Technology Transfer in an Emerging Economy


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Presentation made on August 13, 2009 in Nairobi Kenya. Sponsored by the Institute of Economic Affairs, this presentation highlights the improtant of engaging in technology transfer to being the results of publicly-funded research into actual use. Tips and traps of the process were highlighted.

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  • TAB 6
  • Technology Transfer in an Emerging Economy

    1. 1. IPR Awareness Seminar – The Need for Technology Transfer Expertise<br />Marcel D. Mongeon<br />Intellectual Property Coach<br />
    2. 2. Outline<br />Defining Technology Transfer<br />How TT Occurs in North America<br />Financial expectations and Reality<br />The need for national frameworks<br />Policies and practices<br />Setting up TTOs<br />Q&A and discussions<br />
    3. 3. What is Technology Transfer?<br />My preferred definition:<br />Any means used to have research results and academic knowledge put into practical use<br />The need for a ‘user’ or ‘customer’<br />Some confusion between input measures and outcomes<br />Patent filings<br />Revenue<br />
    4. 4. Marcel’s Laws<br />Patents ≠ Success<br />Customers = Success<br />Patents = Bait<br />
    5. 5. How TT Occurs in North America<br />Source: Berneman, Start UP Business Development, AUTM Annual Meeting 2008 ED9<br />
    6. 6. But, What is Missing?<br />Types of Technology Transfer:<br />Licensing of IP<br />Collaborative Research<br />Sponsored Research<br />Use of Equipment and Facilities<br />Training of HQP<br />Which is most important?<br />Least?<br />
    7. 7. Financial Expectations and Reality<br />McMaster University FY97 to FY06, Net Revenues/Disclosure over Disclosures, Max revenue=100<br />
    8. 8. So, Why Do We Do It?<br />
    9. 9. National Frameworks<br />United States: Bayh-Dole Act<br />Canadian and various European Countries<br />South African IPR Law<br />Question:<br />Does Kenya need a national framework?<br />Will only be successful if funding for infrastructure<br />
    10. 10. Creating and Implementing New Policies<br />What should an institutional policy touch on?<br />How to decide these issues?<br />How to implement?<br />
    11. 11. Topics for an IP Policy<br />IP that is included<br />Who is covered<br />Ownership of IP<br />Disclosures<br />Dispute resolution<br />Protection of certain communities/Conflicts<br />Responsibility for Management<br />Splitting the money<br />
    12. 12. What IP is Included<br />Traditional division between Copyrights and Patents<br />Ignoring of Trade-marks<br />Good arguments to be made now that all IP should be brought into a policy<br />Who decides when IP will be commercialized? (Researcher, funder, administration?)<br />
    13. 13. Who is Covered<br />Researchers<br />Students<br />Staff members<br />How about visitors?<br />Members of the local community allowed to use facilities?<br />How to reconcile issues over collaborating partners?<br />
    14. 14. Ownership of IP<br />Clear statement that IP is owned by X [Inventors; Funding Organization; Institution?]<br />Choice should be based on: who is best capable of doing the work?<br />Obligations to sign patent documents<br />Need for institutional and individual signatures<br />Consider ‘relief valve’ that lets researchers get ownership back<br />
    15. 15. Alternate IP Situations<br />Open source?<br />Academic publications<br />Open innovation<br />
    16. 16. Contracted Research<br />Most important special case<br />transfer of ownership only when paid “full economic costs”<br />Meaning of FEC<br />Publication limits<br />Other issues related to working with industry<br />
    17. 17. Requirement to Disclose<br />Can’t manage what you don’t know<br />Initial information gathering<br />Gather information relevant to initial valuation<br />Need to balance informationrequired and complexity to complete<br />
    18. 18. Use of Disclosures<br />Initiates management<br />Can be used to pass information to:<br />Internal stakeholders (academic management)<br />External stakeholders<br />When is something truly a disclosure?<br />
    19. 19. Dispute Resolution<br />Who is an Inventor?<br />Patent attorneys can answer to a point<br />Useful to have some type of internal committee to arbitrate disputes<br />Can also help with revenue splits<br />
    20. 20. Protection of Certain Communities<br />Inherent conflicts between supervisors and students<br />How to protect students?<br />Conflict between granting agency and host institutions<br />Use of an intermediate authority<br />Conflicts between inventors and institutions<br />
    21. 21. Splitting the Money<br />They say: “It’s not the money, it’s the principle”<br />They mean: “It’s the money!”<br />How to determine?<br />Institutional portion generally at least 50% after ‘costs’<br />What do costs mean?<br />Include overhead, time etc? or just patents and outside personnel?<br />
    22. 22. How to Fund Technology Transfer<br />Does TT get a portion of revenues automatically?<br />What other functions will they be given<br />How to fund over ‘dry spells’?<br />
    23. 23. Implementing a Policy<br />Communication plan<br />Also needs to see almost immediate services being available<br />Practices (next section) are a critical piece of the puzzle<br />
    24. 24. Practices: The Basic Steps<br />Education of researchers and management<br />The 4 steps:<br />Identify<br />Protect<br />Improve<br />Move out:<br />Licence; Spin-off; Additional sponsored research<br />
    25. 25. Educate Management and Employees<br />Ensure basic understanding of trademarks, copyrights, patents, and trade secrets<br />Train scientists/inventors in record keeping, patent application filing process<br />Likely to be first lesson on IP<br />Challenges with researchers doing it wrong<br />Especially patent searching<br />25<br />
    26. 26. Important Related Educational Step<br />Lab Notebooks<br />TTO providing a guide to lab notebooks:<br /> LabNotes_Poster_000.pdf<br />Also makes a good advertisement for office<br />
    27. 27. Publish or Perish<br />Academic publication imperative<br />Runs contrary to patent rules<br />Need to patent before publishing<br />Create paradigm:<br />Patent, Publish and Profit<br />
    28. 28. The Rewards of Using IP Protection<br />Societal good<br />Will research results get adopted without protection?<br />How to benefit local and international populations?<br />Recognition<br />Career advancement for researchers<br />Money<br />Further research money<br />Personal rewards <br />
    29. 29. Important Practices and Policies<br />Who owns and manages resulting IP?<br />IP from research agreements<br />Disclosures<br />Initial valuation<br />Managing commercialization process<br />End-points:<br />Licence; Spin-off; or Additional Research<br />After end-point administration<br />
    30. 30. IP Protection<br />Patent – most applicable<br />Copyright<br />Trademark<br />Trade Secret<br />Most likely inapplicable in academic environment<br />
    31. 31. Implement Proper IP Protection<br />Patent Protection<br />Conduct cost/benefit analysis<br />Determine Patentability<br />Choose right patent agent/attorney<br />Choose countries to file applications (U.S., PCT applications, Foreign countries)<br />Manage expense-attorney’s fees, government fees<br />Manage patent family<br />Pay maintenance fees<br />
    32. 32. Develop Standardized Agreements<br />Protection of Confidentiality<br />Non-disclosure agreements (NDAs)<br />Employment agreements <br />Protection of Technology<br />Licenses<br />Technology transfer agreements<br />Material Transfer Agreements<br />Research Agreements with Industry<br />
    33. 33. Staffing: Skills Required<br />SCIENCE<br />IP LAW<br />BUSINESS & INDUSTRY<br />EXPERIENCE<br />
    34. 34. Whom Do We Hire?<br />Education:<br />MSc or PhD<br />AND<br />MBA or LLB/JD<br />Training:<br />AUTM or LES course<br />Some additional providers (TTT)<br />Q: Need for regular course in East Africa?<br />
    35. 35. Ongoing Training<br />Patent law changes<br />Patent Agents on TTO staff?<br />Improvements in office practice<br />AUTM Annual Meeting is useful<br />LES provides good contacts<br />Regional activity<br />SARIMA<br />COMESA<br />
    36. 36. Size and Research Income<br />Direct correlation between TT personnel and research income<br />~ 2,000 FTE for $50 B<br /> $25 Million Research per TT FTE<br />Compare your own research size <br />2004 HERD Data for Thailand  $150 M<br />Challenge for smaller countries:<br />How to obtain ‘critical mass’ of TT expertise<br />Solution in S Africa: Central facility<br />
    37. 37. The Generations of TTOs<br />1G:<br />Lots of patent applications<br />Not many licensees<br />Financial hardship<br />2G:<br />Much more analysis before deciding to file<br />Applications are highly targeted<br />Start-up Company creation attempted<br />3G:<br />Science portfolios explored with patent back-up<br />Creation of industry-directed research groups<br />Use of IP for ‘public good’<br />
    38. 38. Marcel D. Mongeon<br />+1 (905) 481 0133<br />UK: +44 (0) 1905 70 1818<br /><br />Questions?<br />