1.1.1. The core mission of the Universiti Brunei Darussalam (“University”) is to empower future-ready leaders through innovative education and enterprising research, driven by national aspirations and guided by the values of Malay Islamic Monarchy (MIB).

1.1.1. 文莱达鲁萨兰大学（以下简称“大学”）核心使命是在民族愿望的驱动下，以马来伊斯兰君主制（MIB）的价值观为指导，通过创新教育和进取研究，赋予未来的领导者权力。

1.1.2. The University is committed to ensuring that Intellectual Property (IP) emanating from its Academic and Research activities is used for the benefit of the University, the Creators and, most importantly, society-at-large.

1.1.2.大学致力于确保其学术和研究活动中产生的知识产权（IP）用于造福大学、创作者，最重要的是造福整个社会。

1.2. Purpose of the IP Policy

1.2.知识产权政策的目的

1.2.1. Promotion of IP utilization. The IP Policy intends to facilitate the widespread use of the University's IP through various modalities of access.

1.2.1.促进知识产权的利用。知识产权政策旨在通过各种访问方式促进大学知识产权的广泛使用。

1.2.2. IP management. The IP Policy seeks to set the framework for the translation of the IP arising from the University’s Research into products, services and processes. It encourages Staff Members, Students and Visitors to become Creators and to identify IP with potential commercial value. It also establishes clear rules and procedures for the management and Commercialisation of such IP generated at the University.

1.2.2.知识产权管理。知识产权政策旨在为将大学的研究成果转化为产品、服务和流程建立框架。该政策鼓励教职员工、学生和访客成为创作者，并识别具有潜在商业价值的知识产权。它还为大学产生的此类知识产权的管理和商业化制定了明确的规则和程序。

1.2.3. Balance of interests. The IP Policy seeks to ensure the legal protection, where applicable; effective management and Commercialisation of University IP; while at the same time not impeding with the traditions of education and scholarship, academic freedom, open and timely publications, University sovereignty, and the University’s mission of serving the public interest.

1.2.3.利益平衡。在适用情况下，知识产权政策旨在确保法律保护；大学知识产权的有效管理和商业化；同时不妨碍教育和学术传统、学术自由、公开和及时的出版物、大学主权以及大学为公众利益服务的使命。

1.3. Overall Principles

1.3.整体原则

The University operates under the following overall principles:

大学的整体运作原则如下所示：

1.3.1. Responsible Commercialisation. Where IP arises that has commercial potential as a result of Research, the University intends to make such IP available in a form that will most effectively promote its development and use for economic and social benefit.

1.3.1.负责任的商业化。在研究产生了具有商业潜力的知识产权时，大学打算以一种最有效地促进其发展和使用以获得经济和社会利益的形式提供此类知识产权。

1.3.2. Incentives. The University wishes to recognize and reward Staff Members, Students and Visitors whose IP generates a demonstrable socio and/or economic impact.

1.3.2.激励措施。大学希望表彰和奖励其知识产权产生明显社会和/或经济影响的教职员工、学生和访客。

1.3.3. Local development. The University encourages Research that responds to the local, regional and national needs. In its efforts to Commercialise University IP, the University shall seek to optimize the economic and societal benefits for industry.

1.3.3.地方发展。大学鼓励针对地方、区域和国家需求的研究。在努力将大学知识产权商业化的过程中，大学应寻求优化产业的经济和社会效益。

PARAGRAPH 2 – DEFINITIONS

第2款——定义

In this Policy, the definitions set out below shall apply:

在本政策中，以下定义应适用：

Appointment. A formal agreement for a Visitor at the University, which is a prerequisite to participate in or conduct Research, scholarship, creative work, or teaching at the University.

聘任。大学访客的正式协议，这是在大学参与或进行研究、学术、创造性工作或教学的先决条件。

Author. Any person to whom this Policy is applicable, who individually or jointly with others makes a design, a mark or copyrightable work and who meets the criteria for authorship under the IP Law.

作者。本政策适用的，单独或与他人共同制作设计、标记或受版权保护的作品，并符合知识产权法规定的作者资格标准的任何人。

Assistant Vice Chancellor Innovation and Enterprise (AVCIE). Assistant Vice Chancellor Innovation and Enterprise (AVCIE) means the University’s Assistant Vice Chancellor for Office of Assistant Vice Chancellor Innovation and Enterprise as appointed by the Vice-Chancellor of the University.

助理副校长（创新与企业）（AVCIE）。助理副校长（创新与企业）（AVCIE）指由大学副校长任命的负责助理副校长（创新与企业）办公室的大学助理副校长。

Background IP. Any pre-existing IP created before the execution of any University Project, or before a Creator becoming subject to this IP Policy, by Appointment in the case of a Visitor, employment contract in the case of a Staff Member, or registration in the case of a Student.

背景知识产权。在开展任何大学项目之前，或在创作者受本知识产权政策约束之前，通过访客委任、教职员工的雇佣合同或学生注册而创建的任何预先存在的知识产权。

Commercialisation. Any form of utilisation of IP intended to generate value, which may be in the form of a marketable product, process or service, commercial returns, or other benefits to society. Commercialise is similarly defined.

商业化。旨在创造价值的任何形式的知识产权利用，可以是适销对路的产品、流程或服务、商业回报或其他社会效益。商业化的定义也类似。

Commercialisation Entity. A company that has access to the IP of the University, through any one or more of the available Commercialisation modes, to produce new products, processes or services. This can be a spin-off or start-up.

商业化实体。通过任何一种或多种可用的商业化模式，获得大学知识产权以生产新产品、新工艺或新服务的公司，比如，脱离母公司的公司或初创企业。

Conflict of Commitment (COC). Any situation in which an individual Staff Member’s or Visitor’s primary professional loyalty is not to the University because the time devoted to outside activities adversely affects their capacity to meet their responsibilities as set out in their employment contract of Appointment, respectively.

承诺冲突（COC）。个别教职员工或访客的主要职业忠诚并非针对大学的任何情况，因为他们从事外部活动的时间会对他们履行各自雇用合同规定职责的能力产生不利影响。

Conflict of Interest (COI). Any situation in which real or perceived interests of an individual Staff Member, Visitor or Student may run counter to the interests of the University or negatively affect their employment or duties.

利益冲突（COI）。个别教职员工、访客或学生的实际或感知利益可能与大学的利益背道而驰，或对其就业或职责产生负面影响的任何情况。

Course Materials. All materials used in, or in connection with, and for the purpose of, teaching an education course through the provision of lectures, tutorials, seminars, workshops, field or laboratory classes, assessments, practicum and other teaching activities conducted by the University.

课程材料。通过提供讲座、辅导、研讨会、讲习班、现场或实验室课程、评估、实习和大学开展的其他教学活动，用于教学或与教学有关或为教学目的的所有材料。

Creator. Any person to whom this Policy is applicable, who creates, conceives, reduces to practice, authors, or otherwise makes a substantive intellectual contribution to the creation of IP and who meets the definition of ‘inventor’ or ‘author’.

创作者。本政策适用的，创造、构思、付诸实践、创作或以其他方式对知识产权创造做出实质性的智力贡献，且符合“发明人”或“作者”定义的任何人。

Discovery Year Project. Any project undertaken by a Student during Discovery Year.

探索年项目。学生在探索年进行的任何项目。

Discovery Year Sponsor. Discovery Year Sponsor is an external party that allows a student to do an internship during the Discovery Year.

探索年赞助商。探索年赞助商是允许学生在探索年期间实习的外部方。

Enabler. Any assistants, technicians, and other individuals who have indirectly contributed to the creation of IP by Creators - and as such may not be listed themselves as an author or inventor in terms of statutory IPRs - mainly through the execution of standard tasks or following through on specific instructions, but without whose practical contribution the Commercialisation would not have been possible.

推动者。主要通过执行标准任务或遵循具体指示，对创作者的知识产权创造作出间接贡献的任何助手、技术人员和其他个人；不过，在法定知识产权方面，他们可能不会被列为作者或发明人，但如果没有他们的实际贡献，商业化就不可能实现。

Gross IP Revenue. All revenue received by the University on Commercialisation of University IP before any deductions for IP Expenses.

知识产权总收入。在扣除知识产权费用之前，大学从大学知识产权商业化中获得的所有收入。

University. Universiti Brunei Darussalam.

大学。文莱达鲁萨兰大学。

University IP. IP owned or co-owned by the University.

大学知识产权。大学拥有或共同拥有的知识产权。

Intellectual Property (IP). All outputs of creative endeavour in any field at the University for which legal rights may be obtained or enforced according to the IP Law.

知识产权（IP）。根据知识产权法可以获得或强制执行法律权利的大学任何领域的所有创造性努力成果。

IP includes:

知识产权包括：

a) literary works, including publications in respect of Research results, and associated materials, including drafts, data sets and laboratory notebooks;

a）文学作品，包括研究成果方面的出版物，以及相关材料，包括草稿、数据集和实验室笔记本；

b) teaching and learning materials;

b）教学和学习材料；

c) other original literary, dramatic, musical or artistic works, sound recordings, films, broadcasts, and typographical arrangements, multimedia works, photographs, drawings, and other works created with the aid of University resources or facilities;

c）其他原创文学、戏剧、音乐或艺术作品、录音制品、电影、广播和排版、多媒体作品、照片、图画和其他借助大学资源或设施创作的作品；

d) databases, tables or compilations, computer software, preparatory design material for a computer program, firmware, courseware, and related material;

d）数据库、表格或汇编、计算机软件、计算机程序的预备设计材料、固件、课件和相关材料；

e) patentable and non-patentable technical information;

e）可申请专利和不可申请专利的技术信息；

g) designs including layout designs (topographies) of integrated circuits;

g）设计，包括集成电路布图设计（拓扑图）；

h) plant varieties and related information;

h）植物品种及相关信息；

i) trade secrets;

i）商业秘密；

j) know-how, information and data associated with the above;

j）与上述相关的专有技术、信息和数据；

k) traditional knowledge and genetic resources; and

k）传统知识和遗传资源；和

l)any other University-commissioned works not included above.

l）以上未包括的任何其他大学委托的作品。

Intellectual Property Laws (IP Law). Intellectual Property Laws means any legislation related to IP under the laws of Brunei Darussalam.

知识产权法（IP法）。知识产权法指文莱达鲁萨兰国法律下与知识产权相关的任何立法。

Intellectual Property Rights (IPRs). The proprietary rights that may be granted for an invention, mark, design, plant variety, copyright, industrial design, Scholarly Works or other types of IP, when the statutory requirements for protection are met to result in a patent, trademark, registered design or plant breeders’ right, copyright, industrial design respectively.

知识产权（IPR）。在满足法定保护要求时，针对发明、商标、设计、植物品种、版权、工业品外观设计、学术著作或其他类型知识产权可授予的所有权，从而分别取得专利、商标、注册设计或植物育种家权利、版权、工业品外观设计。

Inventor. Any person to whom this Policy is applicable, who individually or jointly with others makes an Invention and who meets the criteria as defined in theIP Law.

发明人。本政策适用的，单独或与他人共同创造一项发明，并符合知识产权法定义标准的任何人。

IP Disclosure Form. The IP Disclosure Form is a form to be completed by a Creator or an Inventor and submitted to the Office of Assistant Vice Chancellor Innovation and Enterprise to document their creation (http://innovation.ubd.edu.bn/forms).

知识产权披露表。知识产权披露表是由创作者或发明人填写并提交给助理副校长（创新与企业）办公室以记录其创作的表格（http://innovation.ubd.edu.bn/forms）。

IP Expenses. All expenses incurred by the University in the management and Commercialisation of IP for which Gross IP Revenue has been received.

知识产权费用。就已收到知识产权总收入而言，大学在知识产权的管理和商业化中产生的所有费用。

IP Committee. The body within the University, set up in terms of Paragraph 4.1, which is responsible for overseeing the drafting, implementation, monitoring and evolution of the Policy, and for providing strategic oversight of the OAVCIE.

知识产权委员会。根据第4.1款规定设立的大学内部机构，负责监督政策的起草、实施、监测和演变，并为助理副校长（创新与企业）办公室提供战略监督。

Office of Assistant Vice Chancellor Innovation and Enterprise (OAVCIE). The administrative unit established in terms of Paragraph 4.2, responsible for day-to-day management of all IP-related activities of the University.

助理副校长（创新与企业）办公室（OAVCIE）。根据第4.2款规定设立的行政单位，负责大学所有知识产权相关活动的日常管理。

Net IP Revenue. Gross IP Revenue less IP Expenses.

知识产权净收入。知识产权总收入减去知识产权费用。

Open Educational Resources (OER). Teaching, learning and Research materials that reside in the Public Domain and that have been released under an open license that permits their free use or modification by others.

开放教育资源（OER）。属于公共领域的教学、学习和研究资料，根据允许他人免费使用或修改的开放许可制度发布。

Policy. This Intellectual Property Policy for Universiti Brunei Darussalam.

政策。文莱达鲁萨兰大学的知识产权政策。

Principal Counsel. Principal Counsel means the University’s Principal Counsel for Office of Legal Affairs as appointed by the Vice-Chancellor of the University.

首席法律顾问。首席法律顾问指由大学副校长任命的法律事务办公室的首席法律顾问。

Public Disclosure. The communication of information, relating to IP, to external parties. Public Disclosure includes, but is not limited to, disclosure in written or oral form; communication by email; posting on a web blog; disclosure in a news report, press release or interview; publication in a journal, abstract, poster, or report; presentation at a conference; examination of a thesis; demonstration of an Invention at a trade show; or the industrial application of an Invention.

公开披露。向外部各方传达与知识产权相关的信息。公开披露包括但不限于书面或口头形式的披露；通过电子邮件交流；在博客上发帖；在新闻报道、新闻稿或采访中披露；发表在期刊、文摘、海报或报告上；在会议上发言；论文审查；在贸易展览会上展示一项发明；或者发明的工业应用。

Public Domain. The freely accessible public realm in which works that are not protected by IP Laws, either because the rights have been forfeited or because the rights have been expired, are thereby available to the public at large and available for all to use without permission from the Creator or owner.

公共领域。可自由访问的公共领域，其中不受知识产权法保护的作品，无论是因为权利已被没收还是因为权利已过期，因此可供广大公众使用，并且可供所有人使用，无需创作者或所有人的许可。

Research.¹ Any creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and the use of this stock of knowledge to devise new applications. It comprises three activities: basic research, applied research and experimental development.

研究。¹为增加知识储备，包括关于人类、文化和社会的知识，以及利用这些知识储备设计新应用而在系统基础上进行的任何创造性工作。具体包括三项活动：基础研究、应用研究和实验开发。

Scholarly Works. All copyright works which are the outputs of academic Staff Members, Students or Visitors, including Research, creative and other outputs in area(s) of his or her expertise. It does not include Course Materials.

学术著作。学术人员、学生或访客的所有版权作品，包括其专业领域的研究、创意和其他成果。其中不包括课程材料。

________________________

¹ Definition from the Frascati Manual.

¹定义见《弗拉斯卡蒂手册》。

Sponsored Project. Sponsored Project is a project that is partially or fully funded either by an external party or the University. It includes a consultancy or a collaborative project but excludes Discovery Year Projects.

赞助项目。赞助项目是由外部方或大学提供部分或全部资助的项目。具体包括咨询或合作项目，但不包括探索年项目。

Sponsored Project Contract. Agreement between the University and the external party or sponsor regulating Sponsored Project, including IP terms.

赞助项目合同。大学与外部方或赞助商之间达成的协议，用于规范赞助项目，包括知识产权条款。

Staff Member. Any person who is under a contract of employment with the University including academic, Research, technical, administrative and adjunct staff, whether full-time or part-time or on a temporary basis.

教职员工。与大学签订雇佣合同的任何人，包括学术、研究、技术、行政和辅助人员，无论是全职、兼职还是临时的。

Student. Any student registered for an approved course at the University.

学生。任何在大学注册学习经批准课程的学生。

Substantial Use. Extensive unreimbursed use of the University’s resources which include but are not limited to facilities, equipment, Background IP that is not publicly available, human resources or funds. Use will be deemed not substantial for routine use of library, office space, or laptop, desktop computer.

大量使用。大量无偿使用学校资源，包括但不限于设施、设备、未公开的背景知识产权、人力资源或资金。日常使用图书馆、办公空间或笔记本电脑、台式电脑将视为非实质性使用。

Trade Secret. As defined under the IP Law or confidential information not publicly available that has commercial value because of its confidential nature which the University has taken reasonable efforts to keep confidential

商业秘密。根据知识产权法的定义，或因其保密性而具有商业价值且大学已采取合理措施保密的未公开的机密信息。

University Study Project. A project undertaken by a Student or a Staff Member or both whether funded or not by the University. It does not include Sponsored Project.

大学研究项目。由学生和/或教职员工共同承担的项目，无论是否由大学资助，不包括赞助项目。

Vice-Chancellor (VC). Vice-Chancellor means the Vice-Chancellor of Universiti Brunei Darussalam.

副校长（VC）。副校长指文莱达鲁萨兰大学的副校长。

Visitor. Any person who is neither a Staff Member nor a Student of the University who engages in work at the University, including visiting professors, adjunct and conjoint professors, teachers, researchers, scholars and volunteers; and who concludes an appointment agreement with the University.

访客。任何既不是大学教职员工也不是学生但在大学工作并与大学签订聘任协议的人，包括客座教授、兼职教授和联合教授、教师、研究人员、学者和志愿者。

PARAGRAPH 3 – SCOPE OF THE POLICY

第3款——政策范围

3.1. IP. This Policy applies to all IP generated at the University, in particular by Staff Members, Students and Visitors.

3.1.知识产权。该政策适用于大学产生的所有知识产权，尤其是由教职员工、学生和访客产生的知识产权。

3.2. Background IP. In case of any conflict with IP generated during their association with the University, Staff Members, Students and Visitors must submit proof that Background IP was developed before the association with the University for valid claims.

3.2.背景知识产权。与大学合作期间产生的知识产权发生冲突的，教职员工、学生和访客必须提交证据，证明背景知识产权是在与大学合作之前开发的，以便有效申诉。

3.3. Applicability. This Policy applies to all Staff Members, Students and Visitors who participate in a University Project or produce Scholarly Works. Rights and obligations under this Policy shall survive any termination of employment, enrolment or Appointment at the University.

3.3.适用范围。本政策适用于参与大学项目或创作学术作品的所有教职员工、学生和访客。本政策项下的权利和义务在大学终止雇佣、招生或委任后仍然有效。

3.4. Binding effect of the Policy. This Policy constitutes an understanding that is binding on the University, Staff Members, Students and Visitors on the following grounds:

3.4.政策的约束力。本政策构成了一项谅解，基于以下理由对大学、教职员工、学生和访客具有约束力：

3.4.1. Staff Members. The University shall ensure that the employment contract or other agreement establishing any employment relationship between the University and Staff Members include a provision placing Staff Members under the scope of this Policy.

3.4.1.教职员工。大学应确保雇佣合同或大学与教职员工之间建立任何雇佣关系的其他协议包括将教职员工置于本政策范围内的条款。

3.4.2. Students. The University shall ensure that the admission offer letter to a Student includes information related to this Policy and the Student’s obligations under it.

3.4.2.学生。大学应确保给学生的录取通知书包括与本政策相关的信息以及学生在本政策下的义务。

3.4.3. Visitors. The University shall ensure that Visitors sign an appointment agreement before commencing any activity at the University. Such agreement shall include information of the responsibilities of the Visitor under under this Policy and shall make reference to this Policy, a copy of which will be made available to the Visitor. (http://innovation.ubd.edu.bn/forms).

3.4.3.访客。大学应确保访客在大学开始任何活动之前签署一份聘任协议。该协议应包括访客在本政策项下的责任信息，并应参考本政策向访客提供本政策的复制件。(http://innovation.ubd.edu.bn/forms).

3.4.4. Informed consent. This Policy shall be included on the University’s website. In addition, a reference to this Policy shall be made in the terms and conditions of enrolment of Students, Appointment of Visitors, and employment agreement of Staff, academic catalogues or their equivalent. Such reference shall be in sufficient detail to ensure that they are aware of this Policy and has access to the full text.

3.4.4.知情同意。大学网站上应介绍本政策。此外，在学生注册、访客委任、教职员工雇佣协议、学术目录或同等文件的条款和条件中应提及本政策。此类参考资料应足够详细，以确保他们了解本政策并能获得全文。

PARAGRAPH 4 – GOVERNANCE AND OPERATION

第4款——治理和运营

4.1. IP Committee

4.1.知识产权委员会

4.1.1 Purpose. The University IP Committee that may include one or more subcommittees shall oversee the implementation and evolution of this Policy and provide advice to the VC through AVCIE (according to Paragraph 4.2 below).

4.1.1目的。可能包括一个或多个小组委员会的大学知识产权委员会应监督本政策的实施和演变，并通过助理副校长（创新与企业）向副校长提供建议（根据下文第4.2款）。

4.1.2. Composition. The Chair of the IP Committee is AVCIE who shall be appointed by the VC.

4.1.2.组成。知识产权委员会的主席是助理副校长（创新与企业），应由副校长任命。

4.1.3. Responsibilities. The IP Committee is the advisory body in the determination of IP management and Commercialisation strategy for University IP.

4.1.3.职责。知识产权委员会是决定大学知识产权管理和商业化战略的咨询机构。

4.1.4. Meetings. The IP Committee shall establish regular meetings and also be available for ad hoc meetings.

4.1.4.会议。知识产权委员会应定期召开会议，也可召开临时会议。

4.2. Office of Assistant Vice Chancellor Innovation and Enterprise (OAVCIE)

4.2.助理副校长（创新与企业）办公室（OAVCIE）

4.2.1. Purpose. The Office of Assistant Vice-Chancellor (Innovation and Enterprise) will assist the IP Committee in managing and Commercialising its IP in a form that will most effectively promote its development and use for economic and social benefit. It will also be the Secretariat to the IP Committee.

4.2.1.目的。助理副校长（创新与企业）办公室将协助知识产权委员会管理和商业化其知识产权，以最有效地促进知识产权的发展和应用，为经济和社会带来效益。它也将是知识产权委员会的秘书处。

4.2.2. Responsibilities. The responsibilities of the OAVCIE will include, but not limited to:

4.2.2.职责。助理副校长（创新与企业）办公室的职责应包括但不限于：

Outreach/awareness to Creators;

a.对创作者的宣传/认识；

Relationship management with Creators;

b.与创作者的关系管理；

IP management;

c.知识产权管理；

Technology marketing and IP contract negotiation;

d.技术营销和知识产权合同谈判；

IP contract management; and

e.知识产权合同管理；和

IP costs and revenue distribution.

f.知识产权成本和收入分配。

PARAGRAPH 5 – OWNERSHIP OF IP AND RIGHTS OF USE

第5款——知识产权的所有权和使用权

5.1. IP Created by Staff Members

5.1.教职员工创造的知识产权

5.1.1. University ownership. The University owns all IP emanating from any University study project created by a Staff Member:

5.1.1.大学所有权。在以下情况下，教职员工创建的任何大学研究项目产生的所有知识产权归大学所有：

in the course of and within the scope of his other employment; or

a.在其受聘期间和工作范围内产生的；或者

making Substantial Use of the University’s resources.

b.大量使用了学校资源。

Different terms may be applicable for Sponsored Project as defined in the Paragraph 5.1.3.

第5.1.3款定义的赞助项目可能适用不同的条款。

5.1.2. Staff Member ownership. Staff Members will either own or co-own the IP they have created when such IP:

5.1.2.教职员工所有权。教职员工将拥有或共同拥有他们创造的知识产权，前提是该知识产权：

is created outside the course and scope of their employment and without Substantial Use of the University’s resources;

a.是在他们受聘期间和范围之外创造的，并且没有大量使用学校资源；

vests in Scholarly Works (see Paragraph 5.5); or

b.归属学术著作（见第5.5款）；或者

for which the University does not wish to claim ownership and the University has communicated as such in writing.

c.大学不希望对其主张所有权，并且大学已就此进行了书面沟通。

5.1.3. IP emanating from Sponsored Project. Terms of the Sponsored Project Contract will regulate ownership of IP created by Staff Members as set out in Paragraph 7. In the absence of IP terms in a Sponsored Project Contract or in the absence of a Project Contract, the University owns the IP created under Sponsored Project.

5.1.3.赞助项目产生的知识产权。如第7款所述，赞助项目合同的条款将规范教职员工创造的知识产权的所有权。在赞助项目合同中没有知识产权条款或没有项目合同的情况下，则大学拥有赞助项目下创造的知识产权。

5.1.4. Appointment of Staff Members at another University. It is the responsibility of each Staff Member that holds an honorary or other academic or research appointment at another institution (Host University) to negotiate a suitable IP arrangement with the Host University prior to the tenure at the Host University so that the University owns the IP fully or partially based on intellectual contribution of the Staff Member. To the extent that the Host University's IP Policy makes a claim on IP created by the Staff Member pursuant to such appointment, the Staff Member shall bring to the attention to the AVCIE to get a waiver of applicability of this Policy by VC.

5.1.4.聘任另一所大学的教职员工。在另一机构（主办大学）拥有荣誉学位或其他学术或研究职务的每名教职员工，均有责任在任职前与主办大学协商合适的知识产权安排，以便大学根据教职员工的智力贡献完全或部分拥有知识产权。如果主办大学的知识产权政策对教职员工根据此类聘任创造的知识产权提出索赔，教职员工应提请助理副校长（创新与企业）注意，以获得副校长对该政策适用性的豁免。

5.2. IP Created by Students

5.2.学生创造的知识产权

5.2.1. University ownership. The University owns all IP emanating from University Study Project created by a Student when:

5.2.1.大学所有权。在以下情况下，学生创建的大学研究项目产生的所有知识产权归大学所有：

in the course and scope of his/her study; or

a.在其学习过程和范围内产生的；或者

making Substantial Use of the University’s resources.

b.大量使用了学校资源。

5.2.2. Student ownership. Student will own or co-own the IP they have created when such IP:

5.2.2.学生所有权。学生将拥有或共同拥有他们创造的知识产权，前提是该知识产权：

is outside the course and scope of their course or study and without Substantial Use of the University’s resources;
在他们的课程或研究范围之外创造，并且没有大量使用学校资源；
vests in Scholarly Works (see Paragraph 5.5); or

b.归属学术著作（见第5.5款）；或者

for which the University does not wish to claim ownership and the University has communicated as such in writing.

c.学校不希望对其主张所有权，并且学校已就此进行了书面沟通。

5.2.3. IP emanating from Sponsored Project. Terms of the Sponsored Project Contract will regulate ownership of IP created by Students as set out in Paragraph 7. In the absence of IP terms in a Sponsored Project Contract or in the absence of a Project Contract, the University owns the IP created under Sponsored Project.

5.2.3.赞助项目产生的知识产权。如第7款所述，赞助项目合同的条款将规范学生创造的知识产权的所有权。在赞助项目合同中没有知识产权条款或没有项目合同的情况下，则学校拥有赞助项目下创造的知识产权。

5.2.4. Theses or dissertations.

5.2.4.论文或学位论文。

The Student must submit his or her final thesis or dissertation to the University repository. The Student also grants a royalty-free license to the University to reproduce his or her thesis or dissertation and to distribute copies thereof to the public. Any IP derived from Theses or dissertations shall be owned by the University as set out in Paragraph 5.2.1.

学生必须将自己的毕业论文或学位论文提交至大学知识库。学生还向学校授予免版税许可，允许学校复制自己的论文或学位论文，并向公众分发其复制件。根据第5.2.1款的规定，从论文或学位论文中获得的任何知识产权应归学校所有。

5.2.5. IP emanating from Discovery Year Project. IP emanating from a Student’s Discovery Year Project shall be owned by Discovery Year Sponsor.

5.2.5.探索年项目产生的知识产权。学生探索年项目产生的知识产权应归探索年赞助商所有。

5.2.6. Bursaries/scholarships. An external party that grants a bursary or scholarship to a Student may elect to own the IP created by that Student in the course of his/her study at the University provided the student, and the University have consented to the assignment of IP ownership in writing.

5.2.6.助学金/奖学金。向学生提供助学金或奖学金的外部方可以选择拥有学生在大学学习期间创造的知识产权，前提是学生和学校已经书面同意转让知识产权所有权。

5.3. IP Created by Visitors

5.3.访客创造的知识产权

5.3.1. University ownership. Unless otherwise agreed to in writing by the University and the Visitor prior to the tenure at the University, the University owns IP created by Visitors when:

5.3.1.大学所有权。除非大学和访客在访客任职前另有书面约定，否则大学拥有访客在下列情况下创造的知识产权：

created in the course and scope of their appointment at the University; or

a.在大学任职期间和范围内创造的；或者

created by making Substantial Use of the University’s resources.

b.大量使用学校资源创造的。

5.3.2. University IP. On departure from the University, a Visitor must sign and submit an IP Disclosure Form to AVCIE disclosing any IP created, as per Paragraph 5.3.1, whilst at the University.

5.3.2.大学知识产权。离开大学后，访客必须签署并向助理副校长（创新与企业）提交一份知识产权披露表，披露在大学期间根据第5.3.1款规定创造的任何知识产权。

5.4. Special Rules for Course Materials

5.4.课程材料的特殊规则

5.4.1. University ownership. The University will own the IP in Course Materials created by a Staff Member or a Visitor, with the exclusion of Course Material that is created from or for Open Educational Resources, in accordance with Paragraph 5.7.1.

5.4.1.大学所有权。根据第5.7.1款的规定，大学将拥有由教职员工或访客创建的课程材料的知识产权，但不包括由开放教育资源创建或为开放教育资源创建的课程材料。

5.4.2. Licensed by the University. The University grants the Creators of Course Materials a royalty-free, non-exclusive license to use the Course Materials created by them.

5.4.2.获大学授权。大学授予课程材料的创作者使用他们创作的课程材料的免版税、非独家许可。

5.5. Special Rules for Scholarly Works

5.5.学术著作的特殊规则

5.5.1. Publication. The University recognises and endorses the rights of Staff Members, Students and Visitors to publish their Scholarly Works, provided that any Scholarly Work which may disclose any possible University IP shall first be cleared by OAVCIE after having an opportunity to protect such University IP according to Paragraph 8.

5.5.1.出版。大学承认并认可教职员工、学生和访客出版其学术著作的权利，不过前提是任何可能披露可能的大学知识产权的学术著作应在根据第8款规定有机会保护该大学知识产权后，首先由助理副校长（创新与企业）办公室批准。

5.5.2. Licensed to the University. Staff Members, Students and Visitors grant to the University non-exclusive, royalty-free license to use their Scholarly Works for the University's administrative, promotional, Research and teaching purposes.

5.5.2.授权给大学。教职员工、学生和访客授予大学免版税、非独家许可，以将他们的学术著作用于大学的行政、宣传、研究和教学目的。

5.6. Moral Rights

5.6.精神权利

5.6.1. Recognition. The University undertakes to respect and protect the moral rights which copyright law confers on Authors of copyright works.

5.6.1.认可。学校承诺尊重和保护版权法赋予版权作品作者的精神权利。

5.6.2. Rights granted. The University acknowledges that moral rights vest in Authors of copyright works irrespective of the copyright ownership thereof and include:

the right of attribution of authorship in respect of the copyright works;

a.版权作品的作者归属权；

the right not to have authorship of the copyright works falsely attributed; and

b.版权作品不被冒名署名的权利；和

the right of integrity of authorship in respect of the copyright works.

c.版权作品的作者身份完整权。

5.6.3. No waiver. The University will not require Staff Members, Students or Visitors to waive their moral rights as a condition of employment, enrolment, Appointment or funding.

5.6.3.不弃权。学校不要求教职员工、学生或访客放弃他们的道德权利，以此作为受雇、入学、委任或资助的条件。

5.7. Public Domain

5.7.公共领域

5.7.1. Public Domain. University IP forms part of the Public Domain in the following circumstances:

5.7.1.公共领域。在下列情况下，大学知识产权构成公共领域的一部分：

if a Sponsored Project Contract provides that the Research results be placed into the Public Domain; or

a.如果赞助项目合同规定研究成果将被公开；或者

if Staff Members or Visitors made use of OERs or resources licensed through Open Source or Creative Commons Licences and the licensing conditions require the release of derivatives into the Public Domain.

b.如果教职员工或访客使用开放教育资源或通过开源或知识共享许可证授权的资源，并且许可条件要求将衍生产品发布到公共领域。

5.7.2. Release into the public domain. The University will release IP into the Public Domain in the following circumstances:

5.7.2.发布到公共领域。在下列情况下，大学将向公共领域发布知识产权：

where it is deemed to be in the public interest; or

a.被认为符合公共利益的；或者

if the IP has low commercial or other development potential and low prospects of fostering the development of new products or services; or

b.如果该知识产权具有较低的商业或其他发展潜力，并且促进新产品或服务开发的前景不佳；或者

if deemed necessary by the University.

c.如果大学认为有必要。

PARAGRAPH 6 – PUBLICATION, NON-DISCLOSURE AND TRADE SECRETS

第6款——出版、不披露和商业秘密

6.1. Right of publication. The University encourages and supports the right of Creators to decide if and when to publish their Research results, in accordance with Paragraph 5.5 above.

6.1.出版权。根据上文第5.5款的规定，大学鼓励和支持创作者决定是否以及何时出版其研究成果的权利。

6.2. Non-disclosure for IP protection. In conjunction with the right of publication, Creators should be aware that premature Public Disclosure may result in loss of IP protection rights. Therefore, they are strongly encouraged to make all reasonable efforts to identify any protectable IP as early as possible, according to Paragraph 8, and shall consult OAVCIE by completing IP Disclosure Form when required before making any Public Disclosure of potential University IP.

6.2.不披露知识产权保护。结合出版权，创作者应该意识到过早的公开披露可能会导致知识产权保护权的丧失。因此，根据第8款的规定，强烈鼓励他们尽一切合理的努力尽早确定任何可保护的知识产权，并在公开披露任何潜在的大学知识产权之前，在需要时填写知识产权披露表以咨询助理副校长（创新与企业）办公室。

6.3. Trade Secrets. The University may designate certain confidential information as a Trade Secret, owned by the University. In that event, all Creators will be obligated to maintain the confidentiality of the Trade Secret and to follow the direction for management of the Trade Secret by OAVCIE.

6.3.商业秘密。学校可以将某些机密信息指定为商业秘密，归学校所有。在这种情况下，所有创作者均有义务维护商业秘密的机密性，并遵守助理副校长（创新与企业）办公室对商业秘密的管理指示。

PARAGRAPH 7 – SPONSORED PROJECT CONTRACT

第7款——赞助项目合同

7.1. Authority. Staff Members, Students and Visitors shall not have the right to enter into a Sponsored Project Contract with external parties on behalf of the University unless they are authorised to do so by the VC.

7.1.授权。除非得到副校长的授权，否则教职员工、学生和访客无权代表大学与外部各方签订赞助项目合同。

7.2. Due diligence. Persons acting for and on behalf of the University as defined in Paragraph 7.1 shall exercise all due diligence and consult OAVCIE and Principal Counsel when negotiating and signing sponsored project contract that may affect the University’s IPRs.

7.2.尽职调查。第7.1款定义的代表大学行事的人员在谈判和签署可能影响大学知识产权的赞助项目合同时，应履行所有应尽职责并咨询助理副校长（创新与企业）办公室和首席法律顾问。

7.3. Ownership and rights to use. Subject to any provisions in the law to the contrary, ownership and rights to use shall be agreed upon with the external entity.

7.3.所有权和使用权。除非法律中有任何相反的规定，否则所有权和使用权应与外部实体达成一致。

7.4. Government rules. Sponsored Project Contract shall comply with any applicable law or Government regulations or rules, which may be applicable to Research undertaken by the University, in particular, as far as it relates to the ownership of IP resulting from such Research. Principal Counsel shall be consulted in this respect before the signature of any Sponsored Project Contract.

7.4.政府规定。赞助项目合同应符合适用于大学开展的研究的任何适用法律或政府法规或规则，特别是在涉及此类研究产生的知识产权所有权的情况下。在签署任何赞助项目合同之前，应就此咨询首席法律顾问。

7.5. Approval. Before signing, the full copy of the proposed Sponsored Project Contract and other legal statements concerning the University’s IPRs shall be submitted to AVCIE and Principal Counsel for advice and approval by the VC.

7.5.批准。在签署之前，应将拟议的赞助项目合同的完整复制件和其他关于大学知识产权的法律声明提交给助理副校长（创新与企业）和首席法律顾问，以征求副校长的意见和批准。

7.6. Basic Principles. The IP clauses in all Sponsored Project Contracts shall be governed by the following basic principles:

7.6.基本原则。所有赞助项目合同中的知识产权条款应遵循以下基本原则：

7.6.1. Concluded from the outset. A Sponsored Project Contract must be executed in writing and signed by the University and the external party(ies)/sponsor(s) prior to the commencement of the Project and, as appropriate and without limitation, must contain terms relating to ownership, management and commercialised use of IP arising from the Sponsored Project as well as any Background IP.

7.6.1.从一开始就得出结论。赞助项目合同必须以书面形式执行，并由大学和外部方（外部各方）/赞助商在项目开始前签署，并且在适当且不受限制的情况下，必须包含与赞助项目产生的知识产权以及任何背景知识产权的所有权、管理和商业化使用相关的条款。

7.6.2. Background IP. Background IP of the University belongs to the University and use of such Background IP requires expressed written permission in the contract. Similarly, Background IP of the external party or sponsor belongs to such party or sponsor. Use of such Background IP requires expressed written permission.

7.6.2.背景知识产权。大学的背景知识产权属于该大学，使用该背景知识产权需要在合同中明确书面许可。同样，外部方或赞助商的背景知识产权属于该方或赞助商。使用此类背景知识产权需要明确的书面许可。

7.6.3. Foreground IP (IP arising from the Project Contract). IP generated pursuant to a Sponsored Project Contract shall be co-owned by the University and external party(ies)/sponsor(s) as mutually agreed contractually. The costs for protecting and maintaining any co-owned IPRs shall be shared between the University and the external party(ies)/sponsor(s) in accordance with the percentage of IP ownership or as mutually agreed contractually.

7.6.3.前景知识产权（项目合同产生的知识产权）。根据赞助项目合同产生的知识产权应由大学和外部方（外部各方）/赞助商根据合同约定共同拥有。保护和维护任何共有知识产权的费用应由大学和外部方（外部各方）/赞助商根据知识产权所有权的百分比或各方通过合同商定的方式分担。

7.6.4. Serendipitous IP². Any IP created during the course of the Project Contract which falls outside of the scope of the Project Contract shall be owned by the University or the external party(ies)/sponsor(s) which developed such IP unless agreed contractually otherwise in the Project Contract.

7.6.4.偶然发现的知识产权²。除非项目合同中另有约定，否则在项目合同期间创造的、超出项目合同范围的任何知识产权应归大学或开发该知识产权的外部方（外部各方）/赞助商所有。

7.6.5. Right of first refusal to the IP. The Sponsored Project Contract may include provisions giving the external party(ies)/sponsors, a right of first refusal to Commercialise the IP emanating from the Sponsored Project Contract, through a license or joint venture arrangement or assignment.

7.6.5.知识产权的优先拒绝权。赞助项目合同可能包括通过许可证或合资企业安排或转让，给予外部方（外部各方）/赞助商优先拒绝将赞助项目合同产生的知识产权商业化的权利的条款。

7.6.6. Publication delay. It is the strict policy of the University to allow Creators freedom to publish their work. However, the University acknowledges that delays in publication for the purpose of initiating statutory protection of the IP is often necessary. In this regard, the University will agree, on a case-by-case basis, to a contractual delay in the publication by Creators. Such delay will not exceed 90 calendar days from the date AVCIE is notified of the intent to publish unless authorised by the AVCIE.

7.6.6.出版延迟。大学政策虽严格但允许创作者自由出版他们的作品。不过，大学表示，为了启动知识产权的法定保护，通常有必要延迟作品出版。就此而言，大学将根据具体情况同意延迟创作者的作品出版。除非获得助理副校长（创新与企业）的授权，否则此类延迟不得超过助理副校长（创新与企业）收到出版意向通知之日起90个日历日。

7.6.7. Use of IP for Research and teaching. In instances, where the University IP is licensed exclusively or assigned as part of the Sponsored Project Contract, all efforts should be made to secure a royalty-free license for the use of the IP for on-going Research and teaching purposes.

7.6.7.将知识产权用于研究和教学。在大学知识产权被独家许可或作为赞助项目合同的一部分转让的情况下，应尽一切努力获得免版税许可，以便将知识产权用于持续的研究和教学目的。

7.7. Exceptions to the Policy. In certain cases, it may be necessary and beneficial to the University to enter into a Sponsored Project Contract that contains exceptions to the provisions of this Policy. Any such exceptions require prior written approval from the VC.

7.7.政策的例外情况。在某些情况下，签订包含本政策规定的例外情况的赞助项目合同可能是必要的，也对大学有益。任何此类例外情况均需要副校长的事先书面批准。

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² Results are serendipitous when research that was originally funded for one purpose turns out to be useful for another purpose.

²当最初出于一个目的资助的研究结果经证明对另一目的有用时，产生的结果具有偶然性。

PARAGRAPH 8 – DETERMINATIONS BY THE OAVCIE

第8款——助理副校长（创新与企业）办公室的决定

8.1. Responsibility to Disclose IP

8.1.披露知识产权的责任

8.1.1. Recording. Creators shall keep appropriate records of their Research and make reasonable efforts to ensure that only those individuals within the University who have a need to have access to such records for the performance of their duties are granted such access.

8.1.1.记录。创作者应保留其研究的适当记录，并尽合理努力确保只有大学内部因履行职责而需要访问此类记录的个人才能获得此类访问权限。

8.1.2. IP Disclosure. Where a Creator identifies potential IP resulting from his/her Research, he/she shall disclose such potential IP to AVCIE promptly by means of an IP Disclosure Form.

8.1.2.知识产权披露。如果创作者从其研究发现了潜在的知识产权，他/她应立即通过知识产权披露表向助理副校长（创新与企业）披露该潜在的知识产权。

8.1.3. Complete disclosure. Creators must provide to AVCIE such full, complete and accurate information as AVCIE may reasonably require to enable it to sufficiently assess the technical and related features and functions, ownership, commercial potential and IP protection that might be applicable to such IP. Upon complete disclosure, the IP Disclosure will be registered and assigned a reference number, and OAVCIE will share this reference number with the Creators to signify that the IP Disclosure has been formally received by the University.

8.1.3.完全披露。创作者必须向助理副校长（创新与企业）提供助理副校长（创新与企业）合理要求的全面、完整和准确信息，以使其能够充分评估可能适用于此类知识产权的技术和相关特性和功能、所有权、商业潜力和知识产权保护。完全披露后，知识产权披露将被注册并分配一个参考号，助理副校长（创新与企业）办公室将与创作者共享该参考号，以表明大学已正式收到知识产权披露。

8.2. Creatorship and Ownership

8.2.创作权和所有权

8.2.1. Creatorship. Creators shall, upon request, sign the appropriate legal documents provided by OAVCIE that attest to creatorship. Where there is more than one Creator, and there is a dispute as to the contribution to creatorship, OAVCIE shall consult Principal Counsel with the Creators to assist in the determination of the percentage IP creatorship, failing which it shall be assumed that there was an equal, undivided contribution.

8.2.1.创作权。一经要求，创作者应签署由助理副校长（创新与企业）办公室提供的证明创作权的适当法律文件。如果创作者不止一个，并且对创作权的贡献存在争议，助理副校长（创新与企业）办公室应咨询创作者的首席法律顾问，以帮助确定知识产权创作权的百分比，否则应假设有平等的、未分割的贡献。

8.2.2 Ownership. Once creatorship has been determined, the Creators shall be required to assign any right formally, title or interest they may have in that IP to the University in the form of a contract that specifies the rights that will accrue to the Creator(s) and the University and the obligations they will have to assist the University with the Commercialisation of that IP. Paragraph 9.3 will apply.

8.2.2所有权。一旦确定了创作权，创作者就必须以合同的形式将他们在该知识产权中可能拥有的任何权利、所有权或权益正式转让给大学，该合同规定了创作者和大学将获得的权利以及他们必须协助大学将该知识产权商业化的义务。第9.3款将适用。

8.3. Determination as to IP Protection and Commercialisation

8.3.关于知识产权保护和商业化的决定

8.3.1. Evaluation and recommendation. OAVCIE will analyse the information disclosed in the IP Disclosure within 90 days of formal receipt. The analysis will include: whether or not the subject matter is protectable as IP; an assessment of economic viability or marketability; and determination of any rights of external parties, such as a funder or collaborator. After evaluation, OAVCIE will prepare a preliminary report with findings that enable the University to decide if it will proceed with IP protection and Commercialisation. OAVCIE shall share the preliminary report with the Creator(s), and seek their input.

8.3.1.评估和推荐。助理副校长（创新与企业）办公室将在正式收到后的90天内分析知识产权披露的信息。分析将包括：标的物是否可作为知识产权受保护；对经济可行性或适销性的评估；以及确定外部各方（如出资者或合作者）的任何权利。评估后，助理副校长（创新与企业）办公室将编写一份初步报告，报告中的调查结果会促使大学决定是否继续进行知识产权保护和商业化。助理副校长（创新与企业）办公室应与创作者共享初步报告，并寻求他们的意见。

8.3.2. Decision to protect/Commercialise. The University will decide, as soon as reasonably practicable, whether or not it wishes to protect or Commercialise the IP. OAVCIE will use all reasonable efforts to notify the Creator(s) of the University’s decision within 90 days of formal receipt of the IP Disclosure Form. OAVCIE will also decide on validity of any claim made by a Staff Member, a Visitor or a Student that they are the true Creator(s) of that IP and in relation to their rights under this Policy.

8.3.2.保护/商业化决定。大学将在合理可行的情况下尽快决定是否希望对知识产权进行保护或商业化。助理副校长（创新与企业）办公室将在正式收到知识产权披露表的90天内，尽一切合理的努力将大学的决定通知创作者。助理副校长（创新与企业）办公室还将决定教职员工、访客或学生提出的他们是该知识产权真正创作者的任何主张的有效性，以及他们在本政策项下的权利。

8.3.3. University’s obligation to notify Creators of its decision. Within no more than 90 days, OAVCIE will notify the Creator(s) of the decision of whether the University will or will not pursue IP protection and Commercialisation of their IP Disclosure.

8.3.3.大学有义务通知创作者其决定。在不超过90天的时间内，助理副校长（创新与企业）办公室将通知创作者该大学是否将寻求知识产权保护和商业化其知识产权披露的决定。

8.4. University Elects not to Protect /Commercialise the IP

8.4.大学选择不保护/商业化知识产权

8.4.1. IP abandoned or not Commercialised. The University reserves the right not to protect or Commercialise IP that it owns if after consultation with the Creators:

8.4.1.知识产权被放弃或未被商业化。知识产权如有以下情况，在与创作者协商后，大学保留不保护或商业化其拥有的知识产权的权利：

there is no reasonable prospect of commercial success; or

a.没有商业成功的合理前景；或者

it is not deemed to be in the best interest of the University; or

b.被认为不符合大学的最佳利益；或者

it is not deemed to be in the public interest.

c.被认为不符合公共利益。

8.4.2 Transfer of Ownership. In the event the University decides not to pursue IP protection or Commercialisation, it will take steps to return said IPRs to the Creator(s), contingent on any other superseding contract rights of the external party(ies) or sponsor(s).

8.4.2所有权转让。如果大学决定不寻求知识产权保护或商业化，它将采取措施将所述知识产权返还给创作者，视外部方（外部各方）或赞助商的任何其他替代合同权利而定。

8.4.3. Written notification. If the University is unable to or decides not to protect or Commercialise the University IP, it should notify the relevant Creator(s) of its decision in writing and in a timely manner.

8.4.3.书面通知。如果大学不能或决定不保护或商业化大学知识产权，应及时书面通知相关创作者其决定。

8.4.4. No prejudice to IP protection. The Creator(s) should receive the written notification in a timely manner that enables the relevant Creator(s) to take any formal steps to ensure the protection of IP, should they so desire.

8.4.4.不损害知识产权保护。创作者应及时收到书面通知，便于相关创作者能够采取任何正式步骤来确保知识产权的保护（如果他们愿意的话）。

8.4.5. Assignment. If the Creator elects to take an assignment of the IP, the University shall ensure that a deed of assignment is executed without delay.

8.4.5.转让。如果创作者选择转让知识产权，大学应确保转让契约立即执行。

8.4.6. Terms and conditions. If the University assigns IPRs to the Creator in terms of this Paragraph 8.4.5, the assignment may be subject to one or more of the following terms and conditions:

8.4.6.条款和条件。如果大学根据第8.4.5款规定向创作者转让知识产权，该转让可能受以下一项或多项条款和条件的约束：

that upon Commercialisation, the University be compensated for any expenditure it may have incurred in connection with the protection and Commercialisation of such IP;

a.一经商业化，大学将获得与此类知识产权的保护和商业化相关的任何支出的补偿；

that the University be granted a non-exclusive, royalty-free licence to use the IP for Research and teaching purposes.

b.大学获授予免版税、非独家许可，以使用有关知识产权作研究及教学用途。

PARAGRAPH 9 – COMMERCIALISATION OF IP

第9款——知识产权商业化

9.1. Determination of the Commercialisation Strategy. Within 9 months of the decision to protect or Commercialise the IP under Paragraph 8.3.2, the University will determine, with input from the Creators, the most appropriate Commercialisation strategy.

9.1.商业化战略的确定。在根据第8.3.2款规定做出保护或商业化知识产权的决定后9个月内，大学将根据创作者的意见确定最合适的商业化战略。

9.2. Assistance to OAVCIE. Creators of IP which has been selected for IP protection and Commercialisation by the University must provide OAVCIE with all reasonable support in the assessment, protection (including preventing premature disclosure and execution of any documents including deeds of assignment and deeds attesting to creatorship), and Commercialisation of the IP.

9.2.协助助理副校长（创新与企业）办公室。被大学选定进行知识产权保护和商业化的知识产权创作者必须在知识产权的评估、保护（包括防止过早披露和执行任何文件，包括转让契约和证明创作权的契约）和商业化方面向助理副校长（创新与企业）办公室提供所有合理的支持。

9.3. University’s Discretion. The University shall have the sole discretion regarding the Commercialisation of IP owned by it. Notwithstanding, the University will ensure that reasonable efforts are made to keep the Creators informed and, where appropriate, involved in the Commercialisation of the IP to which they contributed. The Commercialisation of University IP will be planned, executed, and monitored by OAVCIE.

9.3.大学的自由裁量权。大学对其拥有的知识产权的商业化拥有全权裁量权。尽管如此，大学将确保做出合理努力，让创作者了解情况，并在适当的情况下，参与他们所贡献的知识产权的商业化。大学知识产权的商业化将由助理副校长（创新与企业）办公室计划、执行和监督。

9.4. Commercialisation Pathways. Modes of IP Commercialisation may include:

9.4.商业化途径。知识产权商业化的模式可能包括：

exclusive or non-exclusive license, and variations thereof, with preference for licensing to start-ups, small and medium-sized companies or businesses;

a.独家或非独家许可及其变体，优先向初创企业、中小型公司或企业提供许可；

assignment or sale;

b.转让或出售；

formation of a Commercialisation Entity to which the IP is licensed or assigned in terms of this Policy;

c.组建商业化实体，根据本政策向其许可或转让知识产权；

non-profit use or donation;

d.非盈利性使用或捐赠；

joint ventures;

e.合资企业；

royalty-free access on humanitarian or other grounds; or

f.基于人道主义或其他理由的免版税使用；或者

various combinations of the above.

g.以上的各种组合。

9.5. Guidelines. Regardless of the mode of IP Commercialisation, the transaction will be executed in a contract which:

9.5.准则。无论知识产权商业化的模式如何，交易将在合同中执行，该合同应：

protects the interests of the University, its Staff Members, Students and Visitors;

a.保障大学、教职员工、学生和访客的利益；

retains rights for the University to use the IP for educational and Research purposes;

b.保留大学出于教育和研究目的使用知识产权的权利；

assures that the IP will be utilised in a manner which will serve the public good;

c.确保知识产权的使用符合公共利益；

assures that the IP will be developed and brought to the marketplace as useful goods and services; and

d.确保知识产权得到开发并作为有用的商品和服务推向市场；和

prohibits the “shelving” or “mothballing” ³of the IP or its use in any illegal or unethical manner.

e.禁止“搁置”或“封存”³知识产权或以任何非法或不道德的方式使用知识产权。

9.6. The University will endeavour to Commercialise IP in a manner that enhances local, regional, and national economic development.

9.6.大学将努力以促进地方、区域和国家经济发展的方式商业化知识产权。

9.7. The University will endeavour to Commercialise IP in a manner that encourages and fosters entrepreneurship by Students and others and which supports Commercialisation Entities.

9.7.大学将努力以鼓励和培养学生和其他人的创业精神并支持商业化实体的方式商业化知识产权。

PARAGRAPH 10 – INCENTIVES AND DISTRIBUTION OF REVENUES

第10款——激励措施和收入分配

10.1. The University’s Incentive Structure

10.1.大学的激励结构

10.1.1. Purpose and scope. The University, in the interest of promoting knowledge transfer, will give due consideration to incentives to researchers to foster Research that has a socio-economic impact; such incentives may be financial or non-financial. A Creator or Enabler may receive incentives from each IP they created or enabled, which is Commercialised.

10.1.1.目的和范围。为了促进知识转移，大学将适当考虑对研究人员的激励，以促进具有社会经济影响的研究；此类激励措施可以是财政的，也可以是非财政的。创作者或推动者可以从他们创作或推动的每个商业化的知识产权中获得奖励。

10.2. Sharing of Revenues

10.2.收入分成

10.2.1. General. The University will award Creators or Enablers in the sharing of monetary benefits that may accrue to the University from the Commercialisation of University IP.

10.2.1.概述。大学将奖励创作者或推动者分享大学知识产权商业化可能给大学带来的货币收益。

10.2.2. Calculation of revenues for distribution. Calculation of Gross IP Revenue, IP Expenses, and Net IP Revenue shall be in accordance with the following rules:

10.2.2.分配收入的计算。知识产权总收入、知识产权费用和知识产权净收入的计算应符合以下规则：

10.2.2.1. Calculation of Gross IP Revenue. “Gross IP Revenue” as defined in Paragraph 2 includes revenue received from, outright sale of IP, option payments received, licence fees received, evaluation fees received, upfront and milestone payments received, royalty payments received, share of profits received, dividends received, commissions, income through disposal of equity, and direct sale of products or services.

10.2.2.1.知识产权总收入的计算。第2款定义的“知识产权总收入”包括来自以下方面的收入：知识产权的直接销售、收到的期权付款、收到的许可费、收到的评估费、收到的预付款和里程碑付款、收到的使用费、收到的利润分成、收到的股息、佣金、通过处置股权获得的收入以及产品或服务的直接销售。

10.2.2.2. IP Expenses. “IP Expenses” as defined in Paragraph 2 includes expenses that relate to (i) the University’s expenses incurred by payment to external entities for securing, maintaining and enforcing IP protection, such as patenting and litigation expenses; (ii) costs incurred by the University in the licensing/assignment of IP, including marketing costs, contract negotiation and drafting costs; and (iii) costs in making, shipping or otherwise distributing products, processes or services that embody the particular IP, but not including staff time or general administrative costs.

10.2.2.2.知识产权费用。第2款定义的“知识产权费用”包括与以下相关的费用：（i）大学为获得、维持和执行知识产权保护而向外部实体支付的费用，如专利和诉讼费用；（ii）大学在知识产权许可/转让方面发生的费用，包括营销费用、合同谈判和起草费用；以及（iii）制作、运输或以其他方式分销体现特定知识产权的产品、工艺或服务的成本，但不包括员工工作时间或一般管理成本。

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³ Shelving or mothballing of academic IP refers to IP and invention disclosure bundles that remain unexplored, unlicensed or unused.

³搁置或封存学术知识产权指知识产权和发明披露包仍未开发，未授权或未使用。

10.2.2.3. Calculation of Net IP Revenue. OAVCIE shall maintain accurate and transparent documentation of IP Expenses incurred for a particular IP and shall be entitled to cover all IP Expenses it has incurred, as set out in Paragraph 10.2.2.2 above. The “Net IP Revenue” is calculated as the Gross IP Revenue less IP Expenses and Enabler’s share.

10.2.2.3.知识产权净收入的计算。助理副校长（创新与企业）办公室应保留特定知识产权产生的知识产权费用的准确和透明记录，并有权支付其产生的所有知识产权费用，如上文第10.2.2.2款所述。知识产权总收入减去知识产权费用和推动者份额，所得即为“知识产权净收入”。

10.2.2.4. Co-owned IP. Where the IP is co-owned by the University and an outside organisation, the Gross IP Revenue received by the University will be shared in accordance with a pre-determined formula as per a contractual arrangement. Thereafter, the Gross IP Revenue received by the University and the Net IP Revenue will be determined, and revenues will be shared in accordance with Paragraph 10.2.3.1 and Paragraph 10.2.3.2 below.

10.2.2.4.共有知识产权。如果知识产权由大学和外部组织共同拥有，大学收到的知识产权总收入将根据合同安排按照预先确定的公式进行分享。此后，将确定大学收到的知识产权总收入和知识产权净收入，并根据下文第10.2.3.1款和第10.2.3.2款规定分享收入。

10.2.3. Sharing of revenues – Creators/Enablers

10.2.3.收入分成——创作者/推动者

10.2.3.1. Standard Creator’s share.

10.2.3.1.创作者标准份额。

Forty-five percent (45%) of the Net IP Revenue received from commercialisation of University-owned IP will be allocated to the Creator. Where there is more than one Creator, the Creators are entitled to an equal or pro-rata share, based on contribution, of forty-five percent (45%) of the Net IP Revenue, except where there is a prior written agreement between all the Creators to the contrary.

从大学自有知识产权商业化中获得的知识产权净收入的百分之四十五（45%）将分配给创作者。如果创作者不止一个，创作者有权根据贡献平等或按比例获得知识产权净收入百分之四十五（45%）的份额，除非所有创作者之间事先有相反的书面协议。

10.2.3.2. Standard Enabler’s share.

10.2.3.2.推动者标准份额。

The University may elect to set aside predetermined percentage of the Gross IP Revenue for an Enabler. An Enabler can be non-creator that can help to commercialise the University IP with the help of a start-up. Where there is more than one Enabler, the Enablers are entitled to an equal or pro-rata share, based on practical contribution, of the predetermined percentage of the Gross Revenue, except where there is a prior written agreement between all the Enablers to the contrary.

大学可以选择为推动者留出预定百分比的知识产权总收入。推动者可以是非创作者，他可以在初创企业的帮助下帮助大学知识产权商业化。如果推动者不止一个，推动者有权根据实际贡献平等或按比例获得总收入预定百分比的份额，除非所有推动者之间事先有相反的书面协议。

10.2.3.3. Disputes. In the event of a dispute or uncertainty regarding the Creators' or Enablers' share of the Gross IP Revenue from a specific IP, the issue shall be brought for a resolution to an independent body.

10.2.3.3.争议。如果对创作者或推动者从特定知识产权中获得的知识产权总收入份额有争议或不确定，该问题应提交独立机构解决。

10.2.3.4. Payment. Payment to the Creators or Enablers will be made by the University on a periodic basis as agreed in writing, after receipt of the Gross IP Revenue by the University.

10.2.3.4.付款。大学在收到知识产权总收入后，将根据书面协议定期向创作者或推动者付款。

10.2.3.5. Taxes. Payments made as per Paragraph 10.2.3.4 are subject to personal tax if applicable. The University may, if so obliged by national tax laws, make any applicable tax deductions before making payments to the Creators or Enablers.

10.2.3.5.税收。根据第10.2.3.4款规定支付的款项应缴纳个人所得税（如适用）。如果国家税法有此规定，大学可以在向创作者或推动者付款之前进行任何适用的税收减免。

10.2.3.6. Entitlement. Creators or Enablers and their heirs will be entitled to IP revenue sharing for as long as the University receives Gross IP Revenues from Commercialisation of the University IP. The entitlement to a Creator’s or Enabler’s share of Gross IP Revenue will survive any resignation or termination of employment or death of the creator.

10.2.3.6.权利。只要大学从大学知识产权商业化中获得知识产权总收入，创作者或推动者及其继承人就有权享有知识产权收入分成。创作者或推动者享有的知识产权总收入份额的权利将在创作者辞职或终止雇佣关系或死亡后继续有效。

10.2.3.7. Banking details. The onus is upon each Creator or Enabler to ensure that the University has the current banking details of the Creator or Enabler for the purpose of revenue sharing. The University will keep the relevant IP revenue amounts in reserve for a maximum period of 3 (three) years after which all rights of Creators or Enablers to receive such payments will be forfeited. If the University pays an amount into an incorrect account as a result of information supplied to it being outdated or incorrect, the University will not have any further obligation or liability in respect of such payment, which will be deemed to have been duly and properly made.

10.2.3.7.银行详细信息。每个创作者或推动者均有责任确保大学拥有创作者或推动者的当前银行详细信息，以便进行收入分成。大学将保留相关知识产权收入，最长保留期为三年，三年后，创作者或推动者获得此类款项的所有权利将被没收。如果大学因提供给它的信息过时或不正确而向错误的账户支付了一笔款项，大学将不再对此类付款承担任何义务或责任，此类付款将被视为已适当支付。

10.2.4. Sharing of revenues – University. The University’s share of Net IP Revenue is fifty-five percent (55%).

10.2.4.收入分成——大学。大学在知识产权净收入中所占份额为百分之五十五（55%）。

10.3. Other Incentives

10.3.其他激励措施

10.3.1. General. As a default position, the University will refrain from accepting non-monetary benefits for the Commercialisation of its IP or from offering incentives other than revenue sharing, unless they are in addition to the revenue sharing as per Paragraph 10.2.3.1 and Paragraph 10.2.3.2, as appropriate. The University will thus give consideration, on a case-by-case basis, to the provision of other incentives, where monetary benefits (revenues) are not available or where the Creator or Enabler elects to choose other benefits in lieu of revenue sharing, which may only be realised in due course. Other incentives will include but are not limited to, the incentives described in Paragraph 10.3.2, Paragraph 10.3.3, and Paragraph 10.3.4.

10.3.1.概述。就默认立场而言，大学将不接受其知识产权商业化的非货币收益，也不提供除收入分成之外的激励措施，除非它们是第10.2.3.1款和第10.2.3.2款规定的收入分成之外的，视情况而定。因此，在无法获得货币收益（收入）或创作者或推动者选择其他利益代替收入分成（可能只能在适当的时候实现）的情况下，大学将根据具体情况考虑提供其他激励措施。其他激励措施包括但不限于第10.3.2款、第10.3.3款和第10.3.4款所述的激励措施。

10.3.2. Growth, development and acknowledgement. A framework for growth and development of the Creator or Enabler in their professional and personal capacity shall be developed including (i) recognition of IP generation and Commercialisation performance in appraisal procedures; and (ii) opportunities for enterprise development or capacity development through, for example, specific training opportunities, sabbaticals, and local and international exchanges in their relevant Research field or in the field of IP management and knowledge transfer.

10.3.2.成长、发展和认可。应制定创作者或推动者的专业和个人能力的成长和发展框架，包括（i）在评估程序中对知识产权创造和商业化表现的认可；（ii）企业发展或能力发展的机会，例如通过具体的培训机会、休假以及在相关研究领域或知识产权管理和知识转移领域的本地和国际交流。

10.3.3. Research funds. The University will actively, through OAVCIE, promote, source and facilitate collaborative arrangements with industry partners to secure funding for further Research for the Creators or Enablers.

10.3.3.研究经费。大学将通过助理副校长（创新与企业）办公室积极促进、寻求和推动与行业伙伴的合作安排，以确保为创作者或推动者的进一步研究提供资金。

10.3.4. Creator or Enabler receiving shares in a Commercialisation Entity or other licensee.

10.3.4.接受商业化实体或其他被许可人股份的创作者或推动者。

10.3.4.1. In the case where a Creator or Enabler is granted equity in a Commercialisation Entity that licences the University IP which the Creator or Enabler has created,⁴ such Creator’s or Enabler’s portion in the standard revenue sharing formula of Paragraph 10.2.3.1 or Paragraph 10.2.3.2 will be unaffected.

10.3.4.1.如果创作者或推动者被授予许可其创作的大学知识产权的商业化实体的股权，⁴第10.2.3.1款或第10.2.3.2款的标准收入分成公式中创作者或推动者的份额将不受影响。

10.3.4.2. Where the University receives shares in a licensee company, which company may be a Commercialisation Entity, as consideration for an IP license, the University will hold all the shares until liquidation, at which time the income will be considered Gross IP Revenue and the Creators or Enablers will receive their share according to the revenue sharing formula in Paragraph 10.2.3.1 or Paragraph 10.2.3.2.

10.3.4.2.如果大学收到被许可人公司的股份，该公司可能是商业化实体，作为知识产权许可的对价，大学将持有所有股份，直到清算，届时收入将被视为知识产权总收入，创作者或推动者将根据第10.2.3.1款或第10.2.3.2款的收入分成公式获得其份额。

10.3.4.3. Notwithstanding the benefit sharing in respect of shares in terms of this Paragraph 10.3.4, the Creators or Enablers will still be entitled to their share of any other revenues under the IP license.

10.3.4.3.尽管第10.3.4款规定了股份利益分享，但创作者或推动者仍有权获得知识产权许可项下的任何其他收入份额。

10.4. Contact Details

10.4.联系方式

10.4.1. Contact details. The onus is upon each Creator or Enabler to ensure that the University is in receipt of their current address details for the purpose of revenue sharing. Unless contrary to law, should the University be unable to locate the Creators or Enablers through reasonable efforts, in order to effect payment of the revenue share amount, and a period of five(5) years has passed since an initial attempt, then the portion owed to that Creator or Enabler or his or her heirs or assigns will be paid to the University's central fund to be used to support Research and innovation activities.

10.4.1.联系方式。每个创作者或推动者均有责任确保大学收到他们当前的详细地址，以便进行收入分成。除非违反法律，否则如果大学无法通过合理努力找到创作者或推动者，以支付收入分成金额，并且自最初尝试以来已经过了五（5）年，则应付该创作者或推动者或其继承人或受让人的部分将支付给大学的中央基金，用于赞助研究和创新活动。

PARAGRAPH 11 – IP PORTFOLIO MAINTENANCE

第11款——知识产权组合维护

11.1. Recording and monitoring. OAVCIE shall maintain records of the University’s IP in an appropriate form and in sufficient detail. It shall monitor the deadlines for the payment obligations related to the maintenance or annuity fees of protected IP, and shall, within a reasonable time, inform the person or department designated to make such payments.

11.1.记录和监督。助理副校长（创新与企业）办公室应以适当形式保存大学知识产权的足够详细记录。应监督与受保护知识产权的维护费或年金费用相关的支付义务的截止日期，并应在合理时间内通知指定支付此类费用的个人或部门。

11.2. Accounting. OAVCIE shall maintain income and expense accounting records on each IP so that revenue sharing allocations can be calculated.

11.2.会计。助理副校长（创新与企业）办公室应维护每项知识产权的收入和费用会计记录，以便可以计算收入分成分配。

___________________________

⁴ The institutional policy regulating Conflict of Interests must be consulted to assess additional measures that should be put in place especially when the researcher outsources research to the spin-off or start-up company, in which the researcher has a material interest.

⁴必须咨询监管利益冲突的制度政策，以评估应采取的额外措施，尤其是当研究人员将研究外包给研究人员有重大利益的脱离母公司的公司或初创公司时。

PARAGRAPH 12 – CONFLICTS OF INTEREST AND CONFLICTS OF COMMITMENT

第12款——利益冲突和承诺冲突

12.1. Commitment to the University. Staff Members’ and Visitors’ primary commitment of time and intellectual contributions should be to the education, Research and academic programs of the University.

12.1.对大学的承诺。教职员工和访客的主要时间和智力贡献应该用于大学的教育、研究和学术项目。

12.2. Best Interests of the University. Staff Members and Visitors have a primary professional obligation to act in the best interests of the University; they should avoid situations where external interests could significantly prejudice their work ethic and Research integrity.

12.2.大学的最大利益。教职员工和访客的首要职业义务是以大学的最大利益行事；他们应该避免外部利益可能严重损害其职业道德和研究诚信的情况。

12.3. Agreements with External Parties. It is the responsibility of all Staff Members and Visitors to ensure that their agreements with external parties do not conflict with their duties and responsibilities in terms of this Policy. This provision shall apply in particular to private consultancy and other research service agreements concluded with external parties. Each individual should make his or her duties and responsibilities clear to those with whom such agreements may be made and should ensure that they are provided with a copy of this Policy.

12.3.与外部各方的协议。所有教职员工和访客均有责任确保他们与外部各方的协议不与其在本政策中的职责和责任相冲突。本规定应特别适用于与外部各方签订的私人咨询和其他研究服务协议。每个人都应向可能与之达成此类协议的人明确其职责和责任，并确保向他们提供一份此政策的复制件。

12.4. Disclosure of External Activities and Financial Interests. Staff Members and Visitors shall promptly report all potential and existing conflict of interest to OAVCIE. OAVCIE will be responsible for resolving the conflict or reaching a solution satisfactory to all parties concerned.

12.4.外部活动和财务利益的披露。教职员工和访客应立即向助理副校长（创新与企业）办公室报告所有潜在和现有的利益冲突。助理副校长（创新与企业）办公室将负责解决冲突或达成令所有相关方满意的解决方案。

PARAGRAPH 13 – DISPUTE

第13款——争议

13.1. Violation. Breach of the provisions of this Policy shall be dealt with under the normal procedures of the University, and in accordance with the relevant provisions of laws and regulations in force.

13.1.违规。违反本政策规定的行为应根据大学的正常程序以及现行法律法规的相关规定进行处理。

13.2. Dispute Resolution.

13.2.争议解决。

13.2.1. Any internal disputes or questions of interpretation or application of this Policy will be referred to OAVCIE first for consideration and mediation by the IP Committee.

13.2.1.本政策的任何内部争议或解释或应用问题将首先提交给助理副校长（创新与企业）办公室，由知识产权委员会进行审议和调解。

13.2.2. If the matter cannot be resolved by the IP Committee within six months, then the dispute or question of interpretation must be referred to the VC.

13.2.2.如果知识产权委员会无法在六个月内解决该问题，则有关解释的争议或问题必须提交给副校长。

13.2.3. The VC may at their sole discretion refer the matter to University's Senior Management Team or an independent committee for resolution of any dispute for final determination.

13.2.3.副校长可自行决定将此事提交给大学的高层管理团队或独立委员会，以解决任何争议并做出最终决定。

13.3. Appeal. Individuals covered by this Policy shall have the right to appeal the application of any aspect of this Policy to the VC.

13.3.申诉。本政策涵盖的个人有权就本政策的任何方面向副校长提出申诉。

PARAGRAPH 14 – AMENDMENT

第14款——修订

14.1. Revision. This Policy may be amended at any time. In this case:

14.1.修订。在以下情况下，本政策可随时修订：

all IP disclosed on or afterthe effective date of such amendment shall be governed by the Policy as amended; and

a.在此类修订生效之日或之后披露的所有知识产权应受修订后的政策管辖；和

all IP disclosed priorto the effective date of the amendment shall be governed by the Policy prior to such amendment, provided that the provisions of the Policy (as amended) shall apply to all IP licensed or otherwise Commercialised on or after the effective date of any such amendment regardless of when the IP is disclosed.

b.在修订生效日期之前披露的所有知识产权应受修订之前的政策管辖，不过前提是该政策（经修订）的规定应适用于在任何此类修订生效日期或之后许可或以其他方式商业化的所有知识产权，无论知识产权何时披露。

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《文莱2019年知识产权政策》

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