant deliverables.
4. _{Conditions for Overhead Reduction (Para 14.3(b))}
  
  Worthiness of research and advancement of University mission are added as factors affecting overhead reduction.
_{Provisions Concerning University Contracts to be Adopted by Relevant Unit(s)}

There are detailed operational rules concerning the signing and administration of University contracts under the Policy on Research, Intellectual Property and Knowledge Transfer. These provisions have not been included under the Policy on Intellectual Property and the Policy on Research because they are only intended for the internal use of a few Units that are responsible for or have authorities to enter into agreements on behalf of the University. These Units may click here for those provisions for adoption or incorporation under their internal guidelines or operating manual.

_Enquiries

If you have any enquiries, you may contact the following officers of the Office of Research and Knowledge Transfer Services:

Re Policy on Intellectual Property	Ms Florence YAT , Assistant Legal Manager (Legal Team), at This email address is being protected from spambots. You need JavaScript enabled to view it. or 3943 8882
Re ethics related provisions under Policy on Research	Ms Candy KUNG, Research Administration Officer (Administration Team), at This email address is being protected from spambots. You need JavaScript enabled to view it. or 3943 1666
Re grants related provisions under Policy on Research	(1) Mr Barry TAI, Assistant Research Administration Manager (Grants Team), at This email address is being protected from spambots. You need JavaScript enabled to view it. or 3943 5428; or (2) Ms Joanne TSANG, Assistant Research Administration Manager (Grants Team), at This email address is being protected from spambots. You need JavaScript enabled to view it. or 3943 1837