扒哥吃瓜

滨苍迟谤辞诲耻肠迟颈辞苍听

Purpose of this guide听

This chapter provides guidance for universities and research institutions carrying out research, knowledge听exchange听and technology transfer. It draws on good practice from across the sector.听

It sets out听some听strategic themes relating to intellectual property (IP)听and wider knowledge assets,听to support activities linked to the commercialisation of research.听

The guidance explains how to听identify, manage and use IP听and wider knowledge assets. It听highlights听important considerations for protection,听collaboration听and commercialisation.听

It is intended for people involved in research,听innovation听and project delivery.听How it is used will depend on your role,听responsibilities听and organisational context.听

The guidance includes prompts and examples to help you recognise听IP and wider knowledge assets, bring together relevant information, and consider options when planning projects. Examples are illustrative and do not cover every situation. Further sources of support are signposted where relevant, and key terms are explained in the glossary.

Technology transfer,听IP听and wider knowledge assets,听and听research听

Academic staff are likely to be involved in a wide variety of research听and commercialisation听activities, such as:听

• 肠辞濒濒补产辞谤补迟颈辞苍蝉听

• 蝉迟耻诲别苍迟蝉丑颈辫蝉听

• industrial 辫补谤迟苍别谤蝉丑颈辫蝉听

• 肠辞苍蝉耻濒迟补苍肠测听

• 濒颈肠别苍蝉颈苍驳听

• spin-out company formation听

• start-up company formation听

In this guide, technology transfer refers to the process of moving knowledge, research, inventions, innovations from one entity to another.听For听example听from university to business, or between universities.听

罢补产濒别听1:听This table听provides听illustrative examples of knowledge exchange and commercialisation activities that can generate income within the higher education sector. These examples reflect categories captured through national data collection on university engagement with business and the wider community, which records activity annually across the sector. The full range of activity is captured through the annual 听(HESA) survey.

These examples are:

• research collaboration听

• research 辫补谤迟苍别谤蝉丑颈辫蝉听

• funding and investment听

• licensing in听

• licensing out听

• company creation听

• spinning out听

• starting up听

• social enterprise听

• sustainability activity听

• diversification of income听

• for-profit enterprise听

• knowledge transfer 辫补谤迟苍别谤蝉丑颈辫蝉听

• 肠辞苍蝉耻濒迟补苍肠测听

• continuing professional development (CPD)听

• contract research听

• small research facilities听

• managing access to large-scale equipment听

• specialist centres听

• advisory activity听

• regulatory activity听

• 濒别肠迟耻谤别蝉听

• 辫补谤迟苍别谤蝉丑颈辫蝉听

• accelerators

IP due diligence听and freedom to听operate听assessments听play听an important role听in supporting technology transfer. By helping to听identify听existing IP, clarify ownership and understand any third鈥憄arty rights, it builds a clear picture of the IP landscape surrounding a project. This improves confidence for all parties involved, supports constructive negotiation of agreements, and reduces uncertainty around how听knowledge assets听can be shared,听licensed听or developed.听听

A clear project scope helps to听identify听IP听and wider听knowledge asset听risks,听opportunities,听contingency planning. It will help to:听

• plan resource allocation听

• identify听areas of concern听

• assess gaps in skills, infrastructure, and funding

Active recording and curation of this kind of information at the beginning of a research project helps to听identify听and manage听IP听and wider听knowledge assets.听Keeping the plan updated throughout a project means any changes to the underlying assumptions can be听identified听to mitigate risks or take advantage of any new opportunities.

搁别蝉别补谤肠丑听

Research can take many forms听and听may make use of听different听sources听of funding.听Each听funding may have听a specific set of terms and conditions that need to be听identified,听understood and managed听within the project and institutional context.听听

Universities听and research activities vary in opportunity,听purpose听and context.听As a result,听there is no single mechanism or pathway for how universities undertake research, engage in knowledge exchange, or commercialise knowledge assets.听听

However, your institutional IP policy听is a document that听helps to听outline your institution鈥檚 approach to the management of听IP听and wider听knowledge assets. The IP policy听further听provides guidance on institutional procedures and governance systems to be followed.听It听also听sets out听designated authority for decision making and sign off听and听who to ask for help.听Further guidance on creating an IP policy in your institution is in the听IP听policy chapter听of this guide.

The NPSA听听to听support evaluation of new research proposals and considerations before collaborating or partnering.听

Universities and research institutions are often registered听charities听and听this guide highlights charity law compliance as a consideration in the institutional context. In England and Wales, the听听provides the statutory framework referenced in this section.听The Charity Commission publishes guidance. They听state听that听this听is to help you set up and run your charity听by听providing relevant background when considering how charitable status interacts with activities and partnerships. For example,听how charities reconcile contract research and partnerships with businesses with their charitable status.

The IP听guides,听published by the , on Research by听Higher听Education听Institutions听provides comprehensive overviews on specific fields of IP rights and IP management, including practical tips and further resources听

UK听Research and听Innovation听publish听,听presenting examples of the people and projects it invests in and the impacts.

Technology听transfer听

For the purposes of this guide, technology transfer is described as the movement of IP or knowledge assets between entities. This can occur听through mechanisms such as partnerships, collaboration, licensing,听assignments听and听spinout听company formation.听听

The technology transfer process is governed by institutional policies such as those concerned with IP,听and by associated legal frameworks.听The guide therefore听emphasises the importance of understanding institutional policies, processes and procedures that support these activities.听Highlighting that听early engagement with relevant professional services as part of good practice in research activities that may involve knowledge assets or IP.

Technology transfer can occur between universities, businesses, or government.听Therefore, technology transfer activities will differ depending on the asset, the mechanism of transfer and the nature of the outcome.听听

For a widely used international framing,听听as a collaborative process. This process听enables scientific findings,听knowledge听and听IP听to flow from creators (such as universities and research institutions) to public and private users, supporting transformation into products and services.

Identifying听your听IP听and wider听knowledge assets听听

It is important to understand听the听IP and wider knowledge assets听you have听including third party IP,听and under what terms and conditions you can use them.听The complexity of the research environment听means that听there听may be听multiple opportunities for IP conflict. This could听include听situations where relevant听IP and wider听knowledge assets may be unavailable for your听intended听use.听

It is helpful to develop听an initial听understanding of your activities and any potential impact on those activities. This supports active and consistent decision making concerning your IP and wider knowledge assets. The following sections set out some options.

Check IP and wider knowledge assets ownership and access early.听

Before starting any project or venture (whether听fundamental听research or commercial work),听identify听any relevant IP and wider knowledge assets (such as data, materials, software, or听know-how). Confirm who owns them and ensure you have the听appropriate rights听or permissions to access and use them.听

Identify,听understand听and actively manage your opportunities听for IP and wider knowledge assets.听听

Build in time to听identify,听understand听and manage potential opportunities听concerning IP and wider knowledge assets听as your work develops.听

Plan how you will protect IP听and wider knowledge assets听before you act.听

Consider听what protection is听appropriate听how听to听protect your IP听and wider knowledge assets. Put a plan听in place before publishing,听sharing听or progressing activity, so you听maintain听your ability to use听the听IP听and wider knowledge assets听you may need.听

Use confidentiality measures where needed.听听

Consider whether you听may听need a Non-Disclosure听Agreement (NDA)听or Confidentiality听Disclosure Agreement听(CDA). These agreements听protect your ideas听and any sensitive information generated or owned,听recording听the conditions for disclosure and sharing.听

Understand contractual terms and obligations.听听

Before entering into any contract or agreement, make sure you understand the terms,听conditions听and obligations. For听example听how confidentiality, responsibilities, and IP/knowledge asset听handling are set out.听

Engage specialist support early.听听

Ask your听technology听transfer听office听or听relevant听professional services听team听early in the process听for听advice and support across these considerations.

Using an invention disclosure form听

A confidential invention disclosure form provides a听confidential听record of听a new invention听or innovation opportunity. It captures how the invention was created, its key features, and any factors that may affect听protection听and use听such as IP rights.听

The invention disclosure form is a confidential record tailored to the organisation鈥檚 IP policy and governance processes.听

It is important that everyone involved in research understands the need to听disclose听new inventions confidentially, how the process works, and its limitations.

University guidance on internal and external disclosure timing, and the risks of public disclosure, is听usually available听within an organisation.听This听may form part of the听organisation鈥檚 IP policy.听

Completing the form听appropriately听with the university鈥檚 professional services team is important. It supports clear documentation, helps assess protection, use,听management,听opportunity听and risk.听It helps to听reduce the risk of premature disclosure听and听helps clarify inventorship and ownership.听

The form听may听typically听include听the following examples.听

Confirmation听of who the inventors are and the nature of their contributions, to support clarity and avoid later disputes.

Detailed听technical information about the invention, including:听听

• the technical problem it solves听

• a comprehensive description of how it works听

• any听previous听inventions it builds on听

The date听the invention was conceived.听

Details听of any past or planned public disclosures, such as:听听

• conference presentations听

• publications听

• discussions with third parties听

Any prior public disclosure may affect the potential patentability of the invention.

Details听of听third party听collaborators and funders, including their IP positions and any related obligations.

The听use of third鈥憄arty听materials, artificial intelligence tools, software, code,听data听or other contributing elements.

Understanding IP听ownership,听IP听due听diligence听and听opportunity.

IP ownership refers to the legal rights over assets such as patents, copyright,听trade marks, designs and trade secrets.听

Understanding ownership is an important part of IP due diligence. This includes knowing who owns IP, what rights exist, and whether there are any constraints on how knowledge assets can be used or commercialised.听

Academic freedom to teach and publish sits alongside the need to understand听how听to use or exploit knowledge assets. This includes doing so听without infringing听third鈥憄arty听IP or breaching duties of confidence.听

Publishing can be used to place ideas听or innovation听in the public domain. However, timing is important听as publishing too early may听prevent later patent or design protection of your creations.

Before starting research projects, collaborations, partnerships, licensing, or commercialisation activities, IP due diligence activities听may听be undertaken.听听

This process听can help to听identify听such things as:听听

• further opportunities听

• connected contracts and research听

• funders T&Cs听

• third-party IP听

• potential liabilities听

• security or reputational risks听

• any legal or regulatory requirements, such as export controls or obligations under the National Security and Investment Act

For commercialisation opportunities specifically,听IP听due diligence should confirm who contributed to the IP and wider听knowledge assets.听It should also confirm听whether the institution has the rights needed to take the opportunity forward.听Some high-level听considerations听can be听used to guide due diligence.听A few examples include:听

• contributors (including staff,听collaborators听and students)听

• funding sources and associated terms听

• use of external materials, software, data or other resources, and any licences or restrictions听

The听objective听is to ensure clarity on ownership,听rights听and permissions before progressing.

Publication听and IP听

Before any form of publication, it is important to consider how IP and wider听knowledge assets听will be managed.听Many IP rights require protection in a specific sequence and cannot be recovered once prematurely听disclosed. For patentable inventions in particular, publication,听conference presentation, or other听public听disclosure听must not occur before filing听the patent.听Prior disclosure removes novelty and prevents a patent from being granted.听Therefore,听it is听crucial to involve your university鈥檚听professional services early听where听your听research may lead to a patentable invention, or any form of听knowledge asset.听Correctly handled confidential disclosure to your universities professional services听team听will not negatively听impact听your invention.听

Within universities, significant new knowledge is generated and often published openly.听It听is听therefore听useful to consider funder terms,听open听access听requirements, publisher听rights听and any rights听retention policies.听听

Publication may also occur through institutional repositories, including student theses.听When preparing a thesis for submission or deposit.听It听also听helps听to consider any IP and wider听knowledge assets听it听contains听and to听determine听what measures may be needed to safeguard them. This includes ensuring that material requiring protection has not been prematurely听disclosed.听Any necessary steps for managing confidential or potentially protectable content听should be听taken before the thesis becomes publicly available.听

Funding conditions can also shape publication routes.听For example, some funders require notification or acknowledgement.听Sponsors may听also听request temporary delays to the release of theses or outputs until IP protection is secured.

Transfer of听materials听into听and听out of听institutions听

Transferring materials owned by a university to another university, institution or business is a routine part of research activity. These transfers听are normally set out in a material transfer agreement or similar contract.听This will include听any associated rights in the materials, including IP rights and wider听knowledge assets.听

Having an agreement in place before materials are sent to or received from another organisation helps ensure that expectations听are clearly described and applied.听These expectations can be听around use, publication,听ownership听and confidentiality.听

Such agreements should reflect the principles of the institutional IP policy and are typically managed through professional services.

Record听keeping听

Maintaining听accurate, up-to-date records is an important part of managing and protecting听IP and wider knowledge assets听created within an institution. Clear documentation helps听establish听ownership or authorship when needed and captures the terms and conditions governing access,听use听and control of the assets. Consistent听record听keeping, aligned with institutional IP management processes听supports tracking and听demonstrating听impact.听It also听provides information听required听for reporting to funders, including charities with specific compliance expectations.

Students and听蝉迟耻诲别苍迟蝉丑颈辫蝉听

Significant numbers of students are creating businesses during or after their studies.听In 2024/25,听 this as new businesses started by recent students with formal support from听their听HE provider, reporting 4,687 such听start鈥憉ps.

Understanding听how IP and wider听knowledge assets听are generated,听owned听and managed in this context听is therefore increasingly useful.听Students may be undergraduate or postgraduate.听Universities听may听support these activities in听different ways, including听through听investment听and听providing听workspaces,听resources,听mentoring听and business听network access.听

Institutional IP policies听should听set out the position on听ownership of听student听generated IP听and听available support.听They should also cover听any circumstances in which the university may take equity in student ventures.听However, ownership can differ depending on factors such as funding arrangements, the use of existing university IP or the level of collaboration with university staff. Sponsored projects, studentships and collaborative agreements may听establish听different ownership positions.听 Undergraduate听and postgraduate students may听also听be treated differently depending on the nature of their work.听

When students contribute to research, their role and any associated IP rights should be clearly understood and explained. Institutions may also need to consider whether agreements,听such as IP assignments, confidentiality agreements or internship and visitor arrangements,听are听required.听

It is important to distinguish between inventors and contributors. Inventors听are those听who听actually devised听the听invention. This means that听that they contributed to the formulation of the inventive concept听and therefore听meet听the legal definition of inventor.听Other contributors may听have听supported听research and been听named on publications,听but听they听do not meet the legal definition of inventorship.听

Across all scenarios,听accurate听record听keeping and clear contractual arrangements help ensure that IP ownership, responsibilities and related obligations are understood.听It also ensures these are听managed in line with institutional IP policy and processes.

Teaching and听learning听

Demand for university courses changes over time, and universities often adjust provision in response to employer and student needs. Teaching is also increasingly supported by digital tools and online delivery. When designing and delivering courses, it is helpful to consider how听IP听and wider knowledge assets are created,听used听and shared.听This covers听ownership and听permitted听use of teaching materials. This听also听includes recorded and digital learning, where institutional policies may set rules for creating, accessing, distributing,听reusing听and听repurposing recordings. Institutional IP and copyright policies can听help听clarify who owns course materials and what happens when听the creator听leaves听or moves听organisation.听A听review of UK听university听copyright policies found most address teaching materials explicitly.听It听is also important to address听termination rights听and manage the听whole process.

搁别蝉别补谤肠丑听collaboration听

Research collaboration brings together different forms of听expertise, experience and resources, and it often involves the creation, exchange and use of IP and wider听knowledge assets. Collaborations can provide access to specialised equipment, facilities and skills, and new forms of partnership can broaden perspectives and strengthen听supply鈥慶hain听resilience.听These听activities听frequently听generate听shared outputs.听It is听therefore听helpful to ensure that the management, protection and use of the resulting IP and听knowledge assets听is听clearly understood by all parties.听

At the outset of any collaboration, documenting who owns existing IP and wider听knowledge assets, helps to听establish听clarity听and reduces the likelihood of future disputes. This听is听also helped by agreeing ownership of any new assets generated through joint activity. Clear arrangements support effective collaboration and enable partners to work confidently with shared knowledge and resources.听

An appropriate agreement,听such as a collaboration contract or bilateral arrangement,听should set out how IP and wider听knowledge assets听will be accessed,听used听and protected. This includes defining rights to background assets contributed by each party听and听rights to new assets created during the project.听It also includes听any conditions related to confidentiality, publication, development, ongoing听use听or commercial use. Partners may seek rights to exploit project results commercially. Therefore,听the agreement should make clear how such rights interact with institutional aims and how potential conflicts of interest will be managed.听听

Institutional IP policies provide the overarching framework for knowledge听exchange and commercialisation activity, including collaboration, licensing,听partnering听and听spinout听routes. They explain the institution鈥檚 approach to IP ownership, use and the sharing of financial returns, aligned with its charitable purpose and governance processes.听This is detailed in the听IP Policy chapter听of this guidance.

Governance听

Governance foundations听

IP and wider knowledge asset governance refers to the framework of policies,听processes听and regulations.听These听guide how an organisation manages,听protects听and uses its IP and wider knowledge assets. This framework is intended to support ethical,听legal听and strategic handling of IP and wider knowledge assets, aligned to wider business or research goals.听

Governance processes should also ensure that decisions and activities are reviewed and authorised by individuals with the听appropriate authority. There should be a clear governance process and timeline for approvals within stages of technology transfer and commercialisation activities.听

Collaborating institutions should听maintain听up-to-date IP policies aligned with organisational goals, and proactively manage their IP portfolios, associated rights and any relevant agreements.

International knowledge exchange and collaboration听

International partnerships can offer access to diverse听expertise, approaches and resources, including specialist facilities and equipment that support research at听different stages. However, international partnerships can also introduce new risks.听

International knowledge exchange and collaboration increasingly involve the creation, use and movement of IP and wider knowledge assets across borders. Many of the principles that govern domestic collaboration also apply internationally, but working with overseas partners introduces听additional听considerations.听

Before entering an international partnership, it is helpful to consider the legal and IP protection frameworks in the relevant jurisdictions. An IP due diligence process can help to clarify the nature of the project and the role of each partner. It can also identify the legal environment in which collaboration will take place.

Differences in national IP laws, such as rules on assignment, inventorship, registration, time limits or translation requirements, can affect how assets are protected and used.

When collaborating internationally, it is helpful to ensure that institutional policies and procedures specifically guide how IP and wider knowledge assets will be managed across borders. The UK听operates听a strong IP system, but partners overseas may be subject to different legal frameworks, ownership听rules听and terminology.听

Consideration of national security requirements may also be needed, particularly where technology areas involve dual-use applications or sensitive research.听

International collaboration can also engage other regulatory frameworks. Export control rules, data protection requirements and technology transfer regulations may apply, depending on the subject matter and countries involved. Research involving personal data may require cross-border data sharing agreements that听comply with听laws such as the General Data Protection Regulation (GDPR).听

International collaboration can expose IP and wider knowledge assets to additional risks. These may include infringement, misappropriation of IP, mismanagement due to lack of knowledge, and cultural and legal differences. They may also include compliance obligations, language barriers in contracts and agreements, and challenges in transferring IP or data across borders. Understanding these risks helps institutions manage their assets responsibly when working internationally.

Agreements should therefore set out how background IP is contributed and how new IP will be protected, used,听owned听or commercialised. Agreements should also cover how knowledge assets and confidential information will be shared and protected throughout the collaboration.听

Contracts and agreements used in international collaborations should be translated accurately and tailored to the听jurisdiction听in which the work takes place. Clear choices around governing law,听jurisdiction听and contract language help to reduce the risk of misinterpretation where IP ownership and inventorship laws differ. Agreements are usually governed by the laws of the country where the research occurs. However, they may instead be governed by the legal framework of the country of the commissioning or collaborating partner if this is agreed between the parties.听

Clear,听accurate听records and active contract management support transparency and help safeguard both existing and newly created knowledge assets. Depending on the circumstances, institutions may also need to seek specialist legal input to ensure that agreements and IP arrangements are robust and aligned with institutional policies.听听

The European Commission Cross Border decision guide is听. It takes the user through a decision-making process and raises a set of strategic questions to consider when planning and negotiating collaborative research projects.听The appendices to the decision guide听听and IPR rules in 19 European countries and New Zealand.

IP听and wider knowledge asset听governance refers to the framework of policies,听processes听and regulations. These guide how an organisation manages, protects and uses its IP and wider knowledge assets. This framework is intended to support ethical, legal and strategic handling of IP and wider knowledge assets, aligned to wider business or research goals. Governance processes should also ensure that decisions and activities are reviewed and authorised by individuals with the appropriate authority. There should be a clear governance process and timeline for approvals within stages of technology transfer and commercialisation activities.

National Security

National Security and Investment Act (NS&I Act)

The National Security and Investment (NS&I) Act was introduced in 2021 and gives the UK government powers to protect national security. The government can scrutinise and intervene in acquisitions made by anyone, including businesses and investors and in business transactions. In instances where an acquisition could harm the UK鈥檚 national security, the government can impose certain conditions on an acquisition or block it completely. Further information, guidance and case studies are available on the National Security and Investment Act.

The requirements of the Act extend to Higher Education Institutions. The听government has published separate听guidance for the higher education and research intensive sectors听on the听National Security and Investment Act.听This covers听its听impact on research and commercialisation activities.听听

The Investment Security Unit sits within听the听Cabinet Office and听operates听the National Security and Investment regime. You can contact the Investment Security Unit for an informal discussion about notifications or a future acquisition听by emailing听investment.screening@cabinetoffice.gov.uk.

National Protective Security Authority (NPSA) -听Trusted Research & Secure Innovation听

NPSA is the National Technical Authority for personnel and physical security and offers protective security advice to a range of organisations across the UK. The听Trusted 搁别蝉别补谤肠丑听campaign is aimed at the UK鈥檚 higher education and research听sector.听It听offers practical advice and guidance to raise awareness of potential risks, help support secure international collaboration, and drive improvements in research security practices across the sector. The guidance has been developed in collaboration听with the sector to ensure it is practical and proportionate.听

听website听contains听extensive information for academics, professional services/research services, and senior leaders in UK universities and research organisations.听It also听offers a range of tools to help support individuals and institutions conduct research securely.

NPSA have also developed guidance and materials for the emerging tech sector.听The听听campaign offers practical and proportionate steps for small businesses, start-ups and听spin-outs听to protect their innovation from the start of their commercial听journey.听It听includes accessible 鈥淨uick Start鈥澨齡uides as well as more detailed security information.

Research Collaboration Advice Team (RCAT)听听

The Research Collaboration Advice Team (RCAT) provides guidance to research institutions听regarding听the security risks linked to national and international research.听It also听assists听in the protection of the security of the UK鈥檚 research ecosystem. RCAT is the first point of contact and听a听trusted source for advice on听identifying听and mitigating risks to international research collaborations.听

RCAT听is听responsible for:听

• increasing understanding among academics of the laws and regulations they need to follow as they work internationally听

• developing academics鈥� understanding about unacceptable tactics we see adversaries using听-听how these put researchers and their work at risk, and how these risks can be effectively and proportionately managed听

• improving the government鈥檚 understanding of how academics听encounter听risk and how they tackle it听and how government and academia might work together to improve practices听

• supporting academic institutions to design听

• implementing听policies and standards which reflect the importance of the UK鈥檚 research base to national security

RCAT is not an enforcement body. They work with research institutions on a voluntary basis, with full respect for the independence of academics and their institutions.听听

Within research institutions, communication with RCAT should be conducted through your institution鈥檚 nominated RCAT point of contact. If you are unsure who this is, please contact your听research听office.听

RCAT have regional representation throughout the UK, covering:听

• Edinburgh (Scotland and N Ireland)听

• Salford (RCAT Head Office and N England)听

• Birmingham (Midlands)听

• London (SE England 鈥� 2 teams)听

• Cardiff (S Wales and SW England)

More听information听is available听on听the听Research Collaboration Advice Team听and their role to provide advice听on the national security risks linked to international research.

UK Research and Innovation (UKRI)听听

听(UKRI) is the national funding agency investing in science and research in the UK to advance knowledge, improve lives and drive growth. Operating across the whole of the UK, UKRI brings together seven Research Councils, Innovate UK, and Research England.听听

International collaboration is vital. It ensures that the extraordinary potential of research and innovation can enrich and improve the lives of people in the UK and around the world. UKRI helps the UK鈥檚 research and innovation system to thrive by supporting UK researchers and businesses working with people, organisations, and facilities around the world.听

UKRI has offices in China, India, North America, and Europe which are co-located with British Embassies and High Commissions. These offices are building and broadening UKRI鈥檚 research and innovation partnerships within those regions. Further information is available in听UKRI鈥檚听听and听.听听

听operates听a Trusted Research and Innovation Programme to protect the听IP, sensitive research, people, and infrastructure that it supports from potential theft, misuse, and exploitation.听UKRI听has published 鈥楾rusted Research and Innovation: principles and听expectations鈥�.听This听outlines听the principles that UKRI applies to Trusted Research and Innovation and its general expectations of the听supported听research organisations.听These organisations include businesses, research institutes, and research technical organisations.听Its expectations are also set out in UKRI鈥檚 policy on organisation eligibility, and in the terms and conditions for specific awards, including any听additional听terms and conditions.

Academic Technology Approval Scheme (ATAS)听听

The is a certificate issued by the Foreign, Commonwealth and Development Office (FCDO). It gives the applicant the required security clearance to study specific subject areas.听Guidance is available on the Academic Technology Approval Scheme..

Commercialisation听

Commercialisation is the process through which academic, scientific and technical research outputs are translated into products, services or technologies that reach the marketplace. It enables universities and research institutions to maximise the value and impact of their听knowledge assets听by applying them beyond academia and contributing to social and economic benefit.听

IP听and wider听knowledge assets听can be commercialised in听different ways, including听such things as:听听

• 肠辞苍蝉耻濒迟补苍肠测听

• 濒颈肠别苍蝉颈苍驳听

• joint ventures听

• 辫补谤迟苍别谤蝉丑颈辫蝉听

• the creation of spinout companies听听

Institutional IP policies set out the principles that govern these routes and provide the framework for managing translational activity.听

To support commercialisation, IP and related听knowledge assets听need to be听identified, evaluated and protected in听a timely听and coordinated manner. This relies on active IP management, ensuring due diligence can be completed efficiently and that freedom to听operate听is understood and听maintained.听

IP due听diligence is commonly undertaken by professional services teams and听should be听aligned with institutional policies in areas such as IP, risk,听employment听and finance.听Additional听considerations may arise depending on the nature of the project or activity.

Areas where听IP听due diligence typically supports commercialisation听can听include:听

• awareness of academic entrepreneurship and the IP arising from it听

• identification of new opportunities and听assess颅ment听of commercial potential听

• protection and management of IP and wider听knowledge assets听

• support for translational development听

• reviewing听of funding terms and conditions听

• licensing of IP and the formation of听spin鈥憃ut听companies听

Across all commercialisation pathways, clear processes and well鈥憁aintained听records help ensure that IP and听wider听knowledge assets听are managed consistently with institutional policies and long鈥憈erm strategic aims.

Technology Readiness Levels听

Technology Readiness Levels (TRLs) describe the maturity of a technology, from early research through testing and demonstration towards use in practice. TRLs are used to summarise technical maturity, including how far a technology has progressed through evidence,听testing听and demonstration.听

Some sectors and organisations use terms such as 鈥渃ommercial readiness levels鈥� to describe how close an innovation is to being taken up or deployed. These terms are not defined in a single, standard way and can vary by sector.听Commercial factors can be considered alongside TRLs to support a rounded view of what may still be needed to move towards use.听听This avoids the need for听a separate commercial readiness scale.听

TRLs were originally developed by NASA and are now used widely beyond their original context, including in UK government material and research funding guidance.听

Source: TRL scale descriptions and definitions are published by NASA and are used widely in other contexts, including UK government material and UKRI funding guidance on activities and eligibility across TRLs.听

Table听2: Summary of Technology Readiness Levels (TRLs), showing levels 1 to 9 and their descriptions from early research to operational听use.

TRL 1鈥�3: fundamental research to proof of concept:

• TRL 1:听basic principles are听observed听and reported

• TRL 2:听a technology concept or application is formulated

• TRL 3:听analytical and experimental work produces a proof of concept for a critical function or characteristic

TRLs describe technical maturity, not whether something is ready to be used or sold. At TRL 1鈥�3 the work is usually exploratory.听At this听stage听the听focus is听typically听clarified, including听user need, securing the right capability and resources.听Appropriate听arrangements for IP and other knowledge assets听should also be put in place.听

TRL 4鈥�6: scaling from bench to prototype:

• TRL 4:听technology is听validated听in a laboratory environment

• TRL 5:听technology is听validated听in a relevant environment

• TRL 6:听a technology model or prototype is听demonstrated听in a relevant environment

At TRL 4鈥�6 there is stronger evidence from testing and demonstration, often in conditions that are closer to intended use.听Things such as听whether there is a defined route to adoption, suitable partners or delivery options, funding, and a clear view of regulatory, quality and assurance requirements听may be considered.听Clarification of the position on IP and other knowledge assets also affects what can be shared,听developed听or licensed.听

TRL 7鈥�9:听scale鈥憉p, validation and operational use:

• TRL 7:听a prototype is听demonstrated听in an operational environment

• TRL 8:听the technology is completed and qualified through test and demonstration

• TRL 9:听the technology is proven through successful mission operations (operational use)

High TRLs indicate that a technology is close to, or听operating听in, an intended environment. They do not, on their own, confirm that an opportunity is ready for wide adoption or market rollout. Readiness for deployment听also听depends on whether practical steps are in place, such as manufacturing or service delivery capability, compliance with regulatory and quality requirements, evidence of user or customer uptake, and ongoing management of IP and other knowledge assets.

搁别蝉别补谤肠丑听emerging听from academic environments is often at an early TRL.听It听may require further development before it is ready for licensing or adoption by a spinout company. Translational funding, including incubators,听accelerators听and proof听of听concept schemes, can help bridge this gap. This is achieved听by supporting technical validation and the safeguarding of IP and wider听knowledge assets听as they progress. As technologies move through these levels, active and听timely听management of the associated assets supports both their protection and their future commercial potential.

IP听濒颈肠别苍蝉颈苍驳听听

Licensing is a common mechanism for enabling the use of IP and wider听knowledge assets听while allowing the original owner to听retain听ownership and oversight. Licensing arrangements can create structured ways for benefits arising from the use of these assets to be shared.听An听example听of this is听by linking financial returns to the value generated. They may also support collaboration with established organisations whose technical capabilities, market knowledge or distribution networks can help progress an innovation.听In certain sectors, particularly high-technology areas听where they may be听overlapping patent rights innovators听may be听required听to reach licensing deals for multiple patents held by multiple parties.听听

A licence is a formal agreement between the owner of the IP听and听knowledge asset听and one or more parties who receive permission to use it under defined conditions. Ownership听or control of the asset听remains听with the licensor, who sets out how the assets may be accessed,听used听or commercialised, and whether financial payments will apply.听

Licences can take several forms. A 鈥渓icence-out鈥� refers to another party using the licensor鈥檚 assets, while a 鈥渓icence-in鈥� grants the institution permission to use assets owned by someone else.听Licences听may involve听several different assets. They may also involve听single or multiple licensors or听licensees,听and听they听may be exclusive or non-exclusive depending on the scope of听the听rights granted.听Cross licenses allow for two parties to share听the use of assets from both sides. Sub-licenses enable a licensee to issue further licenses.听听

Institutions usually set out their approach to licensing within their wider knowledge听exchange and commercialisation framework听and IP policy. For each project or opportunity, licensing arrangements听should听consider how ownership, use and reuse of the relevant assets will be managed.听This听includes听circumstances where rights might return to the institution if an opportunity is not听progressed. Such arrangements can help ensure that IP and associated听knowledge assets听continue to have routes for future development or application.听

Licensing agreements range from simple to complex depending on the context and the level of control听required. A clear starting point is听an accurate听record of the key outcomes of听initial听discussions, often captured in a听non鈥慴inding听IP听focussed听Heads of Terms听record. This document can support negotiations by summarising intentions while leaving detailed rights and responsibilities to be set out in the final contract.

The IPO has a听checklist on the benefits of licensing and when licensing is听not听appropriate.听听

You can find out more about licensing IP, the guidance varies on whether听you鈥檙e听licensing:听

• patents:听Licensing IP听

• trade Marks:听License, mortgage, transfer, merge and market your trade mark听

• designs:听License, mortgage, sell, change ownership and market your design听

• copyright:听License, sell or market your copyright material

In some cases, use of IP assets owned by third parties can be used without permission under听exceptions laid out in听the legal framework for that听IP right.听However, the scope of the exception should be checked before completing any technology transfer听activities,听in case听a licence-in is听required.听The use of听exceptions听may require听expert听consultation.

Spin-out companies听

A spin-out company is a new business formed to develop and apply the听IP, research outputs or wider听knowledge assets听generated within a university or research institution. Spin-outs听represent听one pathway for progressing听early听stage听innovations toward commercial use.听They听typically require coordination between academics, professional听services听and external partners.听

Establishing a spin-out usually involves bringing together a range of assets and capabilities needed to commercialise the underlying IP.听These may include investment, specialist management experience, technical听expertise,听equipment听and suitable facilities. Different commercialisation routes may therefore be considered depending on the resources available and the intended outcomes for the听knowledge assets听involved. Throughout this process,听accurate,听comprehensive听and active recordkeeping helps ensure that existing and newly created IP and听wider听knowledge assets听are documented,听understood听and managed effectively.听

Several IP听related considerations may arise when forming a spinout. These can include how equity will be听allocated听between the university, academic听founders听and external investors, and how the shareholders鈥� agreement reflects these positions. It is also important to听define听clearly听the听IP听and wider knowledge assets听to be commercialised, including any associated听know-how.听Any听background IP required by the spin-out听should also be听identified.听

Agreements may set out whether IP听and wider knowledge assets听will be licensed or assigned to the company. This may听also听include听whether assignment is linked to milestones such as commercial progress or investment levels.听听

Additional听considerations may relate to:听

• the use and ownership of听trade marks听

• reimbursement of patent costs incurred by the university听

• the terms of any licence granted to the spin-out听

Licensing arrangements may address听aspects听such as:听听

• royalties

• responsibility for听the IP and wider听knowledge assets听

• prosecution and maintenance听

• action against infringement听

• any ongoing research or technical support

Spinouts may require access to university facilities, equipment or staff, and agreements can define the terms under which this access is provided. These arrangements help ensure that the IP and wider听knowledge assets听underpinning the spinout are understood,听recorded听and managed in line with institutional policies and processes.听This听supports听clarity for all parties involved.

Social听enterprise听

A social enterprise is a business听established听to address social or environmental challenges while generating revenue to support its activities. Unlike traditional commercial models, social enterprises balance financial sustainability with social impact and typically reinvest surplus funds to advance their mission.听听

As with any organisational model that develops or deploys听new ideas, it is useful to consider IP and wider听knowledge assets. These include those听that are brought into, created听within听or used by the enterprise.听听

Understanding the parties involved, the origins of the听knowledge assets听and the conditions under which those assets can be used or shared supports clarity and responsible management. This includes considering ownership, access, ongoing听management听and any arrangements that shape how the assets contribute to the enterprise鈥檚 mission.听听

Accurate and comprehensive recordkeeping also plays听an important role.听It supports the identification, documentation and continued management of the IP and听wider听knowledge assets听that underpin the social enterprise鈥檚 work.

Accelerators and听Incubators听

Accelerators and incubators offer structured environments to support the development of听early听stage听startups听and听spin-outs. Accelerators typically provide short, intensive programmes that combine funding, mentoring,听training听and networking to help ventures progress rapidly. Incubators usually run over a longer period and focus more on developing ideas and products.听They may provide in-kind support rather than direct funding and often place less emphasis on rapid scaling.听

Within these programmes, various activities can involve or generate IP and wider听knowledge assets. These may include:听听

• structured training programmes听

• seed funding arrangements听

• mentorship from industry experts听

• networking events or investor听focused activities,听such as pitch development

Each of these interactions can influence how听knowledge assets听are created,听shared听or managed.听

For startups听participating听in accelerators or incubators, understanding IP and听knowledge assets听involved at an early stage supports clarity as the venture develops. This includes听recognising:听听

• what assets are brought into the programme听

• what new assets听emerge听during it听

• how听new听assets are managed when engaging with external partners,听mentors听or investors听

Clear documentation and active recordkeeping help ensure that relevant assets are听identified,听tracked听and managed in line with institutional policies and programme expectations.听

Many accelerator and incubator programmes include elements of IP awareness or training to help participants build a foundation for managing their听knowledge assets听effectively. Where needed, further support may be听sought听from听appropriate institutional听or external sources as part of the programme鈥檚 wider development activities.听Advice for businesses is available from the IPO.

Consultancy听

Consultancy is听an example of听one of the mechanisms through which knowledge听may听move between a university and external organisations.听This听can听support exchange in both directions and complements听other routes such as licensing or collaborative research. Consultancy activity can generate new IP and wider听knowledge assets.听Therefore,听it is useful to听identify听how any resulting assets will be owned,听managed听and used as part of the contractual arrangements.听

IP generated through consultancy may be handled differently depending on the type of consultancy involved.听This includes:听

• university听managed 肠辞苍蝉耻濒迟补苍肠测听

• consultancy provided to a spin-out听

• private consultancy undertaken by an academic

Institutional IP and consultancy policies usually set out the relevant principles that guide ownership and use in each of these contexts. Clear,听accurate,听and active recordkeeping supports this process. It does this听by documenting the assets brought into the consultancy, the assets created during it and the agreed terms that govern their use.听

Universities often have policies to ensure that private consultancy does not conflict with institutional consultancy activities or wider commercialisation听objectives. These policies also help ensure that academic staff are aware of any institutional requirements connected with IP, knowledge听asset听management听or contractual responsibilities. Together, these measures support consistent and transparent handling of IP and听wider听knowledge assets听arising from consultancy work.

Contract research听

Contract research involves the use of existing knowledge to deliver a defined piece of work funded entirely by an external organisation, such as a business or government body. Unlike collaborative research, the work programme in contract research is typically set by the external partner, and the听anticipated听outcomes are usually well understood rather than exploratory. Because the activity is directed toward the needs of the funder, it often does not fall within the听.听听

Institutional IP policies play听an important role听in providing a framework for contract research. They outline the procedures and governance arrangements that guide professional services teams when negotiating contracts, managing the IP and wider听knowledge assets听involved.听This听ensures听that the interests of all parties are recognised. Clear documentation also听assists听in听identifying听background assets, newly generated听assets听and the conditions under which these may be accessed,听used听or transferred.听

The Charity Commission has issued guidance on how charitable bodies can undertake contract research or work with businesses in ways that听remain听compatible with charitable status. Universities often adopt a blended approach to sponsored and contract research, with processes for managing grants, broader partnership arrangements,听and contract research听operating听alongside one another. This approach helps institutions manage knowledge听asset use, contractual terms,听and compliance requirements in a coherent and transparent manner.

Transferring听Knowledge听

Universities hold extensive,听state-of-the-art听knowledge within the disciplines in which they听operate, and this knowledge is transferred in many ways. Teaching is one important route, but knowledge is also exchanged through a wide range of other activities involving partners outside the university.听

Businesses may approach universities to access听expertise, solve organisational听challenges听or support innovation. This can take many forms, such as commissioning materials testing, seeking analytical support, or drawing on academic insight to develop strategies or processes. These interactions often involve the use, development or exchange of IP and wider听knowledge assets.听Therefore,听making it important to understand what assets are being used and how they are managed.听

听is听available.听In this case,听the IP听generated听is not always protectable but is a consequence of collective听know-how听and access to facilities. IP outputs (such as copyright subsisting in any reports or other deliverables) are often only relevant to the client.

Continuing Professional Development (CPD)听听

Continued Professional Development (CPD) refers to the ongoing process of learning, training and skills enhancement that enables individuals to听maintain, update or advance their professional capabilities. As part of this process, new IP and broader听knowledge assets听may听be听created.听听These can include听teaching materials, training content, tools,听frameworks听and other learning resources.听

Because these outputs can hold significant organisational value, they should be听identified,听protected听and managed effectively. CPD activities can also generate substantial income for the organisation.听This听means听that the IP arising from teaching and skills development must be handled with听appropriate consideration听of ownership, rights of use and听long听term听strategic value.听

Clear IP management is particularly important where teaching materials may be used or shared nationally or internationally. Ensuring the organisation听retains听appropriate ownership听and control helps听to:听听

• safeguard quality听

• maintain brand consistency听

• unlock opportunities for commercialisation,听partnership听and wider impact

Showcasing听Technology听Transfer, Collaborations听and听Commercialisation

There are many examples of successful collaborations between universities and businesses that听showcase听good practice, including:听

• 听

• 听

• 听

• 听

The UK research community is also working to听identify听and share good practice in knowledge exchange and commercialisation, including through the听听and its supporting resources.听

The听IPO听has a range of materials relevant to knowledge exchange activities, including听guidance on licensing听and听non-disclosure agreements. However, it is important to seek professional legal advice when entering into contracts.听

There are also wider guidance materials from the听IPO听to support knowledge exchange activity, including听guidance on valuing intellectual property听and the听intellectual property finance toolkit.