(1)    These regulations are drawn up pursuant to the Copyright, Designs and Patents Act 1998, the Patents Act 1977 and other relevant legislation. All references to “inventions” in this Regulation shall include copyright in computer software and in designs covered by the legislation regarding Design Rights, but shall not include the copyright in publications in non-electronic form.

(2)    (a)    Any invention made by academic staff employed in the grades of Professor, Reader, Associate Professor (or Senior Lecturer) and Assistant Professor (or Lecturer), and all grades of research staff, in the course of their University duties or when using University facilities shall be subject to these regulations.

(b)    Any invention made by any other members of staff of the University shall be governed by these regulations if made in the course of the normal duties of the member of staff concerned or in the course of duties falling outside his/her normal duties but specifically assigned to him/her and the circumstances in either case were such that an invention might reasonably be expected to result from the carrying out of his/her duties, or at any other time when using University facilities.

(c)    Any invention made by any person who is not an employee of the University but on whom the University has conferred an honorary title shall be governed by these regulations if the invention has resulted from work carried out during his/her collaboration with the University and/or the use by that person of university facilities. (In these Regulations all subsequent references to ‘member of staff’ shall be deemed to include persons described by this paragraph.)

(d)    Inventions made by a member of staff and which are subject to these regulations by virtue of one of the three preceding paragraphs (a), (b) or (c) are hereinafter referred to as ‘relevant inventions’.

(e)    Inventions made by registered students of the University are deemed to be included in the definition of relevant inventions and are subject to these regulations.

(f)    Inventions arising from research carried out by a member of staff under an outside consultancy for which specific permission has been given by the Vice-Chancellor are subject to the terms of the consultancy agreement, but will be deemed to be included in the definition of relevant inventions where such invention derives in whole or part from research carried out by a member of staff in the course of their University duties or when using University facilities.

(g)    All inventions other than relevant inventions shall, as between the member of staff and the University, belong to the member of staff and are not covered by these regulations.

(3)    Relevant inventions derived from research carried out by a member of staff or a student with the support of a grant or contract from a research council or any other sponsoring body are also subject to the conditions for the exploitation of research results laid down by the relevant research council or other sponsoring body and entered into by the University on acceptance by the University of the grant or contract.

(4)    If a member of staff makes a relevant invention he/she shall report this to the Director of Warwick Ventures or to the Registrar with full details of how the invention was made, who else was concerned in the invention and what equipment and materials were used. The member of staff shall then consult with the Director of Warwick Ventures or Registrar on whether and how the relevant invention might be protected and exploited.

(5)    The member of staff shall be encouraged actively to participate in such exploitation to ensure that both the University and the member of staff shall obtain optimal financial and academic rewards. In order to ensure that exploitation is optimal and to the benefit of all parties, the member of staff shall not on their own account take any steps towards exploitation, and in particular shall not file a patent nor become director or shareholder in a company intended to exploit such inventions, without written authority in advance from the Registrar.

(6)    The member of staff should observe the strictest confidence in relation to any relevant invention in order not to jeopardise the validity of any patent for which application might subsequently be made.

(7)    Notwithstanding Section 39, Patents Act, 1977, if following consultations between the member of staff and the Director of Warwick Ventures, it is determined that the University does not wish to participate in the development or exploitation of the relevant invention, the member of staff may request that the invention be assigned by the University to the member of staff or other designated party. This request will normally be granted, unless there are special factors that indicate that it may be contrary to the best interests of the University. The confirmation of the granting of any such request shall be by the Registrar.

(8)    In all other cases, a relevant invention shall belong to the University which shall undertake responsibility for the further development, protection and exploitation of the relevant invention. The member of staff concerned shall, in consultation with the University, do any one or more of the following:

(a)    co-operate with the University in applying for patent protection in the United Kingdom or elsewhere in respect of the relevant invention;

(b)    enter into any appropriate agreements for protecting the secrecy of the relevant invention;

(c)    collaborate with the University in the exploitation of the relevant invention.

(9)    The University wishes to share the benefits of exploitation with the member or members of staff who were involved in the inventive process. The shares that shall apply are specified in Financial Regulation 24, where the exploitation is by means of licence, and in Financial Regulation 25 in the case of spin-out companies.

(10)    In the case of a dispute between the University and an inventor(s), in relation to either ownership of an invention or exploitation of an invention, or the sharing of revenue arising from an invention, the University will not unreasonably withhold its agreement to refer the dispute for independent arbitration, within the meaning of the Arbitration Act 1950 or any re-enactment or modification thereof for the time being in force, by an arbitrator, who shall be agreed by both parties. In default of agreement concerning the Arbitrator, the Arbitrator shall be nominated by the President of the Law Society.

Note: The term ‘member of staff’ of the University in these Regulations means all employees of the University, or previous employees who were employees at the time when a significant part of the invention was made.