Intellectual Property Policies of the University of Electro-Communications
Established on November 19, 2013
Last revised on April 25, 2012
University of Electro-Communications policies on intellectual property (hereinafter,“intellectual property policies”) are defined here for implementing and promoting
measures concerning the creation, etc. of intellectual property in the University ofElectro-Communications (hereinafter, “the University”).
I. Basic Approach
1. Applicability
These intellectual property policies are applicable to the following persons.
(1) Those professors, associate professors, lecturers, assistant professors and other
employees, or persons in an employment relationship with the University, who are orwere engaged in research and development, etc. in the University (hereinafter,“employees, etc.”)(2) Those persons who have contracted with the University in some way regarding
research activities, research output, or inventions, etc. (students, postdoctoral scholars,
researchers, etc.)
2. The mission, responsibility, and guiding principles of the University ofElectro-Communications
The University of Electro-Communications has for many years carried out
leading-edge education and research “for the purpose of helping to advancecivilization through development of the human resources responsible for the future ofhumankind and through scientific research by conducting education and research on
science and technology in information, communication, and various related fields.”(Code of the School Article 1) With the arrival of the advanced information society, inwhat is called an IT revolution, society has increasingly high expectations foreducation and research in communications, the main focus of the University.
The mission and responsibility borne by the University is to meet such expectations byplaying a leadership role in education and research in comprehensive communications
science and technology fields, and thereby contributes to the development of an“advanced communications society.” To give substance to such a mission, the1University seeks to make the campus itself an “advanced communications society” inwhich practical education and research are carried out, thereby deepening diverse
connections to society in the areas of education and research, and in this way creatinga borderless place of knowledge.
3. The mission and responsibility of the University to contribute to society, and its
approach to development and use of research results(1) Mission and responsibility on the social contribution front
The mission and responsibility of the University on the social contribution front canbe summarized in the following three points.
(a) Promoting ties and cooperation with society in research activities, and putting the
University’s research results to use in society.
(b) Promoting two-way ties with society, and communicating the University’s
education activities to society.
(c) Through ties and cooperation with society, enhancing the education and researchfunctions of the University.
(2) Approach to development and use of research results, and importance ofintellectual property to the University
The main missions of a university are (1) developing and obtaining top-class humanresources who will power advances not only in Japan but also in the world, (2)passing down intellectual property to create new knowledge for the future, (3)contributing actively to the advance of society and creation of culture, and (4)making use of intellectual property to play major and broad roles in international
cooperation and on various other fronts.
Traditionally the results of university research have been made known to the world atlarge, mainly in the form of academic papers, playing an important role in new
knowledge creation.
However, depending on the kind of research being carried out and the field, there aremany examples of research results becoming public domain facts due to their having
been made public as academic papers, and being used domestically and globally,
even though the proper protection and leveraging of such research results in auniversity as intellectual property rights could have made the country more globallycompetitive, contributing to the advance of society and to international cooperation.

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As a national university corporation, much of the research at the University is paid
for by the public in the form of taxes. Protecting the intellectual property resulting
from this research and using it to raise the level of technology in Japan can therefore
be seen as an important mission of the University.
At the same time, in the case of research in the field of software, which is within thescope of the University’s research efforts, in consideration of the thinking that such
results should be made open and widely used in society, when it is deemed best to
make software open, its use in the information society will be encouraged.
Such policies must be implemented with due caution.
(3) The relation of education and research in the University to intellectual property
creation
The third mission of a university is to contribute to society from a long-term
perspective through education and research, and to work with society in directlyreturning to society the results of its research for their utilization.
For a science and technology university like ours, in particular, industry has highexpectations for the research and technology being carried out, and is strongly
expected to contribute to society by developing human resources and by taking thelead in protecting and developing research results.
In academic research in a university, it is necessary to respect the autonomy ofresearchers and to emphasize fundamental research from a long-term perspective. At
the same time, however, the expectations of industry will be met by responding to
demands from all parts of society for use of research results and cooperation.
Moreover, listening to the demands of society in such ways can be seen as a way of
deepening the contents of education and stimulating academic research, whichshould increase the synergy between education and research.
Accordingly, while emphasizing fundamental research, the University strives toprotect and make effective use of the original results obtained from academic
research as intellectual property, whether fundamental or applied. In addition, sinceknowledge creation in a university comes from free and open discussions in various
places in the school, recognizing the ideas and know-how arising from these3

discussions to be important intellectual property of the University, and protecting thisproperty, are important for raising the quality of education and research in the
University.
In such ways, active efforts are made to fulfill the third mission of the university,
contribution to society.
4. Mission and responsibility of employees, etc. on the social contribution front
Each of the individual employees, etc. of the University must have an adequate
understanding of society’s demands for social contributions, the third mission of theuniversity above, must endeavor to protect the results of research activities asintellectual property, and must be actively aware that the development and use of thisproperty is their own personal issue.
At the same time, tying up and cooperating with industry so as to have research results
utilized by industry brings the risk of “conflict of commitment,” whereby the main
mission of the university to provide education and research is sacrificed, or “conflictof interest” between the education and research duties of the university and the chance
to obtain economic or other benefits from the outside. The university must therefore
indicate guidelines in these areas in advance, and each of the employees, etc. is
obligated to observe these.
In the case of joint research with industry, the involved employees, etc. and students
have the obligation to pay due attention to faithful execution of contracts, including
nondisclosure agreements.
5. Establishment of an Intellectual Property Office
An Intellectual Property Office is established for the main purpose of promptly andeffectively managing, developing, and utilizing the intellectual property resulting fromresearch in the University.
The Intellectual Property Office is an internal organization of the University Center for
Industrial and Governmental Relations. The Center for Industrial and Governmental
Relations itself was established for the purpose of carrying out contributions to society
in borderless collaboration between the University and related organizations, thereby
fulfilling the third mission of a university.

4The Intellectual Property Office, in addition to managing, developing, and utilizing
intellectual property in the University, shall be responsible for matters specific tointellectual property such as drawing up intellectual property policies and rules forhandling of research results, while making use of human resources with specialized
knowledge and collaborating with TLOs and other such organizations.
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II. Handling of Research Results and Ownership/Transfer of Rights
1. Inventions (including ideas for inventions, etc.)(1) Approach to ownership of an invention
For the sake of the advancement of academic research and effective use of intellectual
property, etc., the inventions created in the University shall in principle belong to the
University, shall be centrally managed in the Intellectual Property Office, and shall beutilized through TLOs, etc. In the case of inventions by instructors not having an
employment contract with the University, or by students, etc., if the right to obtain apatent is succeeded by the University at the wishes of the inventor, a transfer
agreement shall be concluded between the inventor and the University.
(2) Registration of invention
When an invention derives from a service invention or research results, or inconnection with a contract concerning an invention, etc., before announcing it in an
academic paper or academic society presentation, etc., the inventor shall register theinvention with the Intellectual Property Office.
(3) Assessment/determination of an invention, etc. by evaluation committee
The University has established an evaluation committee for assessment anddetermination of inventions and other intellectual property related to the University.
The evaluation committee is established in the Intellectual Property Office, andconsists of intellectual property experts, patent attorneys, TLO officers and otherpersons commissioned by the Intellectual Property Office.
(4) Procedures for assessment and succession of inventions
When as a result of assessment by the evaluation committee it is determined that aninvention should be succeeded by the University, the Intellectual Property Office shall5file a patent application and a TLO, etc. shall look for a technology transfer recipient.
When it is decided not to have the invention succeeded by the University, theinvention shall belong to the inventor.
(5) Handling of patents, etc. (including the right to obtain a patent) succeeded by the
University
Marketing of the patents succeeded by the University shall be carried out by TLOs, etc.
in collaboration with the Intellectual Property Office.
When a patent, etc. is succeeded by the University and later the evaluation committee
decides not to maintain the patent, etc., if the inventor so wishes, ownership can be
returned to the inventor at no charge.
(6) Compensation, etc. to inventors
When the University applies for a patent on a succeeded invention, etc., as well as
when the University receives royalty revenue or technology transfer revenue,
compensation shall be paid to the inventor as prescribed in the Detailed Regulations
on Compensation for Inventions of the University of Electro-Communications.
2. Designs
Each of the provisions of “1. Inventions (including ideas, etc.)” shall apply mutatis
mutandis to the handling of designs created in the University.
3. Copyrighted works(1) In the case of works created by employees engaged in duties of the University on
the initiative of the University (excluding software program and database works), theauthor of those works made public by the University under its own name shall be theUniversity.
(2) The author of software program and database works created by employees engaged
in duties of the University on the initiative of the University shall be the University.
The author of software program and database works resulting from research,however, shall be the person creating that work.
(3) When a software program or database work was created in research conducted withfinancial support from the University or using facilities and equipment managed by
the University, and that software program or database work is to be transferred to,lent to, or licensed for use by a third party for a fee (including for free in the case of awork created in joint research or commissioned research), the author shall register6

that work with the Intellectual Property Office.
(4) The provisions of “1. Inventions (including ideas, etc.)” (5) and (6) shall apply
mutatis mutandis to the handling of works registered with the Intellectual Property
Office as per the preceding item (3).
4. Circuit designs(1) The author of circuit designs created by employees engaged in duties of the
University shall be the University. The author of a circuit design resulting fromresearch, however, shall be the person creating that circuit design.
(2) When a circuit design was created in research conducted with financial support
from the University or using facilities and equipment managed by the University, andthe creator himself or herself deems it preferable that the circuit design be undermanagement of the University, the creator of that circuit design shall register thedesign with the Intellectual Property Office.
(3) The provisions of “1. Inventions (including ideas, etc.)” (3) to (6) shall apply
mutatis mutandis to the handling of circuit designs registered with the Intellectual
Property Office as per the preceding item (2).
5. Research and development output as tangible objects(1) “Research and development output as tangible objects” (hereinafter “tangible
research output” shall mean the items listed below, examples being materials,
samples (microorganisms, new materials, soil, rock, new plant types), prototypes,
and models.
(a)
Objects created or obtained from R&D to indicate that the purpose of the R&D
has been accomplished(b) Objects created or obtained from R&D and used to obtain the objects describedin (a)(c)
Objects created or obtained as a derivative when creating or obtaining theobjects described in (a) or (b)(d) Media recording or describing the objects described in (a) to (c)(2) Ownership of tangible research output obtained from research conducted withfinancial support from the University or using facilities and equipment managed by
the University, and all rights and legal positions in such tangible research output,
shall belong to the University unless otherwise prescribed.
(3) The handling of tangible research output shall be prescribed separately.

76. Technical information and know-how
Regarding technical information and know-how in the possession of employees, etc.,
awareness shall be raised of the possibility for protection as intellectual property andof the need for maintaining confidentiality. Regarding technical information andknow-how relating to industry-academia-government collaboration, the University
shall manage these in cooperation with employees, etc.
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III. Promoting Management and Utilization of Intellectual Property
1. Responsibility of the University toward practical implementation of research results
To contribute to the success of Japan’s intellectual property program in the role of the
University as part of the knowledge creation cycle, an important responsibility of the
University is to choose and succeed intellectual property with potential for having amajor impact on society from among all intellectual property created in the University,
to obtain the rights to it and quickly transfer the technology to industry.
2. Reward to inventors for implementation of intellectual property
In addition to paying compensation to inventors, etc. when intellectual property isimplemented, measures shall be taken to reflect this in their performance assessment.
3. Use of intellectual property for academic purposes
In principle, the use of patents and other rights for academic purposes shall be free.
In the case, however, of ideas and know-how made clear in various kinds of study
meetings or presentation sessions held in the school, measures shall be taken toprevent these from being divulged outside the school by those in attendance, etc.
When a university or other outside research institution wishes to use tangible research
output, technical information, or know-how for academic purposes and makes such arequest, these shall be provided for fee or for free upon conclusion of a nondisclosureagreement, MTA or other agreement with that research institution.
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IV. Approach to Ownership of Rights and Licensing in Joint Research and8Commissioned Research
1. The right to obtain patents on inventions arising from joint research with corporations,etc. shall in principle belong to the affiliated organization of the inventor. In the caseof patents, etc. obtained independently by the University, the initial right ofnegotiation for transfer of rights, granting of license, etc., shall be assigned to thecorporation. In the case of joint patents, etc., provided the corporation does not
exercise exclusive right, in principle they can implement the patents freely. Each case,however, shall be handled flexibly in consideration of the purpose of the research andthe particular situation.
2. The right to obtain patents on inventions arising from research commissioned bycorporations, etc. shall in principle belong to the University. For such patents, etc., theinitial right of negotiation for transfer of rights and granting of license, etc., shall beassigned to the corporation. Each case, however, shall be handled flexibly inconsideration of the purpose of the research and the particular situation.
3. Matters relating to the handling of rights to intellectual property other than inventions
that arising from joint research with corporations, etc. and research commissioned bycorporations, etc. shall be prescribed in individual agreements.
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V. Confidentiality Obligation of University Personnel and Students, etc.
1. Employees, etc. shall not leak to others the secrets they were able to learn in theirduties.
2. Employees, etc. and students, etc. shall be made aware of the nondisclosure
obligations, etc. demanded of the University as an organization in the case ofindustry-academia-government collaboration.
3. When forming industry-academia-government alliances, the parties to the allianceshall be asked to understand and make considerations for the special nature of auniversity and academia, and to ensure that the University’s employees, etc. have theopportunity to present the results of research while preserving the minimum necessary
obligation to confidentiality. The protection of confidentiality shall be supported by
the Intellectual Property Office as needed.
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VI. Management of Intellectual Property, etc., and the Organizational Structure and9Responsibilities for Implementing and Promoting Industry-Academia-Government
Collaboration
For the efficient implementation and promotion of industry-academia-government
collaboration, the Center for Industrial and Governmental Relations, the Intellectual
Property Office, and TLO shall cooperate in creating an independent organizational
structure able to provide unified industry-academia-government collaboration services
from the perspective of industry. The specific measures for this purpose shall beprescribed separately as “Arrangements Concerning the Handling of Intellectual
Property, etc.”
The Intellectual Property Office, in each process of intellectual property handling fromacquisition to management and utilization, shall bear the responsibility, in collaboration
with the University TLO, to manage intellectual property while utilizing it to maximum
benefit.
<Return to top of page>VII. Procedures for Raising Objections, etc. Concerning the Handling of Intellectual
Property, etc.
In case a person to whom these intellectual property policies apply is dissatisfied with
the University’s handling of that person’s own invention or intellectual property forwhich the rights were obtained by the University, that person shall be able to file an
objection with the University President.
Of the objections to handling of intellectual property, etc., matters concerning
certification of service inventions and their succession by the University shall beprescribed in Regulations on Service Inventions, while the same regulations shall apply
mutatis mutandis to the other matters.

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