Ganguli Setting Ip Policies For Tech Transfer Offices In The Arab Worl1

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Ganguli Setting Ip Policies For Tech Transfer Offices In The Arab Worl1
4th Technology Commercialization Conference Amman

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Ganguli Setting Ip Policies For Tech Transfer Offices In The Arab Worl1

  1. 1. Dr. Prabuddha Ganguli CEO “ VISION-IPR” 101-201, Sun View Heights, Plot 262, Sher-e-Punjab, Andheri East, Mumbai 400101, India Tel: 91-22-28264348; Fax: 91-22-28264344 e-mail: pgang@mtnl.net.in “ Setting IP policies for Tech Transfer Offices in the Arab World” Presentation at The Fourth Annual Conference on Technology Commercialization, Nov 13, 2008 Amman, Jordan.
  2. 2. “ Knowlitics ” ® …... …..a new international phenomenon Emerging Socio-Political Dimensions of the Knowledge Trade IPR plays a decisive role Transacting Owned Knowledge “ Knowletics” is a registered trademark of P. Ganguli
  3. 3. Technologies Generative Phase Application Phase Trading Phase <ul><li>pganguli2002 </li></ul>
  4. 4. M inds to Market idea stage Freezing of options Position in the protected Knowledge grid Idea Feasibility Ideas demonstrable Ideas Actionable Idea into product/process Marketable Products/Processes Alignment with market time Realisable Value of IP to Potential Value of IP Market acceptability Competitive sustenance IPR Management Product Lifecycle Value addition to Business & Market Hi to Low Risk Science To Technology
  5. 5. Stem Cells of Institutional IPR …facilitate the creation of innovations that have the potential to differentiate and value add at various stages of the Innovation Cycle
  6. 6. <ul><li>CONCEPTS </li></ul>INNOVATION PROCESS OUTPUT MARKET <ul><li>Opportunities </li></ul><ul><li>Mapping innovation pathways Strategic options and procuring funds </li></ul><ul><li>Working through the </li></ul><ul><li>IP grid </li></ul><ul><li>Patents & other IPR Filings/Registrations </li></ul><ul><li>Strategy for Foreign Filings </li></ul><ul><li>Licensing Options </li></ul><ul><li>Joint Developments </li></ul><ul><li>IPR Portfolio creation </li></ul><ul><li>Strategic tieups </li></ul><ul><li>Product / Technology Lifecycle </li></ul><ul><li>Managing IPR Portfolio </li></ul><ul><li>Monitoring IPR </li></ul><ul><li>Policing IPR </li></ul><ul><li>Enforcing IPR </li></ul>Record Maintenance & Updating IPR Information Internalise Intellectual Property and Strategic Management of IPR Ref: Intellectual Property Rights.. Unleashing the Knowledge Economy P. Ganguli ( Tata McGraw Hill, New Delhi 2001)
  7. 7. Key Institutional Challenges <ul><li>Need </li></ul><ul><li>Quality inventions at reasonable speed </li></ul><ul><li>Inventions that are </li></ul><ul><li>“ patent non-infringing”………create inventions with “freedom to operate” </li></ul><ul><li>Inventions that can be transferred / commercilaised </li></ul><ul><li>Inventions that are patentable </li></ul><ul><li>Inventions that can be used to enhance and/or facilitate networking between stakeholders including other research groups, funding agencies, industries, etc. </li></ul><ul><li>Human Resource to meet the challenge at optimum costs </li></ul>
  8. 8. Optimisation the costs? <ul><li>- IP assisted choice of R&D problems </li></ul><ul><li>Documentation of prior art and its analysis as part of the R&D work </li></ul><ul><li>Phasewise IP Review from early stage and strategu building </li></ul><ul><li>Identification and early building of networks for Technology Transfer Partners. </li></ul><ul><li>Building of intra-institutional Human Resource of IP literates and interfaces to derive maximum from IP Practitioners </li></ul><ul><li>Framework for inter-institutional IP and technology transfer </li></ul>
  9. 9. The Way Forward <ul><li>Creation and implementation of Institutional Management of R&D process with integrated IPR Policy </li></ul><ul><li>Creation of critical number of IPR Literates and IPR Professionals to implement the IPR Policy in the R&D Process </li></ul>
  10. 10. IPR Policy….A national activity <ul><ul><li>Formulation of Comprehensive National IPR Policies </li></ul></ul><ul><ul><li>Ensuring the creation of Frameworks for the </li></ul></ul><ul><ul><li>Intuitional Policy for Management of IPR </li></ul></ul><ul><ul><li>Regional Training of Personnel in Industry and Academia on </li></ul></ul><ul><ul><li>IPR Management </li></ul></ul><ul><ul><li>Focused programme for building of a critical number of </li></ul></ul><ul><ul><li>“ IP Literates” and “IP Professionals” to operate as </li></ul></ul><ul><ul><li>networked communities of IP Good Practices including the training on how to access and use Patent information in project planning and execution. </li></ul></ul><ul><ul><li>Creating a consortium of funding agencies in the region </li></ul></ul><ul><ul><li>to support technologies developed in institutions to fund IPR </li></ul></ul><ul><ul><li>related activities including cost of filings, fees of attorneys, etc </li></ul></ul>
  11. 11. Key elements of an Institutional IPR Policy to facilitate Technology Transfer <ul><li>Institutional IPR Policy among other items should cover </li></ul><ul><li>the modes of innovations in the institution </li></ul><ul><li>guidelines for ownership of IPRs, </li></ul><ul><li>process for documentation </li></ul><ul><li>obligations of confidentiality & disclosure , </li></ul><ul><li>Approaches to IPR transactions </li></ul><ul><li>that include licensing, assignments, </li></ul><ul><li>direct sell outs, joint ownerships, etc, </li></ul><ul><li>framework for drafting agreements such as </li></ul><ul><li>employee contracts, non-disclosure agreements, </li></ul><ul><li>memorandum of understanding (MOU), </li></ul><ul><li>research contracts, work on hire, work for hire, etc, </li></ul>
  12. 12. Key elements of an Institutional IPR Policy to facilitate Technology Transfer <ul><li>Institutional IPR Policy among other items should cover </li></ul><ul><li>defining the signing authorities in the institution </li></ul><ul><li>guidelines for the use of the name of the institution, </li></ul><ul><li>especially in activities involving other institutions, </li></ul><ul><li>guidelines for sharing of institutional information </li></ul><ul><li>research projects, research results and data, </li></ul><ul><li>guidelines for clearance of publications based on work dome in the institution or in collaboration with the institution </li></ul><ul><li>guidelines for the transfer of material, samples, etc </li></ul><ul><li>(biological and non-biological), </li></ul><ul><li>guidelines for transfer of knowhow, etc. </li></ul>
  13. 13. Key elements of an Institutional IPR Policy to facilitate Technology Transfer <ul><li>Guidelines for applying, procuring and utilizing funds from </li></ul><ul><li>diverse funding agencies, for collaborative work, consultancy, etc., </li></ul><ul><li>Setting conditions for technology transfer, </li></ul><ul><li>resource sharing & collaborations, </li></ul><ul><li>Approaches to policing and enforcement institutional IPR, </li></ul><ul><li>Modes of technology marketing and business development </li></ul><ul><li>of innovations </li></ul><ul><li>Explicit rules for benefit sharing from the revenues generated </li></ul><ul><li>from the IPRs between the institution and the innovators. </li></ul><ul><li>Clarifying all definitions of the terms used in the IPR Policy </li></ul><ul><li>to avoid misinterpretation. </li></ul><ul><li>Consequences of non-compliance of the Institutional IPR Policy. </li></ul><ul><li>The funding of the Institutional IPR activities </li></ul>
  14. 14. Creating Institutional IP Policy ..the process A priority status signaled by the Head of the institution, such as the Vice Chancellor of the university, the Director of the institute and/or all the associated key functional heads, such as Deans of Academics, Administration, R&D, etc. to ensure adequate resource allottment to the activity in the Institution. An office with executive authority must be identified to champion the IPR activities and be responsible for the development and implementation of the IPR Policy in the institution. e.g. an office that is equivalent to the Office of the Dean of Research and Development or the Dean of Academic Activities , etc
  15. 15. Creating Institutional IP Policy ..the process Benchmarks for the selection of the office to lead the IPR Policy Process The Office should : a) facilitate the R&D dynamics in the institution leading to the creation and utilization of institutional IPR assets; (b) link with other institutional functions promote the harmonious development, (c) act as the conduit for interactions with external funding agencies, industries, etc and d) has the authority to negotiate deals on behalf of the institution;
  16. 16. Creating Institutional IP Policy ..the process Institute a formal “IPR Cell” comprising of a cross-functional core team with defined responsibilities
  17. 17. Creating Institutional IP Policy ..the process <ul><li>Role of the IPR Cell from initiation of policy to implementation: </li></ul><ul><li>Be entrusted with a time-bound task of drafting an institutional IPR policy, based on the Vision and Mission of the Institution </li></ul><ul><li>Mapping the dynamics of various intra-institutional activities </li></ul><ul><li>Mapping the inter-institutional linkages and interactions </li></ul><ul><li>Examining human resource policy to formulate a fair benefit- sharing arrangements between the innovators and the Institution on earnings from the IPR developed. </li></ul>
  18. 18. Creating Institutional IP Policy ..the process <ul><li>Role of the IPR Cell from initiation of policy to implementation: </li></ul><ul><li>Establishing an IPR Management Committee with structured and focused executive roles </li></ul><ul><li>Defining signing authorities for agreements, MOUs and acting as interface between law firms and the institution </li></ul><ul><li>Acting as a conduit for institutional communication on matters of technology transfer </li></ul><ul><li>Conducting IPR awareness workshops involving the stake holders so that grassroots level feedback is obtained at the nucleation phase of the IPR Policy to ensure buy-in by the stakeholders </li></ul>
  19. 19. What the Institutional IP Policy Should Lead to….. <ul><li>Achieving the VISION and MISSION of the Institution. </li></ul><ul><li>Stimulation of creativity and inventiveness through Framework for Competence and Knowledge Building </li></ul><ul><li>Rationalisation of investment in human and capital resources. Avoidance of duplication of R&D </li></ul><ul><li>Optimal use of “Extra-institutional” knowledge </li></ul><ul><li>Integration of the Institutional Innovation Process with a wide range of R&D and Business Partnerships </li></ul>©VISION-IPR 2002
  20. 20. What the Institutional IP Policy Should Lead to….. <ul><li>Timely Protection and Management of Institutional Knowledge Assets… </li></ul><ul><li>Encouragement of partnership with other developers especially with SMEs in the Innovation Supply Chain.. </li></ul><ul><li>Earnings from innovations to pay for further research and acquiring other technologies ( e.g. licensing and cross-licensing) </li></ul><ul><li>Recognition to inventors and enhancement of ethical standards in the Institution </li></ul><ul><li>Transparent Benefit Sharing from IP earnings . </li></ul>©VISION-IPR 2002
  21. 21. What the Institutional IP Policy Should Lead to….. <ul><li>Creating and retaining leadership in the Knowledge Market. </li></ul><ul><li>Academic Freedom to operate in a global environment. </li></ul><ul><li>Guarding the Institution from taking on undue Financial and Legal liabilities. </li></ul><ul><li>Effective enforcement of Institutions IPRs </li></ul><ul><li>Enhancement of Institutional Image </li></ul><ul><li>Assuring Long Term Growth of the Institution . </li></ul>©VISION-IPR 2002
  22. 22. EVOLVING ROLES .......... IPR Cell WINDOW TO IPR INFORMATION IN PROJECT TEAMS Research Proposals Identify innovations Appropriate IPR protection Publication clearance GATEWAY Attorneys IPR Authorities National/International agencies TECHNOLOGY TRANSFER CHECK POST Agreements/Contracts Licencing Clearance for use INSTITUTIONAL IPR AWARENESS SUPPORT LEGAL PROCEEDINGS POLICING IPR PORTFOLIO TRACKING COMPETITION IPR monitoring Planning oppositions, blocking moves, etc. Role of an Institutional IPR Cell
  23. 23. How can this be implemented in the Arab World
  24. 24. Towards a Values –based knowledge society in The Arab World-Arab Science And Technology Program (5X5=1) ; IZDIHAR (prosperity) Ref: The Arab Science and Technology Foundation (ASTF), Dr. Samir Hamrouni, www.astf.net E V L O S   O T Biotechno- logy Health Agriculture food and nutrition HAYAT (Life) Application and integration of technologies IC Technologies MA'LUMA (Information) Sustainable development Energy Environment technologies BEE'A (Environment) Values and knowledge   Citizenship Trends and changes in society   Education   Good governance Economic integration   Decision Making MUJTAMA’ (Society) Production technologies New materials Nanotechno- logies NUMUW (Development ) TO INTEGRATE all the elements of the Arab Science and Technology system For research networking and researchers' mobility. SHABAKA (Network) To transform knowledge into products and services. IBDA‘ (Innovation) For technology transfer and the management of intellectual property and patents. MULKIYA ( Proprietorship) To create the suitable environment to promote investment in technology . ISTITHMAR (Investment) To support research in SMEs and entrepreneurship. SHARAAKA (Partnership) <ul><li>To solve problems and to answer to market and society needs for sustainable development and employment creation by the implementation of trans-national and multidisciplinary collaborative scientific research and technological development </li></ul><ul><li>To maximize their impact by combining technological, industrial, social and cultural aspects. </li></ul>
  25. 25. Case Studies Examples form some operating projects in India
  26. 26. Idea clustering in open forum by Department of Biotechnology (DBT) Delhi University Cadila Pharmaceuticals Pvt Ltd (CPL) Dept Of Biotec (GOI) CPL as industry Interested in the concept For commercialisation Idea Generation In Open DBT Forum DBT interested in Creating & Nurturing alliances
  27. 27. The Project <ul><li>Delhi University though of a Naked Eye Visible Agglutination Test (NEVA) ..simple, bedside, rapid, and as good as ELISA. </li></ul><ul><li>CPL identified it as a good India Centric Product Concept for Commercialisation. </li></ul><ul><li>Project funding both by DBT and CPL </li></ul><ul><li>Technology developed by DU, Knowhow transferred to CPL, CPL developed it into a commercial product </li></ul><ul><li>A 3-Party MOU between DBT-DU-CPL signed </li></ul><ul><li>DU received lump-sum and milestone payments from CPL </li></ul>
  28. 28. DBT --- Industry Initiative National Institute of Immunology NII Cadila Pharmaceuticals Pvt Ltd (CPL) NII: Basic Science for Leprosy Vaccine CPL: Under license Developed it to a commercial marketable Product
  29. 29. Industry Initiative National PPP spinoffs Cadila Pharmaceuticals Pvt Ltd (CPL) Further Identified innovative indications For Immuvac CSIR DST DBT NMITLI SIBRI RESEARCH GRANTS PRDSF Scheme
  30. 30. Industry Initiative National PPP spinoffs CPL CSIR DST DBT Clinical Basic Science SIBRI Basic Science Product Development Basic Science Product Development 5 Institutions 5 Institutions 1 Institutions 4 Institutions
  31. 31. SBIRI of DBT <ul><li>'Small Business Innovation Research Initiative (SBIRI) Scheme </li></ul><ul><li>Grants and Loans </li></ul><ul><li>Only Grants </li></ul><ul><li>Only Loans </li></ul><ul><li>For Industry-Publicly Funded Institutions </li></ul><ul><li>DBT has engaged M/s Biotech Consortium India Ltd. (BCIL) as SIBRI Management Agency to manage the funds on behalf of DBT </li></ul>
  32. 32. PRDSF of DST Pharmaceutical Research and Development Support Fund (PRDSF) was created under the administrative control of (DST) in January, 2004. Government’s budgetary contribution of Rs.150 crores as corpus to this fund. Interest accrued is used to assist R&D Projects in modern and Indian Systems of Medicines jointly proposed by industry/academic institutions/laboratories and to create national facilities. Indian scientists are engaged in the development of medicines for several diseases such as malaria, filaria, cancer, ulcer, tuberculosis, Etc., and vaccines for rotavirus, cholera, DNA rabies, tuberculosis,HIV, malaria, etc. The leads obtained from the screening of new chemical entities, extracts from plants, traditional preparations, microbes and fungal sources are at different stages of discovery chain like pre-clinical and clinical trials.
  33. 33. NMITLI of CSIR New Millennium Indian Technology Leadership Initiative (NMITLI) A unique “Team India” public-private partnership. With a workable benchmark of short project cycle with high-risk low investment, has emerged the concept of generously funded time bound and resulted oriented projects. This has emerged as the biggest funding route for biotech sector. The initiative so far is worth Rs 1500 million.
  34. 34. Directed Basic Research <ul><li>Selected Thrust Areas of National significance for the development of Platform Technologies. </li></ul><ul><li>Initiate Directed’ Basic Research with Industry Inputs and Involvement in a Consortia Mode so that the knowledge generated finds would benefit Indian Society or the results would benefit Indian Industry or our strategic national interests. </li></ul>Courtesy: Dr. R. Chidambaram, Principal Scientific Adviser to Government of India
  35. 35. “ Directed” Basic Research Pre- Competitive Applied Research Applied Research And Product Development Basic Research Type: Participation: Universities, National Laboratories Universities, National Laboratories and Industry Industry Societal Interest Industry Interest Varieties of Needed Research & Development Efforts ----------------------- -- --- ---- -------------------- --- Industry-Consortium Mode(e.g.CAR) The Department of Atomic Energy has been very successful in directing basic research to areas of relevance to their mandate and has benefited greatly from it. Courtesy: Dr. R. Chidambaram, Principal Scientific Adviser to Government of India
  36. 36. Some Typical Areas of &quot;Directed Basic Research&quot; <ul><li>Can approach from both sides (Examples) </li></ul><ul><li>Societal Interest </li></ul><ul><li>Basic Science behind Ayurveda </li></ul><ul><li>Health Related Macromolecular Crystallography </li></ul><ul><li>Megaprostheses implants </li></ul><ul><li>Nanoelectronics </li></ul><ul><li>Cyber Security (SETS) </li></ul><ul><li>Automotive Electronics (CAR) </li></ul><ul><li>Industry/ Strategic Interest </li></ul><ul><li>Directed Basic Research would prepare the students better to join </li></ul><ul><li>R&D Centres in Industry and participate in national societal and </li></ul><ul><li>strategic programmes. </li></ul>Courtesy: Dr. R. Chidambaram, Principal Scientific Adviser to Government of India
  37. 37. Creating Institutional Human Resource in IPR “ Model IPRinternaliseTM – Integrating Intellectual Property Rights in technical education” by Jabade, Abhyankar and Ganguli [World Patent Information 30 (2008) 220–224]
  38. 38. How do we Innovatively Infuse IPR into Structured Innovation Processes without negatively impacting creativity? ….. And yet make it amenable to integration with management systems A Challenge
  39. 39. “ IPRinternalise™” ..A Pathway to seamless Integration of IPR into Innovation Processes Consider IPR as “in-vivo” activities within the Innovation Cell
  40. 40. Path to IPRinternalise Bridging the gaps at the early innovation phase also ensuring appropriate documentation Creation of IPR LITERATE human resource Development of IPR LITERATE intra-institutional human resource Interactive dynamic interaction creating an “Enabling Environment” Intra institutional working groups of researchers, IPR LITERATE resource
  41. 41. Establishing Communities of IP Creators, IP Enablers and IP Practitioners Hub and Spoke IP Core Groups Networking for peer to peer interaction and learning Exploiting EXISTING Government channels Utilize power of IT TOOLS LET PEPOPLE REALIZE “POWER WITHIN”
  42. 42. Student Project-problem identification Do we know what is known? Do we know what is protected? Do we know how to bypass what is known and protected? Do we know how to “DESIGN SOLUTIONS ” Do we know how to ENGINEER AN “INVENTIVE STEP”
  43. 43. Output Development of IP expertise and capability within Technical Educational Institutions Creating an urge to “Internalise IP” as a process of innovation And learning Enhance quality of Technically qualified students and Provide emerging career opportunities Building of a “CREATIVE LEARNING ETHICAL SOCIETY”
  44. 44. Patents and other IPR in a cost effective process Technology transfer and benefit sharing Bonus
  45. 45. An Effective tool to develop open, inspired prepared and enriched minds and Seamlessly integrate IPR in Technical Education IPRinternalise
  46. 46. Hub Spoke Model Peer to peer transfer of IPR literacy and Expertise Hub to create spoke ……… Spoke to become hub to create spoke … chain propagation HUB Institution Spoke Institute 3 Spoke Institute 2 Spoke Institute 1
  47. 47. IPRinternalise A Scalable Model Cost Effective High Adaptability within Core Groups Peer to Peer Transfer of Literacy and Expertise
  48. 48. References <ul><li>Some of the approaches taken by various countries </li></ul><ul><li>in setting up policies and implementation processes </li></ul><ul><li>have been complied by the </li></ul><ul><li>World Intellectual Property Oganisation (WIPO) </li></ul><ul><li>in its website1. </li></ul><ul><li>www.wipo.int/ip-development/en/strategies/national_ip_strategies.html </li></ul><ul><li>2. “Model IPRinternaliseTM – Integrating Intellectual Property </li></ul><ul><li>Rights in technical education” </li></ul><ul><li>by Jabade, Abhyankar and Ganguli in </li></ul><ul><li>World Patent Information 30 (2008) 220–224 </li></ul><ul><li>3. South African Bill “ Intellectual property rights from </li></ul><ul><li>publicly financed research and development bill” [B46 – 2008] </li></ul><ul><li>www.pmg.org.za/bill </li></ul><ul><li>4. Creating and Embedding an Intellectual Property Rights Policy </li></ul><ul><li>in an Educational or Publicly Funded R&D Institution ; </li></ul><ul><li>P. Ganguli; Journal of Intellectual Property Rights 8, 478-485 (2003) ]. </li></ul>

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