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• The exclusive technology transfer to entities outside Taiwan.
• The technology transfer on a free-of-charge basis.
• Abandonment or assignment of any intellectual property rights.
• Decisions on the acceptance of assignment of intellectual property rights.
• Decisions on trademark applications or licensing of AS trademarks for commercial use.

The convener of the R&D Results Committee shall designate two committee members to review the contract terms for an exclusive technology transfer to entities within Taiwan.
The R&D Results Committee may conduct necessary investigations into violations of these Regulations and may, upon conclusion of such investigations, request the institute(s) or department (s) concerned to take necessary actions.

• The R&D Results Committee shall be composed of 7 to 15 members (including the convener), with each committee member serving a two-year term. The director of the Department of Intellectual Property and Technology Transfer (DIPTT) is an ex officio member of the R&D Results Committee, and if a DIPTT director steps down from the position, the ex officio membership shall be held by the director’s successor. The committee members may be reappointed upon the expiration of their term. In the event of a vacancy during the term, the successor shall serve for the remainder of the original term.
• All committee members serve without compensation; however, extramural members may be reimbursed a review fee at the discretion of AS.
• The convener of the R&D Results Committee shall be appointed by the president of AS from among the vice presidents of AS. The convener shall be responsible for convening meetings of the R&D Results Committee and act as the chairperson. If the convener cannot convene or attend a committee meeting for a cause, he/she may designate a committee member to act on his/her behalf.
• No committee member may appoint a proxy. A committee member shall recuse himself/herself from any cases in which he/she has a personal interest.
• Resolutions of the R&D Results Committee shall require a majority vote of the committee members with a quorum of a majority of the committee members, or by the written consent of a majority of the committee members in response to the notification from the convener.
• Prior to making decisions on a routine technology transfer cases, the convener may designate one or two committee members to assist in providing recommendations.
• The DIPTT shall be in charge of administrative and logistic affairs of the R&D Results Committee.

• The Creator shall pay all the Patent Expenses required for application and shall notify AS immediately as soon as a third party is interested in negotiating a transfer of technology or a license to use the technology.
• The Creator shall notify AS immediately as soon as the application for intellectual property rights is granted. The DIPTT shall then confirm whether the scope of rights are consistent with the scope of disclosure of the R&D results reported by the Creator in accordance with the first paragraph, and assess the market value and utilization potential of the intellectual property before sending the case to the R&D Results Committee for evaluation. The R&D Results Committee shall, based on the market value, utilization potential, costs and benefits of the intellectual property, resolve whether to compensate or share the expenses incurred by the Creator, and decide on related matters such as the lead party for promoting such R&D results and the distribution percentage of the proceeds from R&D results.
• If AS acquires any proceeds from R&D results, the distribution of such proceeds shall first be allocated to the Executive Yuan National Science and Technology Development Fund (hereinafter “Executive Yuan Fund”) or the funding government agency in accordance with Article 7, Paragraph 1 of these Regulations. The remaining proceeds shall be allocated according to the distribution percentage decided by the R&D Results Committee set forth in the preceding subparagraph.

Where the intellectual property rights owned by AS are subject to annual fees or maintenance expenses and have not been assigned or licensed for technology transfer after five years of payment of such costs, AS may take the following actions after consulting with the Creator or the institute with which the Creator is affiliated:

• Continuation or termination of the payment of the annual fees or maintenance expenses.
• Assignment of such intellectual property rights to the Creator or a third party, whether for a fee or free of charge

• Up to one-third of the remainder may be allocated to the Creator in accordance with his/her wishes.
• The institutes with which the Creators are affiliated may choose to be allocated up to one-third of the remainder in total, unless development policies regarding the National Biotechnology Research Park or the Academia Sinica South Campus necessitate otherwise and such exception is approved by AS.

Any remaining proceeds after distribution in accordance with the preceding paragraph shall belong to AS.
The proceeds arising from the mission-oriented research projects initiated and actively led by AS involving the deliberate allocation of public R&D funds and resources, and subject to periodic performance evaluations by AS, shall, after allocating 20 percent to the Executive Yuan Fund or the funding government agency, belong to AS. The distribution provisions set forth in the preceding two paragraphs shall not apply.
The proceeds from R&D results set forth in the preceding three paragraphs include license fees, royalties, prices, equities, incomes from transfer of materials, and other rights and interests. The items of the derivative expenses (not including patent application fees and maintenance expenses; mostly remittance expenses) shall be suggested and proposed by the DIPTT and be approved by the president of AS.
A Creator’s share of proceeds from R&D results may be further allocated to the research team affiliated with him/her; the list of research team members shall be determined and reported by the Creator.
Any rights or benefits other than the proceeds from R&D results set forth in Paragraph 1 shall belong to AS.
Any settlement or compensation paid by a third party to AS for infringement on AS’s R&D results shall, after deducting the attorneys’ fees and related expenses incurred, first allocate 20 percentto the Executive Yuan Fund or the funding government agency; the remaining paid amount except for punitive damages may be distributed in the following manner:

• Up to one-sixth of the remaining paid amount may be allocated to the Creator in accordance with his/her wishes.
• The institutes with which the Creators are affiliated may choose to be allocated up to one-sixth of the remaining paid amount.
• Any remainder after distribution in accordance with the preceding two subparagraphs shall belong to AS, whereas AS may give additional rewards to individuals and teams for their contribution to the protection of AS rights and interests.

The punitive damages referred to in the preceding paragraph are limited to those expressly awarded by a court. The deduction for attorneys’ fees and related expenses incurred by AS before distribution shall be taken first from the punitive damages; the remainder, if any, shall, after allocating 20 percent to the Executive Yuan Fund or the funding government agency, belong to AS.
Where R&D results are produced under the circumstance set forth in Article 5, Paragraph 2, and the proceeds from R&D results are owned by AS pursuant to laws, regulations or contracts, the distribution provision set forth in Paragraph 1 of this Article shall apply mutatis mutandis to the proceeds from such results.
The distribution of proceeds from R&D results of government-subsidized research projects among the Creator, the institute with which the Creator is affiliated, and AS may otherwise be determined in accordance with the recommendations provided for in the relevant rules applicable to such research projects notwithstanding the provisions of Paragraphs 1 and 2 of this Article.

• Free Use: Licenses granted free of charge shall be limited to academic research, educational or charitable purposes only.
• Licensing to Foreign Entities: Following conditions must be fully met for licensing to a foreign entity:
  
  • The R&D results are not part of the national core technologies as prescribed by law.
  • Licensing to a foreign entity will not have a significant negative impact on national security, domestic industrial competitiveness, or the technological and economic development of the nation, or, if such an impact exists, it must be outweighed by a greater benefit to the nation’s overall development.
• Exclusive Licensing to Foreign Entities: An exclusive license to a foreign entity must also meet one of the following conditions:
  
  • No domestic entity in Taiwan is willing to undertake the transfer or licensing of the technology concerned.
  • No domestic entity in Taiwan is capable of undertaking the transfer or licensing of the technology concerned.

Fee-based as used in these Regulations refers to consideration provided in the form of license fees, royalties, prices, equities, cross licensing, technology cooperation, or any other means commonly adopted in the industry for the transfer or licensing of R&D results.

• The sponsor has made substantial intellectual contribution to the R&D results, in which case the R&D results should be jointly owned by the sponsor and AS in proportion to their respective contributions.
• Where a research project is to assist public sectors for public policy purposes, is an international research project for charitable or other not-for-profit purposes or pursues cutting-edge scientific research, is to perform standardized tests or experiments, is to provide specialized technological services, or makes use of existing technologies to produce customized results for the sponsor, the contract for the project may stipulate that the R&D results will be the sole property of the sponsor or a third party that jointly participates in the internationally sponsored project.

The sponsored research projects referred to in this Article do not include research projects funded from a subsidy budget appropriated by other Taiwan government agencies (institutions).

• Attorneys’ fees or other related expenses in connection with litigation, preparation for litigation, or alternative dispute resolution procedures.
• Damages, settlements, penalty, late payment interest or other liabilities.

The provisions of the preceding paragraph shall apply mutatis mutandis to expenses incurred from preventive or improvement measures taken by AS to avoid a non-performance of an obligation attributable to the default of a Creator, a research project’s principal investigator or members of his/her research team.
If a non-performance of an AS obligation is not attributable to either AS or its licensee and AS is nonetheless obligated to restore the other party to its status quo ante or make restitution of unjust enrichment, the Creator or other persons who received proceeds from the technology transfer, as well as the institute with which the Creator is affiliated, shall return the allocated proceeds received in accordance with Article 7.
In the event of the circumstance described in Paragraph 1, to prevent further damage, AS may take the following actions from the time the dispute arises until the Creator, the research project’s principal investigator, or members of his/her research team provides AS with relevant information and clarifies that there is no misconduct or breach of any obligations in the case concerned or any other cases:

• If a non-performance of an obligation may involve infringement of the intellectual property rights of others, or involve fabrication, falsification, or plagiarism of the R&D results, AS may require the Creator to provide a security deposit equivalent to the costs needed for the ongoing applications for the protection of intellectual property rights, and may also suspend new application for the protection of intellectual property for the default Creator’s R&D results.
• If a non-performance of an obligation is in connection with the license to use AS’s R&D results, AS may suspend the process of technology transfer or licensing involving the R&D results of the default Creator, principal investigator of the research project, or members of his/her research team.
• If a non-performance of an obligation is in connection with a sponsored research project, AS may suspend approval of the contracts for sponsored research projects funded by for-profit entities in which the default principal investigator takes part in.