Draft v2.

Guidelines for Awareness, Protection and

Management of Intellectual Property Rights
(IPRs)
in the University System in India

UNIVERSITY GRANTS COMMISSION

NEW DELHI
Contents
Foreword
Acronyms
I. Background
II. Introduction
III. Objectives
IV. Intellectual Property Management (IPM) Cells
IPM Advisory Committee
Funding
V. Regional IPR Facilitation Centres (RIFC)
Regional IPR Committee (s)
Funding
VI. National IPR Facilitation Centre (NIFC)
National Advisory Committee
National Steering Committee
Funding
VII. Financial Support from the UGC
VIII. Implementation

Annexure (s)
Suggestive Guidelines on Ownership of IPR and Revenue Sharing Mechanism I
Form for Submitting Proposal for IPM Cell II

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Acronyms

CEC : Consortium for Electronic Communication

CSIR : Council for Scientific and Industrial Research
DST : Department for Science and Technology
GATT : General Agreement on Trade and Tariff
IPR : Intellectual Property Rights
IPM : Intellectual Property Management
ICAR : Indian council for Agriculture Research
ICMR : Indian Council for Medical Research
NIFC : National IPR Facilitation Centre
NRDC : National Research and Development Centre
RIFC : Regional IPR Facilitation Centre
TIFAC : Technology Information and Forecasting Centre
TRIPS : Trade Related Intellectual Property Rights
UGC : University Grants Commission

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I. Background
1.1 Property has been at the very core of long struggle for rights. Generally,
this right to property refers to tangible property like land, building and other
resources. Realizing the potential of knowledge as main creator of wealth in the
new knowledge economy, the focus is now on protecting and managing
Intellectual Property (IP)1. So much so that this led to incorporation of Trade
Related Aspects of Intellectual Property Rights (TRIPS) within the framework of
World Trade Organization (WTO) in the 1994 in context of cross-border trade
between nations.

1.2 Managing knowledge that is protected or protectable and is normally

embedded in patents, copyrights, designs etc. is a major challenge facing us. The
basic criterion for protection of an innovation is that it must have elements of
novelty, non-obviousness and utility. The satisfaction derived and economic
returns from protected knowledge motivates new knowledge creation and
therefore fuels innovation. Trend world over is to protect new knowledge as
Intellectual Property (IP) with private ownership.

1.3 Innovation is the key to sustained economic development and source of

competitive advantage for nations. Indian research and development has to be
globally competitive to fuel this innovation. The universities need to do truly
innovative research. This requires an environment that facilitates the process.
Generation of intellectual property, its capture, documentation, protection,
evaluation and its exploitation assumes crucial importance in this context.
Therefore, there is a need for creating an awareness, putting in place an enabling
policy environment, proper structures and processes and also provide financial
support to enable researchers to protect their Intellectual Property Rights
(IPRs)2. Since, university system is an important part of the National Innovation

1
Intellectual Property is a general term covering patents, copyrights, trademarks, industrial
designs, geographical indications, protection of layout design of protection of undisclosed
information (Trade secrets).
2
Intellectual Property Rights are legal rights that results from intellectual activity. The
intellectual activity may include any activity in industrial, scientific, literary and artistic fields.

3
System, there is a need to put in place this system to cover the universities in the
country.

1.4 Indian contribution to the pool of international patents today is presently

insignificant; though this is rising now. Universities are not in a sound position
compared to research institutions and industry. This needs to improve by
changing the research culture in the universities. The researchers in the
university system need to be encouraged to patent (wherever possible) through
appropriate incentive and facilitative mechanism. Title of the intellectual
property created should lie with its creator. For this purpose, universities should
insist on clear understanding with funding agencies. The overall philosophy
should be that the inventor (rather than the university or the funding agency)
gets the full academic recognition and major share of earnings if any from an
IPR. IPRs should be duly recognized as an academic accomplishment at par with
publication in refereed scholarly journals for the career development of the
faculty and researchers. For this purpose, Career Advancement Scheme need to
be suitably amended by providing similar weight age to patents, (national/
international), and technology transfer as scholarly publication in peer reviewed
journals. Universities must encourage patent search before registration of topics
for doctoral research as a healthy practice to avoid duplicate research efforts and
waste of time and energy.

II. Introduction
2.1 In view of the above, all universities need to be encouraged to set up
Intellectual Property Management (IPM) Cells. UGC shall facilitate 50 (fifty)
universities having research focus to set up such cells. IPM Cells shall create their
own corpus with a view to become financially sustainable over a period of time.
UGC shall establish a National IPR Facilitation Centre (preferably at one of the
universities in Delhi) and four (4) Regional IPR Facilitation Centres (RIFCs) in
four universities located in the four regions of the country with a view to create
awareness, facilitate and protection and management of IPRs from the university

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system in the country. Location of National / Regional Centres in the universities
shall be finalized on competitive basis. Though, under these guidelines,

2.2 IPR Facilitation Centres under the UGC will work closely in association
with the National Patent Office and the Regional Patent Offices under the
Ministry of Industrial Policy and Promotion, Government of India. Attempts
shall be made so that Patent Information System of the Ministry could be
extended to the IPM Cells or at least to the National / Regional Centre(s) in the
university system. UGC shall provide funding support to enable the universities
to file both Indian and the International patents. Whereas funding for filing
Indian patents shall be provided through the Regional Centres, funding support
for filing International / US patents shall be provided through the National
Centre. A panel of Patent attorneys shall be maintained and fee structure laid
down to enable the universities to use their services for filing of patents. Similar
processes shall be adopted for other types of IPRs.

2.3 IPM Cells in the universities and the IPR Facilitation Centres at the
national level and the regional levels will work closely with the IPR Chairs [Four
established by the Ministry of HRD and two by CSIR] for promotion of IPR
education and training in the country. For this purpose, standard model
curriculum and learning material (both in print and multi-media formats) for
regular academic programs as well as short-duration training courses shall be
prepared. Support of Consortium of Electronic Communication (CEC) could also
be sought for the purpose. IPR Cells / Centres shall facilitate for launch of full-
fledged academic programmes aimed at development of manpower in the area of
IPR. These Cells in the universities and the IPR Facilitation Centres at the
national level and the regional levels shall also work closely with the Ministry of
HRD, Patent Facilitating Cells under TIFAC, IPR Cells under the Ministry of
Electronics, CSIR, ICMR and ICAR for creation of awareness on need for IPR
protection and its effective management in the new world order.

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2.4 IPM Cells in the universities and the IPR Facilitation Centres at the
national level and the regional levels will also work with the NRDC in the process
of obtaining IPR and also for ensuring successful transfer and commercialization
of technologies. WIPO University Interactive Program shall be effectively utilized
for awareness building and basic training on IPR issues in the university system
in the country.

2.5 Selected universities (particularly universities with potential for

excellence) could be persuaded to start academic programmes on IPR related
issues (through full-fledged Department(s), if possible). UGC could also support
new academic programmes on IPRs in Universities / Colleges under its scheme
for "Support for Innovative Programmes' of the UGC. Academic Staff Colleges
(ASC) could be advised to offer Refresher courses focused on IPR.

2.6 In these guidelines, IPRs would include not only patents but also plant
varieties protection, design and integrated circuits and other innovations that
require mandatory registration for protection

III. Objectives
3.1 University Grants Commission (UGC) is committed to maximize the
benefits that the universities get from their intellectual capital by stimulating
higher levels of innovation through a comprehensive system of rewards, ensuring
timely and effective legal protection for their IP and leveraging and forging
strategic alliances for enhancing the value of their IP. This scheme has been
conceived with the following objectives:
To create awareness and develop a culture for protection and management
of IPRs in the universities.
To facilitate protection and management of IPR created in the University
system in the country by creation of an enabling environment that fosters
innovation.

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 To assist researchers and faculty members to have access to best practices
for identification, protection and management of IPRs in order to
maximise the benefits and returns from investments in research.

IV. Intellectual Property Management (IPM) Cells

4.1 Universities have the primary responsibility towards creation of new
knowledge. Some of this knowledge has economic value requiring protection.
Therefore each university should ideally have its own Intellectual Property
Management (IPM) Cell. Such cells would not only provide universities an
additional source of revenue, but would also promote academic and
entrepreneurial activities within the university community by ensuring that
inventor’s / creator’s work is protected by appropriate law / mechanism.

4.2 The IPM Cell shall be responsible for the entire portfolio of intellectual
property of the university. The Cell would put in place an enabling policy
environment, proper structures and processes and also provide financial support
to encourage creation of intellectual property, its capture, documentation,
protection, evaluation and its commercialization. The IPM cell will be
empowered to manage the University’s intellectual property (IP) and to provide
patenting, licensing and other IPR related services to all departments / centres of
the university. IPM cell will be authorized, on behalf of the university, to file
patent applications and execute other documents; execute license and technology
transfer agreements enter into unilateral and bilateral confidentiality and non-
disclosure agreements, and execute other documents related to patents and
confidentiality. More specifically it should encourage innovation in the university
by supporting inventor(s) to file patents and assist them in its commercialization
either directly or through an outside agency. Similar processes shall be followed
for other kind of IPRs.

4.3 When an invention is made, the inventor(s) should submit the following
documents to the IPM Cell for objective evaluation of the invention and its

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patentability - The nature of invention; the name(s) of the inventor(s); complete
patent search and potential use of the invention along with such other details as
may be required.

4.4 The IPM Cell will accept all proposals for patents and scrutinize them with
the help of the Advisory Committee and then recommend suitability of the
proposal. While presenting the invention in front of the committee, the Principal
Inventor must have a confidentiality agreement between all the members of the
IPM cell and the inventing group. The Principal Inventor must submit a list of
inventors in the group to the IPM cell to avoid any future misunderstanding. In
case the cell cannot decide on the national and/or international patentability of a
particular invention, the outline of the invention (particulars about the
process/product without going into technical details of invention) may be sent to
an expert for the comments about the patentability of the invention. Principal
Inventor’s suggestion may also be forwarded to the expert(s) for consideration.

4.5 The decision of the IPM cell should be communicated to the inventor(s)
with maximum clarity about the status of the invention i.e. patentability and
about filing national/international patent applications. Normally the inventor(s)
should work through the IPM cell for patenting their inventions. Considering
urgency of filing a patent the IPM Cell may be empowered to file a Provisional
Patent through the University or University approved patent attorney and the
final decision about filing the full specification should be taken at the earliest.

4.6 It is important to realize that a patent has a value only if it has commercial
potential and viability. R & D effort is expensive and transfer of its results to
users is a complex process. The University should preferably grant non-exclusive
license for commercialization. Exception may be made on case-to-case basis.
Any technology transfer will be associated with an agreement between the
University or the agency through which the University is transferring the
technology and the recipient of the technology. The University should decide the
payment terms before the agreement is made. The royalty and the revenue will

8
be shared according to the policy decided by the University. On matters of
ownership of IPR and revenue sharing mechanism, an arrangement has been
suggested at Annexure I.

4.7 Generally the University shall seek indemnity from any legal proceedings
while transferring know-how in case of manufacturing defects, production
problems, up gradation and debugging obligation which can be done only by a
commercial organization. There may be a situation where in spite of all
indemnity clauses litigation may arise. A part of the revenue earned from the
technology transfer should therefore be kept separately for addressing such legal
cases. If the technology transfer is through some other agency, the responsibility
of bearing legal expenses will lie with that agency.

IPM Advisory Committee

4.8 The IPM Cell at the university level shall be guided and advised by an IPM
Advisory Committee. This Committee shall comprise of the Vice Chancellor (as
its Chairman, Dean-Research or Dean-Faculty of Sciences or Director-
Postgraduate Studies (as its Member Secretary), Director, Patent facilitating
Centre of TIFAC or his nominee, Patent attorney/ Regional patent office
representative and a faculty member with appropriate expertise in marketing and
finance. Two professors of the University having knowledge and expertise of IP
and technology transfer as well as drafting skills to match international standards
would also be included.

Funding
4.9 UGC will provide seed funding to the Universities for setting up of the IPM
Cells on a selective basis. Non-recurring grant of a maximum of Rs. 5 lakh and a
recurring grant of a maximum of Rs.2 lakh per year per Cell for a period of five
(5) years) would be provided. Later, it would be reviewed. IPM cells would be
required to be self-sufficient on a long-term basis.

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4.10 Ideally patent filing costs should be borne by the project funding authority.
In case, it is an industry sponsored project, the industry should take the
responsibility of filing and maintaining the patents. Such an arrangement has an
inherent advantage of self-correction. Initially, UGC would provide full cost of the
patenting expenditure (both Indian and international as the case may be) till the
University generates sufficient corpus fund to become self sufficient. Normally,
one third portion of the money out of overhead expenses from the project grants
may be set aside for the IPM cell. Patent filling costs will be paid in any of the
following ways;
• IPM Cell’s own resources;
• From recurring grants received from the UGC. (To supplement this, some
funds would be available with National Centre for international patent
filing and some funds with the Regional Centres for patent filing within
the country by the UGC.)
• Paid by the inventor through project grants; (Some of the funding
agencies sanction grants only on the condition that the technology
developed as a result of the project funded by them will belong to the
funding agency. In that case the IPM cell will have to follow the
conditions laid by the funding agency.)
• Through external agencies like NRDC; (If an external agency like NRDC,
(National research and Development Corporation) a Govt. of India
enterprise, will fund the patent filling and licensing cost. In that case the
income will also be shared with the external agency.)

4.11 After considering a request from the researcher for filling patent or other
IPR, the IPM Cell may decide not to file an application but permit the researcher
to file an application on his own on such terms and condition laid down in this
guidelines regarding sharing of benefits. In such cases the researcher takes the
responsibility of filing the application. The University may financially assist the
researcher in deserving cases.

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4.12 In case the IPM Cell decide to file an application on behalf of the
University the IPM Cell may take immediate steps to file the application directly
to the Patent or other offices concerned with the help of lawyers identified for this
purpose. The cost of the same shall be met by the University from their funds and
later claimed from the RIFC.
4.13 In case the IPM Cell decides to file the application on behalf the University
without utilizing the funds of the University the IPM Cell shall forward the
application to the RIFC for filing.

V. Regional IPR Facilitation Centres (RIFC)

5.1 UGC will set up four (4) Regional IPR Facilitation Centres (RIFC). These
shall be located in four different regions of the country and hosted by university
to be identified on competitive basis in that region. RIFCs will have Faculty
Coordinator (Incharge) and Associate Faculty Coordinator on part-time basis to
be assisted by full time project staff to be appointed on contractual basis.

5.2 The RIFCs will have trained staff with appropriate computing and internet
facilities to access patent databases. The concerned RIFC will extend all help to
the university faculty for detailed patent searching and provide access to the
other patent related data bases. The regional centres will coordinate with the
Indian patents filed in region. These will be equipped with rich collection of IPR
related books and literature, CDs and useful information brochures / forms of the
Indian Patent office. These Centres would facilitate and promote the intellectual
property generation, patent filing and networking with the Universities in a
coordinated manner. These will organize short duration awareness programmes
for the universities of that region per year. The awareness Programme may be
held in different universities on rotation basis. The Regional Centres will receive
the patent application from the universities duly approved by the Intellectual
Property Management (IPM) cells and would initially take 100% financial and
administrative responsibilities for filing the patents in India including post patent
liabilities. In case the inventor(s) need to be personally present at the patent

11
attorney’s office for consultation, the travel and local stay expenses would be
borne by the RIFC.

Regional IPR Committee (s)

5.3 The RIFCs (Regional IPR Facilitation Centres) shall be steered by a
Committee set up at the regional level. Regional Committee (s) shall coordinate
activities of the IPM Cells in the region and guide and advise the Regional Centre.
Each RIFC will have its own panel of regional patent attorneys to deal with the
patent applications filed by the Universities of that region. The Regional Centres
will have skeleton trained manpower in IPR and equipped with computing and
internet facilities. The Centre Staff will interface with the TIFAC Facilitation
Centre in that region (if any) to help the University staff and students to access
IPR databases. The Centre Staff will help the University Staff and Students to
identify their innovations and carry out the preliminary study to shortlist
innovations that may be worthy of protection. The staff of the Regional Centre
will approach the UGC IPR Panel Expert in that region to take on the IPR activity
on behalf of the University Staff and Student. The Centre Staff will coordinate
with various industry bodies in the region to facilitate IPR awareness and
possible IPR licensing activities in due course.

Funding
5.4 Financial resources needed to establish RIFCs would initially be provided
by the UGC. UGC would provide a non-recurring grant of Rs. 15 lakh and a
recurring grant of Rs.8 lakh per year per centre for a period of five (5) years.
Thereafter, it would be reviewed for extension of support. RIFCs should work
towards becoming self-sustaining over a period time. Additional recurring grant
may be provided to the RIFCs towards e-imbursement of cost of filing patents in
India by the universities.

5.5. The RIFC, may also, in deserving cases refund the cost of filing IPR
applications met by the Universities after complying the procedure for funding
above.

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VI. National IPR Facilitation Centre (NIFC)
6.1 UGC will establish a National IPR Facilitation Centre (NIFC). This will be
hosted by one of the Universities to be selected on competitive basis. NIFC would
be set up in partnership with DST / TIFAC. NIFC would comprise of a Faculty
coordinator (Incharge) and an Associate Faculty Coordinator on part-time basis
to be assisted by full time project staff to be appointed on contractual basis.

6.2 The National Centre through its four regional centres will monitor the
activities of the University’s IPM Cells with policies for ownership, protection and
exploitation of intellectual property and provide appropriate guidance to these
cells for patent filing, ensuring technology transfer etc. NIFC will coordinate
activities pertaining to International patents filed. NIFC will function as a Central
Co-ordinating Agency for RIFC at regional level. It will provide guidance,
assistance and co-ordinate all activities of the Centres under it. NIFC will publish
a Source Book on Innovation Management and newsletters for patent related
information. NIFC shall also create an interactive portal on information sharing
and interaction between different agencies and the universities. NIFC will assist
the universities to frame guidelines on sharing of financial benefits and
professional incentives for the inventors in addition to the royalty obtained from
the technology transfer. The NIFC will advise the universities on issues like
provision for special academic / professional incentives to be given to those
faculty members whose technologies are transferred to industry in India and/or
abroad. For objective assessment on the status of IPR issues NIFC would conduct
surveys and collect and compile information on matters related to IPR in the
university system in the country.

6.3 NIFC will advise the universities on appropriate legal action after
examining any patent related litigation faced by the University such as
infringement, suppression of facts, fraudulent action by third party, and
duplication of patent through insignificant changes. NIFC shall also mobilize
public opinion and influence government decision or policy on diverse IP issues

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through analytical and scientific studies and spearheading the movement towards
formulating a national IP policy for Indian Universities. A website with focus for
dissemination of IPR related information and for interaction between different
Cells and Centres on IPR could be put in place through the National Centres. The
National Centre would also coordinate with other agencies for capacity building
of faculty members and staff associated with the IPM Cells and Regional Centres
through training and development programmes. A comprehensive list of resource
persons with various competences shall be prepared for use in the system.

6.4 NIFC shall suggest policy on sharing IPR between an Indian University
inventor and a foreign collaborator. NIFC will maintain a complete database of
the expertise available in the Universities. Any query from an industry or any
other organization on a specific area of expertise.

6.5 NIFC shall work towards suitably integrating IPR issues in curricula at
appropriate levels in different field of study as may be required. A short but
precise Pre-Ph.D. course could be included in the M.Phil or Pre-Ph.D. curriculum
in each University. NIFC would also advise the universities on appropriate
royalty sharing, confidentiality in case of foreign collaboration projects.

National Advisory Committee

6.6 NIFC will be steered by a National Advisory Committee consisting of 10-15
members comprising of patent professionals, representatives from Ministries of
HRD, Commerce and Industry, Science and Technology, Information
Technology, scientists, technologists and doctors, and eminent patent lawyers.
This Committee shall lay down policy, decide norms for assistance of IPM Cells
and RIFCs (within the ceiling provided under the scheme), ensure coordination
with other agencies involved in IPR activities in India and periodically review the
performance of the National / Regional IPR Centres with a view to and propose
mid course corrections, if any.

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National Steering Committee
6.7 NIFC would have a small steering committee comprising of NIFC Director,
all four directors from RIFCs, two patent attorneys, and representatives from
TIFAC, CSIR and DBT. The steering committee shall be responsible for steering
different activities taken up the National Centre.

Funding
6.8 Financial resources needed to establish NIFC would be provided by the
UGC. UGC would provide a non-recurring grant of Rs. 15 lakh and a recurring
grant of Rs.10 lakh per year for a period of five (5) years. Thereafter, it would be
reviewed for extension of support. NIFC should work towards becoming self-
sustaining over a period time. Additional recurring grant may be provided to the
NIFC towards re-imbursement of cost of filing international patents by the
universities.

VII. Financial Support from the UGC

7.1 During the 10th Plan period, the level of financial support from the UGC
under the IPR Initiative shall be as given in the Table below. The budget indicates
UGC's contribution. For the National Centre, additional financial support is
expected from the Department of Science and Technology (DST). Detailed break
up would be worked out by the National Committee. Non-recurring grants are
meant for infrastructure and facilities for setting up of the Cells / Centres. The
recurring grants are to take care of operating expenses of the Cells / Centres as
also actual expenses incurred on different activities like filing of patents /
protection of other form of IPRs and also awareness building and training
seminars and workshops. Whereas, recurring grant for the IPM Cells shall
remain RS.2 lakh, the amount for National / Regional Centres shall be based on
level of activity in these centres and the amount shall be accordingly replenished,
if required. During the 11th Plan, the National / Regional Centres would be
suitably strengthened.

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 Table: Level of Financial Support from UGC

Unit Non- Recurring / Remarks

Recurring per annum
National Centre* Rs.25 lakh Rs. 15 lakh Entire cost including cost of
filing patents / protecting
Regional Centre Rs.15 lakh Rs. 8 lakh
other IPRs in India
(s)
international patent filing,
awareness and training
programmes shall be borne
by the UGC.
IPM Cells Rs.5 lakh Rs. 2 lakh Seed funding only.

* The National Centre shall be set in partnership with DST.

VIII. Implementation
8.1 As a first step, the National Advisory Committee shall be constituted. This
committee will invite proposals from the universities for setting up of IPM Cells.
Proposals from universities for hosting the Regional Centre (s) and the National
Centre shall also be invited. Whereas for the IPM Cells, only seed funding shall be
provided by the UGC. In case of National / Regional Centres, total cost shall be
borne by the UGC. Norms for funding of National / Regional Centres shall be
decided by the National Committee.

8.2 Grants to the Regional Centres and the IPM Cells will be disbursed
through the National Centre. National Centre will in turn receive lump sum grant
from the UGC for this activity. However, before the National Centre is set up,
these grants may be given directly by the UGC. Universities seeking assistance
from the UGC for setting up of IPM Cells will have to make an application
(through the Regional Centre) to the National Centre in the format given at
Annexure II. The National Committee after assessing the research profile and
potential of the University would recommend the grant to the University. Eighty

16
percent of the non-recurring grant would be released immediately on approval of
the IPM Cell for the University and the balance twenty percent would be released
on receiving report of having set up the Cell. Recurring Grant would be released
in the beginning of each financial year on receipt of the return and a statement of
expenditure for the previous year and the work programme and financial
estimates for the current year. Same process hall be adopted for the Regional
Centres. Proposals for re-imbursement of expenditure on patenting will be
decided at RIFC level for patent in India and for international patents by the
NIFC. If there is any doubt/dispute regarding suitability of the proposal
decision of the NIFC will be final. Permanent teachers/researchers working in
the University/Research Organisations are eligible for the financial assistance
provided their parent organizations are recognized under Section 12B of the UGC
Act.

8.3 UGC will release, in the first year, an on-account grant of Rs.50 Lakh to
the National Centre. Subsequent grant will be released on receipt of statement of
expenditure, utilization certificate and detailed progress report of the activities
undertaken by the National / Regional Centres and the IPM Cells.

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 Annexure I
Guidance on Matters Relating to Ownership of IPR and
Revenue Sharing Mechanism

(A) Ownership of Intellectual Property Right

For owner of IPRs there are two possibilities:
(a) The invention is totally owned by the inventor(s). It is not constrained by any
terms of agreement by a sponsor or any third party. The inventor, however, may
use the University resources and facilities during working hours.
(b) The invention may be generated through sponsored research routed through
the University and subjected to sponsor's terms and conditions which the
University has accepted.

If a patentable invention is made through a sponsored research project granted

by any government or a private funding agency, the University must make an
MoU with the funding agency in case the latter wants to stake claim on the
invention. Recently the Government funding agencies under an instruction from
the Government of India have decided not to stake any claim on an invention
made by a university scientist working under sponsored research project. Under
such circumstances, the University should hold the right and privileges to
negotiate and transfer the technology for commercial exploitation even without
any concurrence of the funding agency. On the other hand, when MoU is to be
made with the funding agency, the University should take into account of its own
laboratory facilities, library and internet facility, manpower and other
infrastructural facility partly or fully, as the part of expenses during the course of
invention.

Sometime the industry is willing to collaborate with the University scientist for
optimization of an invention which has already been partly or fully developed as
'Proof of the Concept' but has not been protected through IPR and therefore, has
not reached to a stage of disclosure. Under such circumstances, the university

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should ask the inventor to make a confidentiality agreement with the collaborator
so that the intellectual property generated by the inventor or through
collaboration should not be misused by either of the collaborating partners. Even
the research students associated in that collaborative project should also be
brought under that confidentiality agreement. No information under such an
invention should be published or made part of the student's thesis until patent
application is filed.

Any collaborative work funded partially or entirely by industry should have the
following components of understanding.
- Confidentiality agreement
- Exclusive/ non-exclusive nature of ownership of know-how
- Period of agreement
- Phase of payment
- Royalty sharing/ one-time payment
- Deputation of manpower and terms of agreement
- Facilities from industry to be extended to university deputed staff in terms of
salary and other benefits
- Any other specific terms that may be required.
A compendium for the purpose may be prepared.

(B) Revenue Sharing Mechanism

The revenue received by the University from a transfer of technology should be
shared between the University and the inventor(s). Each university is required to
have definite guidelines for the purpose. The overall philosophy should be that
the inventor (rather than the university or the funding agency) gets the full
academic recognition and major share of earnings if any from an IPR. Suggested
arrangement could be as under:

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Case 1: When IPM cell is funding the patenting in India and licensing cost

Annual Net IPM cell’s share Department share Inventor’s share

Revenue (%) (%) (%)
Up to 10 lakh 10 10 80
Up to 1 crore 15 15 70
Above I crore 25 25 50

Case 2: When IPM cell is funding the patenting abroad and licensing cost

Annual Net IPM cell’s share Department share Inventor’s share

Revenue (%) (%) (%)
Up to 10 lakh 35 5 60
Up to 1 crore 35 10 55
Above I crore 35 25 50

Case 3: When the inventor is paying the patenting and licensing cost through
his/her research grants

Annual Net IPM cell’s share Department share Inventor’s share

Revenue (%) (%) (%)
Upto 10 lakh 10 10 80
Upto 1 crore 10 15 75
Above I crore 10 20 70

Case 4: When NRDC or nay any External Agency is funding the patenting
and licensing cost

Annual Net IPM cell’s NRDC’S Department Inventor’s share

Revenue share share share (%)
(%) (%) (%)
Upto 10 lakh 10 30 5 55
Upto 1 crore 10 30 10 50
Above I crore 10 30 15 35

In case there is more than one inventor, the inventors’ share shall be divided
among all inventors as per mutually agreed terms between them. When the
revenue has to be shared with an external agency, such as NRDC etc, the agency’s
share should be decided through a MoU between the University and that agency
for a particular invention.

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 Annexure II
Form for Submitting Proposal for IPM Cell
1. Name of University
2. Address
Phone Number
Fax
E-mail
3. Whether the University is qualified under Section 12-B
4. Head of the Institution
5. Nodal Person on IPR Related Matters
6. Academic Profile of the University
No. of courses No. of students on Broad subject area
rolls
Under Graduate
Post Graduate
Doctoral

7. Total Number of Faculty Members (along with nos. with Ph.D.)

8. Research Activity

9. Sponsored Research Activity

10. Citations

11. Patents
Whether having Indian Patents
Whether having International Patents
12. Would you like to be considered for Regional Centres, if so please provide
justification why your university should be considered to host the Regional
Centre?

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