Intellectual Property Policy
Passed by the Executive Council on November 11, 2003
Partly revised on February 14, 2007
In order to promote education and research and to share and jointly resolve the problemsof the local community as well as problems in Japan and abroad, Shizuoka University
has formulated the following intellectual property policies as its basic concepts for the
management of intellectual property. Predicated on these policies, the University seeks
to make active use of the intellectual property it owns and to fulfill part of its
responsibility to serve society by publishing the results of its activities in education andresearch.
1 Creation of intellectual property
The University seeks to create new industries and bring about technology innovation
through the creation and active use of dependable intellectual property, and works toachieve results that hold the innovative potential for offering solutions to problems
that society wants to see resolved.
2 Persons subject to the Intellectual Property Policy
The persons who are the subject of these policies is comprised of the faculty of the
University, visiting educators (including instructors for donation funded lectures andinstructors in donation funded research fields) who have executed an agreements with
the University concerning research results or inventions, etc., post-doctoral students,
students, researchers, dispatch workers, and temporary staff (for the purposes of thesepolicies, collectively referred to as “Faculty, Etc.”).
3 Ownership of intellectual property
Where intellectual property created by Faculty, Etc. belongs by its nature to thesphere of the University’s operations and where the actions performed to create that
intellectual property belong to the duties of Faculty, Etc. of the University, the said
intellectual property falls into the subject of the intellectual property rights owned by
the University. Patent rights derived from intellectual property created in this way
from the research results of Faculty, Etc. of the University, as well as such utility
model rights, expertise that constitutes a business secret, plant breeder’s rights,
databases, tangible entities of research results including intellectual property derived

from research results, and circuit layout rights, belong to the University.
In special cases, also design rights and trademark rights belong to the University.
Intellectual property rights that belong to the University but are not assumed by it will
be returned to their creators.
4 Use of intellectual property
In order to put intellectual property of the University to the practical use of society,
the University obtains title to and makes use of such property, and strives to enablebroad based usage in Japan and abroad. To this end, the University strengthens its
internal organizations that cooperate with external organizations of industry,
academia, and government, works to obtain the cooperation and understanding oftechnology licensing organizations, and appropriately responds to research requests
from the public related to a variety of intellectual property instances. Furthermore, theUniversity engages in proactive support for ventures launched in the name of andfounded by Shizuoka University with a view to giving a specific angle of application
to the results of education and research and committing intellectual property ownedby the University to practical use.
5 Return of intellectual property
In order that returns arise to the University, Faculty, Etc. apply intellectual property of
the University to practical uses through license grants or assignment of patents, andcontribute to society through various forms of work such as joint research, contracted
research, and technical guidance, or lending and assigning tangible objects of research
results. The University understands these returns as proof of society’s trust in the
University, establishes regulations, rules, and frameworks for their acceptances, anduses part of the income derived from intellectual property usage as incentives for theircreators’ activities in education and research.
6 Education about intellectual property
The University adheres to modern-day rules related to intellectual property, such as
the Patent Act, which are concentrations of many years of human knowledge. The
University encourages Faculty, Etc. to proactively engage in the creation and use of
intellectual property rights. At the same time, Faculty, Etc. work to familiarize
themselves with matters concerning intellectual property rights. Moreover, theUniversity provides those enrolled with opportunities to acquire knowledge related tointellectual property.

7 Organizations and activities surrounding intellectual property
The University forms an Intellectual Property Strategy Committee as a deliberativeand decision making organ for important matters relating to intellectual property
strategy. Based on the deliberation results of the Intellectual Property Strategy
Committee, the University sets up the Intellectual Property Office supervised by thepertinently charged Trustees for the support of intellectual property creation at the
University and for integrated management of acquisition, control, and active use of
relevant rights, and establishes frameworks for activities in close cooperation with theInnovation and Joint Research Center which serves as the liaison office for thecooperation among industry, academia, and the government.
In addition to stressing the importance of intellectual property rights exercise, theIntellectual Property Office, based on these policies, engages in the handling ofintellectual property as a support activity for the research of the University and its
cooperation partners. Additionally, the Intellectual Property Office engages inside andoutside of the University in public relations and information activities concerning
intellectual property.
8 Rules concerning these policies
The University establishes Intellectual Property Handling Guidelines, basing on thesepolicies, that internally and externally define the specific handling of intellectual
property of the University. Moreover, also based on these policies, the University
establishes Rules Concerning Inventions of Employees of National University
Corporation Shizuoka University as internal rules concerning the intellectual propertyof Faculty, Etc.
Intellectual Property Guidelines
Passed by the Executive Council on February 14, 2007
1. Purpose of the Intellectual Property Guidelines
Shizuoka University (hereinafter, the “University”) has on the basis of its Intellectual
Property Policy established and promulgated these Guidelines inside and outside of the
University in order to define basic concepts concerning the creation, protection,
control, and practical usage of intellectual property at the University. Henceforth, on
the basis of joint awareness on the part of the researchers involved in the cooperation
among industry, academia, and government inside and outside of the University, theUniversity will further step up this cooperation, and thereby fully discharge its missionof social contribution to the region.
2. Operations(1) Rules and policies
With regard to the University’s intellectual property rights, the University has further
to its Intellectual Property Policy established Shizuoka University’s Policies for the
Cooperation among Industry, Academia, and Government and internal and external
rules of the University.
Moreover, in order to gain society’s understanding concerning the cases of conflictsof interest, the University has established a Conflicts of Interest Management Policyof Shizuoka University and Conflicts of Interest Management Rules of Shizuoka
University, and in this way ensures impartiality in the operations of intellectual
property rights.
(2) Management frameworks
As a deliberative and decision making organ for important matters relating to the
University’s intellectual property strategy, the University establishes the Intellectual
Property Strategy Committee. Based on the deliberation results of the Intellectual
Property Strategy Committee, the Intellectual Property Office is put into operation
positioned under the Trustees (responsible for academic activities and information) as
an organization that in an integrated way supports the creation of intellectual property
at the University, acquires pertinent rights, and manages their control and practicalusage.
(3) Persons subject to application
The circle of persons to whom these Guidelines are applicable is comprised of the
University’s officers, full-time and part-time faculty, visiting educators (including
instructors for donation funded lectures and in donation funded research fields) who
have executed an agreements with the University concerning research results, postdoctoral students, students, researchers, dispatch workers, and temporary staff, (in thefollowing collectively referred to as “Faculty, Etc.”).
3. Handling of intellectual property
Monopolistic or exclusive rights relating to intellectual property originate in the majority

from patent applications with a patent office and the ensuing registration. For theprotection of inventions made by Faculty, Etc., the University files large numbers ofapplications for inventions, etc. and seeks the establishment of rights and themaintenance thereof. However, owing to these procedures, this effort comes at asignificant cost. Consequently, the University determines whether to file applications
and obtain and maintain rights for inventions, etc. based not only on the feasibility of
establishing rights and the potential for contributing to society but based oncomprehensive considerations including marketability and costs.
The University engages in intellectual property handling for the purpose of letting
society make effective use of the intellectual property, i.e., the research results, of the
University, and thereby contribute to the furtherance of society. To this end, associatedwith expectations of generating highly advanced research and creating research results,
the University establishes the following provisions for the specific handling ofintellectual property.
(1) Subject intellectual property and handling departments
Out of the intellectual output created by the University, in its handling of intellectual
property the University distinguishes among “inventions, etc.,” “tangible objects ofresearch results,” and “trademarks, etc.” Inventions, etc. concern patent rights, utility
model rights, design rights, circuit layout rights, plant breeder’s rights, copyrights(limited to databases), and know-how. Tangible objects of research results are tangible
objects including intellectual property derived from the results of academic research.
Trademarks, etc. are trademark rights. Among works, rights to works that are an
expression of the creative work of individuals predicated on regular education andresearch activities (such a program source code, theses, and books) belong to theindividual. However, with regard to works, including program source code, that are
created at the request of the University in the course of operations of the University
pursuant to the stipulations of Article 15, Paragraph 1, of the Copyright Act, thecopyrights belong as a rule to the University, except in instances of free disseminationsuch as Public Domain Software and Open Source Software. Designs and trademarks
voluntarily created by Faculty, Etc., as a rule, do not belong to the University. However,in order to preserve the credibility of the University, instances created at the request of
the University do belong to it.
The Intellectual Property Office uniformly handles all subject intellectual property. The
Innovation and Joint Research Center cooperates in and supports these activities andactively promotes the creation, protection, control, and practical usage of the intellectualproperty of the University. Departments and sections related to the Secretariat provide
active support, with the Academic Affairs and Information Office Liaison Team looking
after the general affairs of the Intellectual Property Office.
(2) Inventions, etc.
(a) Disclosures of all instances of inventions, etc.
Faculty, Etc. who make an invention, etc. are not allowed to provide advance disclosure
to any other party, and must immediately report the entire invention and all of its content
to the Intellectual Property Office. Consequently, with regard to inventions made in
joint researches among industry, academia, and government, or in contracted researches,or in side activities, Faculty, Etc. are not allowed to provide any advance disclosure orenter into deliberations regarding the content of the invention, except for co-inventors
outside the University.
(b) Inventors, etc.
Inventions are defined as “the highly advanced creation of technical ideas by which alaw of nature is utilized.” Rights of inventors, etc. who have generated an invention arerespected by the University. The term inventor, etc. refers to persons who provide
specific ideas and to person who provide a specific means for resolving a presented
problem. The term inventor, etc. does not refer to person who present a problem or
aspiration, aggregate provided data, or perform experimental work, or provide funds
and facilities to inventors, and such other comparable persons.
(3) Employee inventions
In instances of inventions where the inventing Faculty Member, Etc. belongs to thesphere of operations of the University and the actions leading to the invention, etc.
belong to current or historical duties of the Faculty, Etc. at the University, suchinventions constitute employee inventions. As a rule, treated as employee inventions
are inventions, etc. that are produced as a result of research conducted using funds paidor controlled by the University and as a result of research conducted using resources of
the University such as its facilities or equipment.
The question of whether or not an invention, etc. produced by a Faculty, Etc.
corresponds to an employee invention is decided by the Intellectual Property Officebased on the results of deliberations at the Invention Examination Council.
(4) Institutional ownership
Inventions that constitute employee inventions are able to be rendered institutionallyowned inventions whereby the inventor’s rights are assumed and owned by the
University. Rights that the University resolves not to assume do not belong to the
University but belong to the inventor of the subject invention (However, the University
retains non-exclusive license.). In case that the University returns to the inventor therights to an invention that the University originally assumed as an invention
corresponding to an employee invention and in respect of which it has subsequently
made application procedures, the University can require of the inventor the
reimbursement of the application costs out of the income generated by the
implementation of the subject invention.
(5) Application
Applications for institutionally owned inventions are made by the Intellectual Property
Office. For institutionally owned inventions, etc., applications are considered from thecomprehensive perspective of feasibility of obtaining rights and marketability and withconsideration of laws and regulations as well as the rules of the University. Inventions
in respect of which the University resolves not to file an application do not belong to
the University and rights thereto are returned to the inventor of the subject invention,etc.
For applications abroad at the cost of the University, since as a rule filings are madewith the help of the JST, the necessity of filing an application abroad is determinedwithin six months from the date of the declaration of priority. In the case of joint
applications, the cooperation of the co-applicant is requested and the application filed
pursuant to consultations.
(6) Control
When the University files applications for institutionally owned inventions, these areappropriately controlled by the Intellectual Property Office to enable the effective
practical usage of the rights to the invention. In light of the maintenance cost of rights
to inventions, the question of whether or not rights to inventions should be maintained
is judged and determined on a comprehensive basis including the earnings potential
and the cost of rights maintenance.
After two and a half years have passed since the application, if the Intellectual Property
Office determines that no prospects exist that the license is granted by the examination
request deadline (3 years from the application date), consultations are held with theinventor in order to return to the inventor the rights to the invention, etc. assumed by
the University.

(7) Examination and decision
The examinations and decisions listed in Items (1) through (5) above are reasonably
and expeditiously and with the cooperation of the inventor carried out by theIntellectual Property Office based on the provisions of the Rules Concerning Inventionsof Employees of Shizuoka University and Invention Examination Regulations of
Shizuoka University.
(8) Practical usage
The Intellectual Property Office works to cooperate with external technology licensing
organizations to achieve the effective practical usage of intellectual property rights.
While respecting the views of inventors, etc., the Intellectual Property Office
determines with respect to the counterparty seeking a licensing arrangement with the
University the format and terms and conditions of licensing or assignment against
payment, for approval by the President.

(9) Support for ventures launched by the University
With regard to the practical use of rights through ventures launched by the University,
instances are determined on an individual basis with consideration of the circumstancesof the new industry and with regard for its protection. In particular, in instances where
it is clear that intellectual property rights will be put to use by inventors, etc. at ventures
launched by the University, with reference to the opinions of inventors, etc., on apreferential basis semi-exclusive license or exclusive license will be granted or an
assignment for payment contracted.
(10)Compensation for creators of inventions, etc.
In the case of employee inventions, irrespective of assumption of rights by the
University, the University automatically owns non-exclusive license and pays inventors,
etc. compensation, and in this way encourages the production of inventions.
Application compensation, registration compensation, or license compensation will be
paid in accordance with the regulations of the University to all University internal
inventors who assign their rights to the University.
In particular, in instances where the University receives payment for the practical usageof rights related to inventions, etc. in order to further stimulate the research activities at
the University, pertinent budget allocations are made with the focus on Faculty, Etc.
who have produced the inventions, etc. and with the remainder allocated at research

groups and the University Intellectual Property Office. The rights to thesecompensation amounts remain in effect after creators change employment or retire andbecome part of their estate after death. Details concerning compensation are stipulated
in the Rules Concerning Inventions of Employees of Shizuoka University.
(11)Assessment and responsibilities of intellectual property creators
In order to encourage the creation of intellectual property, the University assesses theestablishment of intellectual property rights as a performance indicator of “invention
creation” and instances of implementation of rights (income generation from licensing
or sale of property rights) as performance indicator of “invention implementation”.
Creators and the University have a natural responsibility in the intellectual property
they create and applying its benefits to society, and must in all respects cooperate in thefilling of applications for employee inventions, etc. assumed by the University and theprocedures for the establishment of rights, as well as in their control and practical usage.
Consequently, Faculty, Etc. who plan to publish scientific papers, etc. before a patentapplication is made must agree to adjustments with the Intellectual Property Office as
to the timing and manner of publication.
(12)Notice of inventions produced in side activities
Among inventions, etc. produced by Faculty, Etc. in side activities pursuant to the Side
Activity Regulations for Faculty, Etc. of Shizuoka University, those whose originationfrom side activities can be reasonably concluded are not rendered institutionally owned
inventions. Consequently, in order to indicate to the University that an invention does
not constitute unpublished intellectual property of the University provided free ofcharge, in disclosing inventions, Faculty, Etc. must append a reasonable explanation on
inventions’ origination.
(13) Confidentiality of the Intellectual Property Office
Until an invention notified to the University becomes institutional property, theIntellectual Property Office and the Invention Examination Council are not permitted
without the consent of the inventor to disclose any information on the content of theinvention to a third party. Also after a decision for institutional ownership, theIntellectual Property Office must institute measures to minimize the amount of
information to be disclosed about the invention and the scope of disclosure within the
University.

4. Intellectual property created in cooperation among industry, academia, and government
Rights to intellectual property created between the University and externalorganizations including business corporations (hereinafter, “Cooperation Partners”) incooperation among industry, academia, and government, such as contracted researchor joint research, belong to the original creator. The University, based on its inventorcentered viewpoint, as a rule regards the measure of contribution of each inventor to
institutionally owned inventions as the equity percentage in the rights attributable tothe inventor of the invention and the acquirer who assumed the rights from theinventor. Given that intellectual property arises, on the part of both the University andCooperation Partners, inevitably or with probability from a huge accumulation ofeffort, knowledge, and experience, which money cannot pay for, the University
believes that the ownership percentage to intellectual property rights is not affected by
the extent of research expenses or application costs. Moreover, in order to preserve
the University’s public interest character, the University will not provide operating
expenses for intellectual property rights alone for the benefit of specific Cooperation
Partners. The following provisions apply.
1. In instances where researchers of the University alone create intellectual
property, the rights belong to the University alone. The cost of application,
control, and maintenance (hereinafter, “Patent Costs”) are paid in the fullamount by the University. The University will grant Cooperation Partners on apreferential basis chargeable non-exclusive or exclusive license or assign
rights for a consideration.
2. In instances where researchers of a Cooperation Partner alone create
intellectual property, the rights belong to the subject Cooperation Partner
alone. The University will not pay for the Patent Costs. The University will notparticipate in the exercise of related intellectual property rights.
3. In instances where researchers of the University and researchers of a
Cooperation Partner together create intellectual property, ownership is shared
between the University and the Cooperation Partner. The operations of the
University consist of education and research, not manufacturing and sales,
which the University therefore cannot implement. Since the University as acontribution to society gives precedence to the implementation throughCooperation Partners, the Patent Costs are paid for by Cooperation Partners.
However, while these general principles provide the basis of operations, theUniversity will respond flexibly depending on the case.

4. Side activities by Faculty, Etc. of the University, based on the Side Activity
Regulations for Faculty, Etc. of Shizuoka University are distinct from theoperations of the University and the duties of Faculty, Etc., and they constitutecontributions to society performed in individuals’ cooperation with industry,
academia, and government. They are therefore unrelated to all intellectual
property owned by the University. Rights related to instances of intellectual
property creation in the course of side activities belong to the subject Faculty,
Etc. or the corporation on the receiving end of the side activity. However, inorder to establish whether conflicts of interest management is required, thecontent of inventions must be filed with the University before an application ismade.
5. Duty of confidentiality
The University will comply if required by a Cooperation Partner to maintainconfidentiality in the processes of a research exchange with a business corporation,etc. and negotiation for cooperation between industry and academia. In such a case,the University will in turn require confidentiality on the part of the businesscorporation. In order to build relationships of trust in the cooperation among industry,
academia, and government, the Intellectual Property Office will respond to inquiries
from related parties and take appropriate actions.
6. Handling in relation to students
The provisions of these Guidelines and the Rules Concerning Inventions of
Employees are not applicable to students within the range of regular research
activities at the University. However, in instances where an employment agreement
on student labor has been concluded with the University or such other involvement ofa student in the operations of the University exists, and in instances where anagreement has been concluded with the University that provides a student with thesame treatment as applicable to Faculty, Etc., these Guidelines are applicable to thestudent. In such a case, tutors must at all times exercise care that the student suffers
no loss of educational rights and freedom of choice when taking up employment.
However, if the student together with the tutor, etc. submits to the application of these
Guidelines and the Rules Concerning Inventions of Employees, since this enables
centralized control of inventions, etc. by the University, it also opens the way foreducation under the integrated guidance in the laboratory, and would allow such a
student to fully devote themselves to research.

7. Inventions of retired Faculty, Etc. and former studentsIntellectual property rights created by retired Faculty, Etc. while employed, or
intellectual property rights created by former students while enrolled, are, whencorresponding to employee inventions, the institutional property of the University.
However, instances not created within the respective periods are not institutional
property.
Notably, upon such application, the University will conduct an examination for
acceptance of voluntary assignment. If reasonable grounds exist for institutional
ownership, the University will accept the assignment and apply the same handling as
for University internal intellectual property.
8. Responsibility for the maintenance of rights and exemption from liability at the timeof implementation
The University is responsible for establishing and maintaining the rights tointellectual property that the University owns alone or jointly with external parties,
and acts to meet this responsibility. However, the University does not implement
intellectual property rights and therefore accepts no liability whatsoever for damages
that result from the implementation of intellectual property rights.