Differing Approaches to Industry-University Engagement

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Differing Approaches to Industry-University Engagement -- A Panel Introduction and Presentation at the University Industry Demonstration Partnership meeting, December 2-4, 2008, at National Academy of Sciences, Washington, DC

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Differing Approaches to Industry-University Engagement

  1. 1. Differing Approaches to Industry-University Engagement Eric Giegerich, UC Berkeley Sherylle Mills Englander, UC Santa Barbara Susan Capella, Intel University Industry Demonstration Project National Academy of Sciences Washington, DC December 4, 2008
  2. 2. Differing Approaches <ul><li>Opportunity: Universities and industry are working together through an expanding variety of engagements. </li></ul><ul><li>Problem: Current engagement models seldom reflect the nuances of the relationship, needs, and activities. </li></ul><ul><li>Challenge: Several industries, including IT, chemical, automotive, and oil and gas, have argued that a &quot;one size fits all&quot; approach to sponsored research and IP licensing typified by biotech deals from the 80's and 90's aligns poorly with their business models. </li></ul>
  3. 3. Conventional Engagement Models at Universities <ul><li>Environment: Open, public, publishable research environment </li></ul><ul><li>Engagement Model: Tend to fit industry contracting into federal grant model </li></ul><ul><li>Agreements: “One size fits all” templates </li></ul><ul><li>Sponsors: Single sponsor (primarily federal agencies) </li></ul><ul><li>IP Strategy: Tends to be patent-centric </li></ul><ul><li>IP Access: Exclusive license to IP is assumed starting point </li></ul>
  4. 4. Conventional Engagement Models at Companies <ul><li>Environment: Closed, confidential, trade-secret, product development environment </li></ul><ul><li>Engagement Model: Tend to fit university contracting into procurement model, or contract research model: </li></ul><ul><ul><li>Buyer / Seller </li></ul></ul><ul><ul><li>Ordering goods, vs. sponsoring research </li></ul></ul><ul><ul><li>Research is “made to order” to meet company specs </li></ul></ul><ul><li>Agreements: “One size fits all” templates </li></ul><ul><li>IP Strategy: Capture every type of IP resulting from project </li></ul><ul><li>IP Access: </li></ul><ul><ul><li>Want ownership…or </li></ul></ul><ul><ul><li>NERF for FTO and… </li></ul></ul><ul><ul><li>Exclusive / nonexclusive varies by sector </li></ul></ul>
  5. 5. Differing Approaches – Open Questions <ul><li>How do companies and universities increase their cross-cultural understanding and tool box for engaging in U-I partnerships? </li></ul><ul><li>How can both sides deploy a full spectrum of research collaboration and IP management strategies ? </li></ul><ul><li>How can office structures and and operating philosophies support U-I partnerships? </li></ul><ul><li>What corresponding menus of actions and agreement types are available? </li></ul>
  6. 6. Panel Format <ul><li>Panel Overview </li></ul><ul><li>A Berkeley View – Eric Giegerich </li></ul><ul><ul><li>Q&A </li></ul></ul><ul><li>SSLEC Center – Sherylle Mills Englander </li></ul><ul><ul><li>Q&A </li></ul></ul><ul><li>Intel – Susan Capella </li></ul><ul><ul><li>Q&A </li></ul></ul><ul><li>Panel Q&A </li></ul>
  7. 7. Differing Approaches to Industry-University Engagement Eric Giegerich Office of Intellectual Property & Industry Research Alliances (IPIRA) University of California, Berkeley University Industry Demonstration Project National Academy of Sciences Washington, DC December 4, 2008
  8. 8. A Berkeley View? <ul><li>A multidisciplinary group of Berkeley researchers has met since Spring 2005 to discuss The Landscape of Parallel Computing Research. </li></ul>Is there a Berkeley View of University – Industry Partnerships? ... Their goal: To discuss a change from conventional wisdom. To reinvent from the bottom up. They call it… The View from Berkeley
  9. 9. A Berkeley View? <ul><li>Features of a Berkeley View can be observed. </li></ul><ul><li>Berkeley pioneers university-industry approaches: </li></ul><ul><ul><li>Organization structure – IPIRA </li></ul></ul><ul><ul><li>Staffing </li></ul></ul><ul><ul><li>Operating philosophy </li></ul></ul><ul><ul><li>Relationship focus </li></ul></ul><ul><ul><li>Exploring new success metrics </li></ul></ul><ul><li>Henry Chesbrough says IPIRA practices Open Innovation . </li></ul>No Manifesto. Decentralized. Free Speech. But…
  10. 10. Industry Alliances Office IAO Office of Technology Licensing OTL A Berkeley View <ul><ul><li>--Office Structure </li></ul></ul><ul><ul><li>Organizational structure erases bias toward monetizing or licensing. </li></ul></ul><ul><ul><li>A given activity is not at the expense of another. </li></ul></ul><ul><ul><li>Licensing and ISRA revenue counted together. </li></ul></ul><ul><ul><li>Chancellor is behind it. </li></ul></ul>
  11. 11. A Berkeley View <ul><ul><li>Backgrounds in technology transfer, business, contracting </li></ul></ul><ul><ul><li>Backgrounds with Industry experience </li></ul></ul><ul><ul><li>Negotiators focus on IP, negotiation, contract management </li></ul></ul><ul><ul><li>Negotiators empowered to draft de novo </li></ul></ul><ul><ul><li>Negotiators have full pallet, full tool box </li></ul></ul><ul><ul><li>Negotiators given signature authority </li></ul></ul><ul><ul><li>Negotiators recognized for advising, consulting, teaching </li></ul></ul>--Staffing for Industry Research Partnerships
  12. 12. A Berkeley View <ul><li>Encourage long-term relationships </li></ul><ul><ul><li>Single transactions don’t build best relationships </li></ul></ul><ul><ul><li>Long term relationships foster repeated engagement </li></ul></ul><ul><li>Before exchanging drafts, build good business understanding of the proposed relationship and project(s) </li></ul><ul><li>Establish Common Ground </li></ul><ul><ul><ul><li>Two parties are pooling resources </li></ul></ul></ul><ul><ul><ul><li>R&D is a shared effort </li></ul></ul></ul><ul><ul><ul><li>Each party has stakeholders </li></ul></ul></ul><ul><ul><ul><li>Each party needs return on their investment </li></ul></ul></ul>--Relationship Focus
  13. 13. A Berkeley View <ul><li>Encourage innovation </li></ul><ul><li>Give permission to experiment and make mistakes. </li></ul><ul><li>Take a holistic approach, agnostic about where industry engages. </li></ul><ul><ul><li>Industry and PI interests should determine relationship type </li></ul></ul><ul><ul><li>Could be ISRA, Gift, Membership, License… </li></ul></ul><ul><ul><li>IP strategy should match deployment strategy </li></ul></ul><ul><ul><li>Chaperoning </li></ul></ul>--Operating Philosophy
  14. 14. A Berkeley View <ul><li>Conventional Metrics: SRAs, Patents, Licenses, Startups </li></ul><ul><ul><li>Quantity and revenue </li></ul></ul><ul><li>New Metrics: All Aspects of University-Industry Partnerships </li></ul><ul><ul><li>Total industry contribution to campus </li></ul></ul><ul><ul><ul><li>Funding, know-how, data, materials, equipment, confidential information </li></ul></ul></ul><ul><ul><li>Licenses resulting from sponsored research </li></ul></ul><ul><ul><li>Number and variety of repeated engagements </li></ul></ul><ul><ul><li>Industry advising, market feedback, deployment </li></ul></ul><ul><ul><li>Industry internships and hiring </li></ul></ul><ul><ul><li>Social impact, public good </li></ul></ul><ul><li>These are experimental. We are still learning. </li></ul>--New Success Metrics
  15. 15. A Berkeley View --Another Metric
  16. 16. <ul><li>Several Companies engage on multiple fronts… </li></ul><ul><li>Sponsored Research Agreements (SRAs) </li></ul><ul><li>Industry Affiliates Programs </li></ul><ul><li>IP Licenses </li></ul><ul><li>Subscription Agreement </li></ul><ul><li>Fellowship Agreements, Internships </li></ul><ul><li>Open Collaboration Agreement (“Lablet”) </li></ul><ul><li>Research Gifts </li></ul>A Berkeley View --Another Metric
  17. 17. <ul><li>Provisos… </li></ul><ul><li>These models work in Berkeley’s ecosystem </li></ul><ul><ul><li>We don’t claim they work everywhere </li></ul></ul><ul><li>Some are proven, some experimental </li></ul><ul><li>These models evolve </li></ul><ul><li>These examples show potentials for </li></ul><ul><li>university - industry partnership </li></ul>From Berkeley… Some Examples
  18. 18. <ul><li>Collaboration Agreement </li></ul><ul><li>Nokia, Navteq, UC Berkeley, Caltrans </li></ul><ul><li>Features cutting-edge wireless traffic technology </li></ul><ul><li>Using cell phones as mobile traffic sensors </li></ul><ul><li>Creating traffic monitoring system fusing GPS cell phone data with existing traffic sensor data </li></ul><ul><li>Literally “road testing” in traffic studies </li></ul><ul><li>Together, these partners create, test, and deploy new technology </li></ul>Example 1 of U-I Engagement Models Mobile Millennium
  19. 19. <ul><li>Collaboration Features </li></ul><ul><li>Public and private stakeholders </li></ul><ul><ul><li>Industry: Nokia, NAVTEQ </li></ul></ul><ul><ul><li>University: UC Berkeley </li></ul></ul><ul><ul><li>Government: US DOT, CalTrans </li></ul></ul><ul><li>CCIT – a deployment-focused </li></ul><ul><li>UC Berkeley research center </li></ul><ul><li>Sharing tasks, data, software, equipment </li></ul>Example 1 of U-I Engagement Models Mobile Millennium
  20. 20. <ul><li>Multiparty Research Agreement </li></ul><ul><li>A Berkeley Research Center </li></ul><ul><li>20 companies, 3 UC campuses </li></ul><ul><li>Industry Sectors: </li></ul><ul><ul><li>Equipment vendors </li></ul></ul><ul><ul><li>EDA companies </li></ul></ul><ul><ul><li>Foundries </li></ul></ul><ul><ul><li>Integrated manufacturers </li></ul></ul><ul><ul><li>Memory companies </li></ul></ul><ul><li>State matching funds (UC Discovery) </li></ul>Example 2 IMPACT Integrated Modeling Process and Computation for Technology Marvell Microfab Lab
  21. 21. Example 2 IMPACT Integrated Modeling Process and Computation for Technology
  22. 22. <ul><li>Industry Benefits </li></ul><ul><ul><li>Students = most important product; hiring, internships </li></ul></ul><ul><ul><li>Workshop 2x/year </li></ul></ul><ul><ul><li>Opportunity to suggest research directions, steering committee </li></ul></ul><ul><ul><li>Access to Berkeley Microfab Lab </li></ul></ul><ul><ul><li>Reports, software, deliverables </li></ul></ul><ul><ul><li>IP rights—Early access to participants </li></ul></ul>Marvell Microfab Lab Example 2 IMPACT Integrated Modeling Process and Computation for Technology
  23. 23. <ul><li>IP includes: Patents, copyrights, maskworks, open source (ie., not patent-centric) </li></ul><ul><li>Licensing decision process – Made explicit to show how UC Berkeley negotiates licenses when multiple sponsors express interest.  </li></ul>Example 2 IMPACT Integrated Modeling Process and Computation for Technology <ul><li>Agreement Features </li></ul><ul><li>Ongoing for 9 years </li></ul><ul><li>Just changed from 1 to 4 year term </li></ul><ul><li>Easy termination for convenience </li></ul><ul><li>Flexible payment schedule: elect annual, semi, or quarterly. (Not one size fits all) </li></ul><ul><ul><li>May include in-kind contributions </li></ul></ul>
  24. 24. <ul><li>Public Domain Research Philosophy </li></ul><ul><li>A practice of managing a Project for early publication. </li></ul><ul><li>Prefers public dissemination over perfecting patent rights. </li></ul><ul><li>Berkeley nonetheless requires employees to disclose inventions in accordance with University policy </li></ul><ul><li>Berkeley reserves the right to perfect patent rights at its discretion when it may better serve the Project goals. </li></ul>Example 3
  25. 25. Example 3 <ul><li>BWRC is… </li></ul><ul><li>Industry Affiliate Program </li></ul><ul><li>Industry–University–Government partnerships </li></ul><ul><li>Laboratory for circuit and system evaluation from DC to 110 GHz </li></ul><ul><li>Focused on prototyping </li></ul><ul><li>Focused on long term relationships </li></ul><ul><li>Interdisciplinary </li></ul><ul><li>Focused on technology transfer </li></ul>
  26. 26. <ul><li>Army Research Laboratory </li></ul><ul><li>California Energy Commission </li></ul><ul><li>Defense Advanced Research Projects Agency </li></ul><ul><li>Gigascale Systems Research Center </li></ul><ul><li>MARCO Focus Center Research Program </li></ul><ul><li>National Science Foundation </li></ul><ul><li>Office of Naval Research </li></ul>Example 3
  27. 27. Example 3 <ul><li>BWRC is one example on campus which prefers a </li></ul><ul><li>“ Public Domain Research Philosophy” </li></ul><ul><li>No history of patent applications </li></ul><ul><li>Tends to work in EE-CS </li></ul><ul><ul><li>May not work everywhere </li></ul></ul><ul><li>It’s a response to an industry sector </li></ul><ul><li>Evolved from faculty and company needs </li></ul><ul><li>Commercialization and public good may be better served </li></ul><ul><li>It works: companies continue to support </li></ul><ul><li>It’s a fine line—we’re always mindful of Bayh-Dole </li></ul><ul><li>This model may evolve </li></ul>
  28. 28. <ul><li>Online Carbon Footprint Calculator </li></ul><ul><li>Situation: an Existing Technology with continuing research potential </li></ul><ul><li>Helps businesses and households evaluate their complete climate footprints. </li></ul><ul><ul><li>includes direct and indirect greenhouse gas (GHG) emissions from energy, transportation, goods and services. </li></ul></ul><ul><li>Provides local climate footprint estimates </li></ul><ul><li>Identifies actions to save money and reduce greenhouse gases. </li></ul>Example 4 http://www.berkeley.edu/news/berkeleyan/2008/03/05_footprint.shtml A licensing or sponsored research opportunity?
  29. 29. <ul><li>Cool Climate Network (CCN) </li></ul><ul><li>CCN was created as a Membership Program with a TAP </li></ul><ul><li>Research focus: greenhouse gas footprint calculators and their introduction into the public sector and the marketplace (deployment) </li></ul><ul><li>CCN provides customized tools for businesses, schools, community groups, cities, states </li></ul><ul><li>Members: companies, consultants, nonprofits, schools, governments </li></ul><ul><ul><li>Members therefore seek more than commercial IP rights </li></ul></ul><ul><li>Partial displays of carbon footprint calculators publicly available. </li></ul><ul><ul><li>CCN members get complete access, IP rights </li></ul></ul>Example 4 Our Strategy: Rather than license exclusively, technology is accessed through membership under a Technology Access Program. (TAP)
  30. 30. <ul><li>Membership Program Features </li></ul><ul><ul><li>Technology Access Program (TAP) </li></ul></ul><ul><ul><ul><li>Full access to CoolClimate webservice & templates </li></ul></ul></ul><ul><ul><ul><ul><li>BSD for non-commercial use </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Right to negotiate with OTL for commercial license </li></ul></ul></ul></ul><ul><ul><ul><li>Data, updates, limited support </li></ul></ul></ul><ul><ul><ul><li>Online community (network) </li></ul></ul></ul><ul><ul><li>Right to obtain Certification Mark License </li></ul></ul><ul><ul><li>Voluntary grant back of data </li></ul></ul>Example 4
  31. 31. Example 5 Socially Responsible IP Management <ul><li>with a Social Impact Goal: </li></ul><ul><li>Make clean drinking water accessible </li></ul><ul><li>In countries with poor drinking water and poor public infrastructure </li></ul><ul><li>At little or no cost </li></ul><ul><li>By developing a new class of household consumer products for disinfecting water using surface-bound cationic antimicrobial compounds. </li></ul>Two Collaborative Research Agreements
  32. 32. <ul><li>Joint Contribution: </li></ul><ul><ul><li>Research in safe water treatments and sanitation </li></ul></ul><ul><ul><li>Market and user adoption studies. </li></ul></ul><ul><li>Aquaya Contributes: </li></ul><ul><ul><li>Expertise in developing and delivering clean drinking water innovations in developing countries </li></ul></ul><ul><ul><li>International partner network. </li></ul></ul><ul><li>Deployment Focus: </li></ul><ul><ul><li>Aquaya’s partner network provides a channel in the developing world for the transfer of technology. </li></ul></ul><ul><ul><li>Market, user adoption helps deployment. </li></ul></ul>Example 5 Socially Responsible IP Management
  33. 33. Example 5 Socially Responsible IP Management <ul><li>Agreement Features: </li></ul><ul><li>Charitable Purpose </li></ul><ul><li>Economically Disadvantaged Countries </li></ul><ul><li>Visiting Researcher </li></ul><ul><li>IP Licensing </li></ul><ul><ul><li>A fully paid, non-exclusive, royalty-free license (“NERF”) to inventions and copyrightable works </li></ul></ul><ul><ul><li>To develop, sell and publicly distribute low-cost water treatment products in EDCs. </li></ul></ul><ul><ul><li>Non-Assert </li></ul></ul><ul><li>Sublicense Rights to Field Network </li></ul><ul><li>Retained Rights </li></ul>
  34. 34. A Berkeley View <ul><li>Features of a Berkeley View of industry-university partnerships: </li></ul><ul><ul><li>Organizational structure –created IPIRA </li></ul></ul><ul><ul><li>Staffing </li></ul></ul><ul><ul><li>Operating philosophy </li></ul></ul><ul><ul><li>Relationship driven </li></ul></ul><ul><ul><li>Exploring new success metrics </li></ul></ul><ul><li>These features lead to creative examples of university industry partnership </li></ul>No Manifesto. Decentralized. Free Speech. But…
  35. 35. Contact <ul><li>Eric Giegerich </li></ul><ul><li>IPIRA </li></ul><ul><li>University of California, Berkeley </li></ul><ul><li>510-642-5850 </li></ul><ul><li>[email_address] </li></ul>
  36. 36. Differing Approaches – Panel Q&A <ul><li>How do companies and universities increase their cross-cultural understanding and tool box for engaging in U-I partnerships? </li></ul><ul><li>How can both sides deploy a full spectrum of research collaboration and IP management strategies ? </li></ul><ul><li>What corresponding menus of actions and agreement types are available? </li></ul><ul><li>How can office structures and and operating philosophies support U-I partnerships? </li></ul><ul><li>What are examples of new, innovative models of university-industry engagement ? </li></ul>

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