UNIVERSITY OF LUZON

Dagupan City

PROPOSED INTELLECTUAL PROPERTY POLICY

(for IPOPHL Review)

Section 1. Policy Statement

The University of Luzon (UL) as an autonomous institution of higher
learning, is concomitant to its founders’ philosophy of Perecias y Valias (Skills
and Values). As such, it is dedicated to the generation of knowledge, skills
training and the development of desirable attitudes as well as values through
the performance of its trifocal functions as a higher education institution –
instruction, research and extension services, in its multi-disciplinary course
offerings for the overall benefit of society. In the creation of knowledge and
invention of technology, the University personnel are duty bound to discover
and produce works or creative and innovative outputs and exercise of resulting
from in-depth study creativity, otherwise known as Intellectual Property (IP). A
well-defined and sound University of Luzon IP Policy is thus essential to guide
the academic community and its stakeholders in recognizing the IP rights of
authors/owners in order to encourage, treasure, protect and promote the
production of knowledge, the creative pursuits, the inventions, discoveries, and
other works the members of its community have generated and may generate.
In this regard, UL recognizes the necessity of implementing IP policy to
define as well as operationalize this acknowledged responsibility, and to protect
the rights of the University and its stakeholders.
Moreover, this IP Policy of the UL is aligned with its vision to be a
world – class university that provides leadership and excellence in education
for total, purpose-driven human development.

Section 2. Purpose
The framing and implementation of the UL IP Policy has the following
objectives:
2.1 Elevate the status of UL as a university not only for instruction, research
and extension, but also for the generation/production of knowledge and
technology, inventions and other creative/artistic pursuits in the
academic community for the overall improvement of the quality of life of
the community it serves;
2.2 Respond to the challenges of the modern society for creative and
practical solutions to everyday problems, as well as to the need of an
empowering research environment and beneficial proceeds of creative
undertakings;
2.3 Facilitate the process of transferring the created works from UL to
relevant industries which will utilize them to serve the society, in general;
2.4 Promote and encourage engagement with inquiry and knowledge
production, technological application and the creative pursuits in arts
and music, cultural practices indigenous treasures, and the like;
2.5 Protect the rights of authors/owners by assisting them in the promotion
of knowledge and the use of technology as resultants of their IP – related
endeavors;
2.6 Enable dissemination of knowledge produced, facilitate its appropriate
application/consumption and raise economic values which can be
derived from the author’s/owner’s rights;
2.7 Accelerate the standing and accreditation of the university as an
academic – research institution;
2.8 Provide guidelines on processes involving identification, ownership
determination, protection, and utilization of IP;
2.9 Prescribe clear procedures for the commercialization of IP rights, and the
distribution of financial/economic gains from the commercialization of
such rights; and
2.10 Regulate the observance by the University of the applicable provisions
and laws governing Intellectual Property and Intellectual Property Rights.

Section 3. Definition of Terms

The definition of the proper terms used in this policy document are
consistent with the meaning and application stipulated in the Intellectual
Property Code of the Philippines and other applicable laws and authoritative
sources.
Where applicable, the acronyms of these terms will be used consistently
in the policy.
3.1 Background Intellectual Property – is any IP previously owned or
managed by the UL/Researcher/Sponsor/Research Collaborator and
shared with Stakeholders to conduct the research.
3.2 Commercialization – refers to any form of exploitation of IP that
includes IP assignment and licensing to obtain financial gains.
3.3 Copyright – is the legal IP protection extended to the owner of the rights
in an original work. “Original work” refers to any production in the
literary, scientific, and artistic domains.
3.4 Creator – points to the inventor, the maker, the generator, the creative
writer, the discoverer, the researcher, the personnel, or student who
generated or created the knowledge or technology.
3.5 Foreground Intellectual Property- is any IP that is purposefully the
result of a research undertaking.
3.6 Geographic Indication – is a sign used on goods with a specific
geographical origin and possesses qualities or a reputation due to that
place of origin. Most commonly, a geographical indication consists of the
name of the area of origin of the goods.
3.7 Industrial Design – is an IP right that protects the ornamental or
aesthetic aspects of a manufactured article. The subject of industrial
designs ranges from fashion to industrial goods.
3.8 Intellectual Property (IP) – refers to creations of the mind. It can be an
invention (patent/utility model), a design (industrial design), a brand
name (trademark), or a literary and artistic work (copyright).
3.9 Intellectual Property Assets – are legally-protected non-physical
properties of a business entity. These can be identified, transferred,
equated with an economic lifespan, and be used as collateral in business
undertakings. IP Assets include the types of IPR’s owned by the
University.
3.10 Intellectual Property Management Office (IPMO) – is the office in UL
directly responsible for managing IP-related concerns of UL personnel,
students and other members of the academic community.
3.11 Intellectual Property Rights (IPR) – are the rights given to persons over
the creations of their minds. They usually provide the creator with an
exclusive right over the use of their creation for a certain period.
3.12 Marks of Ownership – is any visible sign that distinguishes the name
(trade name), goods (trademark), or services (service mark) of an
enterprise.
3.13 Patent – is an exclusive IP right granted for an invention of a product,
process, and/or solution that allows the inventor to exclude others from
 making, using, and/or selling the invention during the specified period of
validity. To be presentable, an invention must be novel,
industrially – applicable, and involves inventive steps.
3.14 Personnel – refers to all part-time or full-time administrators, teaching,
and non-teaching staff, whether in probationary or permanent status
employed by UL.
3.15 Philippine Government Funding Agency – refers to institutions under
the Philippine government (e.g. Department of Science and Technology,
Commission on Higher Education, National Commission for Culture and
the Arts) which provide awards and grants to universities for research
and IP generation.
3.16 Prior Art – is an evidence that a work has already been publicly known
or available in entirety or by part before the patent date application.
3.17 Prior Art Search – is the process of looking for evidence from a Prior Art
database that the product being developed by a researcher is novel.
3.18 Research Collaborator – refers to an individual or agency affiliated with
another university or institution that directly, substantially, and actively
undertakes a research project with University of Luzon (UL) Researchers.
3.19 Research Contract (RC) – pertains to a formal contract entered into by
the University and other entities, including sponsors, which sets out the
terms and conditions for the conduct of the research, use of its outputs,
administration of research funds, and ownership of research outcomes.
3.20 Research Project Cost – is the projected total expenditure of a research
project as indicated in the line – item budget section of a research
proposal. It include the direct costs (e.g., salaries and wages of
researchers/staff, equipment, materials and supplies, travel, services)
and indirect expenses (a fixed percentage of the total direct costs for the
use of Universities’ facilities and administrative services).
3.21 Researcher – is a person who directly, substantially, and actively
engages in any internally or externally – funded research project
undertaken within the course of employment or enrollment at University
of Luzon.
3.22 Scholarly Work – refers to works routinely done by the academics in the
course of their employment as teachers in higher education. This
includes the publication of journal articles, book chapters, books,
textbooks, and course materials.
3.23 Serendipitous Intellectual Property – is any IP that was not conceived
at the commencement of the research project but was created or
developed in the process of completing the research project.
3.24 Sponsor – refers to an entity, whether government or private, that
provides funds for the conduct of a research project under a Research
Contract.
3.25 Stakeholder – refers to any person who is part of a research project, who
directly contributed to the IP’s creation and/or commercialization.
Stakeholders include UL Researcher, Research Collaborator, Sponsor,
and the IPMO.
3.26 Student – refers to any bonafide student at the University, enrolled in
any undergraduate and graduate program, full – time or part – time,
paying or scholarship – grantee student.
3.27 Trade Secret – refers to information about the IP that is deliberately
withheld secret to protect the information from being copied.
3.28 University – the University of Luzon, otherwise termed as UL. These are
terms that are used interchangeably in this Policy document.
3.29 University Resources – pertain to any form of support provided by the
University, directly or indirectly, to conduct a research project that
includes but not limited to funds, facilities, equipment, consumables,
and staff time.
3.30 Utility Models – are inventions that are novel spin – offs of previous
inventions which are industrially applicable.
3.31 Work – any IP created by the UL Personnel/Students in the course of
their employment or enrollment at the University.

Section 4. Ownership of IP
4.1 As a general rule, IP is owned by whoever created or authored the work.
4.2 An innovation that is made in the field or discipline in which the creator
– whether full – time or part – time, teaching or non -teaching employee
or a student – is engaged by the University or made with the substantial
use of the University’s resources and/or facilities, is the property of the
University.
4.3 An innovation made outside the field or discipline in which the University
engages the maker but with no such support whatsoever from UL is the
 property of the creator. However, they may agree that the innovation is
pursued by the University and the proceeds shared pursuant to this
Intellectual Property Policy.
4.4 The creator or author who owns an IP may request for financial, legal
and technical assistance from the university, to safeguard, preserve, or
market his/her/their IP under the condition that the University shall be
given a role in the management and share in the revenue, if any.
4.5 Joint ownership
4.5.1 An IP may be jointly owned if there is a written agreement to such
an effect between the university and the creator(s).
4.5.2 Research Mentor may be co – author provided he or she has
substantial input into the scholarly work and that the student
agrees to such an arrangement.
4.6 Transfer of ownership
4.6.1 If the university decides not to finance or support the IP’s
registration and development, the creator or author may execute a
written request addressed to the university president to transfer its
IP ownership in his/her favor.
4.6.2 When student/learner graduates, he has to assign ownership of IP
to institution, subject to certain terms.

Section 5. Scope and Coverage

The University of Luzon Intellectual Property Policy applies to all
members of its community: the administrators, faculty, students, staff, and
other participating persons as stipulated in the Research Contract and/or
agreement. The policy covers all kinds of intellectual property as well as the
Intellectual rights granted as specified under the applicable laws of the
Philippines.

Section 6. Governance and Operations

6.1 The University of Luzon Intellectual Property Office (UL IPO) shall be
created under the direct supervision of the University President.
6.2 The IPMO shall consist of at least four staff who will be responsible for
the implementation of the following general functions:
6.2.1 Establish a functional structure and promote sound culture on IP
in UL;
6.2.2 Institute reward system/policies which incentivize UL Personnel in
recognition of their IPs;
6.2.3 Assist UL Personnel, upon request, in conducting Prior Art Search
before submitting research proposals to external agencies which
award grants to the University.
6.2.4 Identify possible IP generation opportunities in research and
development proposals submitted to the University President.
6.2.5 Assess the value of the IPs to be generated and the best means for
them to be protected and/or commercialized;
6.2.6 Draft, file, manage, shoulder costs of Intellectual Property Rights
applications to the Intellectual Property Office of the Philippines
(IPOPHL) and/or foreign IP offices and administer and maintain
granted IP rights;
6.2.7 Draft, negotiate, and manage research contracts and business
plans related to the protection and commercialization of the
University’s IP assets;
6.2.8 Secure Sponsors who will finance the commercialization of UL IP
assets and administer the funds allocated for this purpose;
6.2.9 Ensure fair and equitable distribution of payments (e.g., royalties,
etc.) derived from commercialized IP assets to Stakeholders;
6.2.10 Manage the IPMO funds contributed by both the University and
Stakeholders in the commercialization of IPs;
6.2.11 Negotiate with UL Personnel and Students on the assignment of IP

rights to the University after retirement/resignation and

graduation, respectively;
6.2.12 Resolve cases of disputes that may arise between or among UL
Personnel/Students regarding IP issues by seeking the assistance

of qualified arbiters (e.g., IPOPHL);

6.2.13 When necessary, secure the assistance of public IP service
providers to carry out specific IPMO functions;
6.2.14 Monitor the implementation of the UL IP Policy; and
 6.2.15 Initiate review and revision on a periodic basis and whenever
necessary the IP Policy of the University.
6.3 The UL IPMO shall be manned by the following personnel with their
corresponding responsibilities:
6.3.1 IPMO Director – directs and facilitates the implementation of the
IPMO functions as stipulated in Section 6.2.
6.3.2 IPO Marketing Officer – handles functions related to the
identification of IP opportunities and commercialization of the
University’s IP assets.
6.3.3 IPO Communications Officer – handles functions related to drafting
RAs, contracts, business plans of University IP assets, and Prior
Art search.
6.3.4 IPO Administrative Assistant – provides clerical and/or liason
support to the personnel of the IPMO.