David Cullinane (Waterford, Sinn Fein)
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93. To ask the Minister for Education and Skills if his attention has been drawn to an internal review under way in a third level institution in respect of intellectual property policies and procedures; the institution and the nature of the review; and if he will make a statement on the matter. [15587/17]

David Cullinane (Waterford, Sinn Fein)
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94. To ask the Minister for Education and Skills if his attention has been drawn to a conflict of interest arising for senior personnel in third and fourth level institutes due to their employment, business or professional interest, including shareholdings, directorships and professional relationships; if he is satisfied that such conflicts are being appropriately managed in line with IP protocols as set out by his Department; and if he will make a statement on the matter. [15588/17]

Richard Bruton (Dublin Bay North, Fine Gael)
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I propose to take Questions Nos. 93 and 94 together.

The Deputy will be aware that as a country, Ireland has invested significantly in building research capacity in strategic areas allied to industry needs.  This includes investment in top quality researchers, physical infrastructure, equipment and structures to commercialise research.

Investment in research is a key element of overall enterprise policy and seeks to drive innovation and competitiveness in business and the public sector and enable the creation of sustainable jobs.  Higher education institutions are central to the delivery of this ambition.

In that context, the national IP Protocol “Putting public research to work in Ireland” was developed by a task group comprised of leaders from industry, the investment community and TTOs in 2012.  The new protocol built on earlier guidelines and codes of practice, using the lessons learned from their use.

In 2013 the Government established a centralised function with responsibility for technology transfer in the State which led to the creation of Knowledge Transfer Ireland, launched in May 2014. Knowledge Transfer Ireland (KTI) now has responsibility for setting direction for research performing organisations (RPOs) best practice to enable compliance with IP policy and procedures.

The publication of the national IP protocol in 2012, and its subsequent refresh in 2016, sought to establish policy and guidelines on the interactions between industry and Ireland’s Higher Education Institutes, including the treatment of intellectual property.  It provides guidelines and sets expectations for the RPOs and for industry.

The national IP Protocol 2016 comprises two volumes:

- the National IP Protocol policy document which sets out the framework underpinning research collaboration and access to intellectual property from state-funded research

- the IP Protocol Resource Guide which provides an overview of the national IP management guidelines and links to resources and template documents, available for industry and RPOs.  It also provides an overview of the knowledge transfer structures in Ireland and the kinds of agreements that can be used to formalise research-industry engagements.

The protocol explains the National IP Management Requirements and requires that RPOs have in place and operate internal IP management systems that meet or exceed these.  The protocol also includes “good practice” that will normally be followed.  However, industry and RPOs are free to adopt a different approach where this is in the best interests of successful relationships and research commercialisation.  Practices are also highlighted that may be followed if industry/RPOs choose to do so.

The IP Protocol is a key reference source for Ireland’s HEIs and research funders. HEIs have developed IP policies that are in line with national guidelines and good practice.  These will include policy on spin-out formation.  The detail of policies will differ amongst institutions.

The research funding agencies for the publicly funded research system all require that the higher education institutions own the intellectual property arising from research projects that they fund. Each University and IoT has a set of policies that cover how they will govern the use of that IP.

The national IP Protocol explains that commercialisation may benefit HEIs and provide incentives to the researchers involved in creating IP. IP may include protectable IP and know-how. Furthermore, the national IP management requirements make provision for HEIs to have in place a system for sharing of income from commercialising within the organisation, including with relevant researchers.

It is international practice that researchers may hold shares in spin-out companies. The national IP Protocol makes it clear that HEIs should have policies and procedures in place that minimise or manage potential or actual conflicts of interest concerning the commercialisation of IP.

The IP Protocol (National IP Management Requirements) refers to conflict of interest as it applies to commercialisation of IP. 

The national IP Protocol is clear on the policy and processes to identify, protect and commercialise IP that arises in HEIs. This includes guidance on licensing of IP. A suite of Model Agreements, available for use if HEIs and companies choose, covering a range of IP licensing scenarios is available on the KTI website.

In addition, all HEIs are requested yearly as part of their governance statements to state that a code of conduct for Governing Body members and a Code of Conduct for Employees has been adopted and is being monitored.  Guidelines for these codes are included in the IOT and University Codes of Governance (section 3.2).

The University Code of Governance has been implemented since 2007 and was updated in 2012.  A copy of the code is available here:

The Institutes of Technology Code of Governance published in 2012 replaces an earlier document published in 2003.  A copy of the code is available here:

At institutional level, the Code of Conduct for employees and members of governing authorises would include statements related to conflict of interest and outside employment. 

In addition to the national framework set out in the IP Protocol, each of the research funding bodies has contracts and agreements which set out the requirements on HEIs, including in relation to knowledge transfer.

As I have previously indicated to the Deputy, I have not been informed of occasions where breaches of policy have occurred.

As the Deputy is aware, a review is underway in Waterford Institute of Technology.  The purpose of the review is to establish if the institution's interests have been appropriately represented and protected, that all relevant policies, protocols and procedures have been complied with and satisfactory governance processes have been applied. Once finalised this review will be presented to the Governing Body.