the technology transfer office - ifa...the technology transfer office andrei catana, epfl-tto, march...
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The Technology Transfer Office
Andrei Catana, EPFL-TTO, March 4th, 2014, Magurele
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Publication
Recognition
IndustryUniversity
Research
TTO
Secret
Sales
Product
DevelopmentTeaching
Students, PhDs, Professors
Research contracts
Services
Licensing
Start-ups
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2011 : proof-of-concept fund “Enable”
2010 : Innovation Square for R&D hubs of big companies
2008 : seed fund (Polytech Ventures)
2007 : revised research contracts policy & overhead policy
2005 : Innogrants
2004 : Vice-presidency for innovation and TT
2000 : first equity deals with start-ups
1999 : policy for remuneration of inventors and labs
1998 : creation of the TTO
1997 : coaching for start-ups
1995 : pre-seed funding for start-ups (FIT foundation)
1993 : creation of the Industrial Relation Office
1993 : legal personality, first IP strategy & licensing
1988 : policy for research contracts and partnerships
1986 : industrial liaison program (CAST)
Continuous commitment and efforts
25 years !
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TTO: the stakeholders
TTOPatent
attorneys
Start-upsVCs
UniversityManagement
ResearchersProfs, PhDs
Students
Industry
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TTO staff : essential
CredibilityTrust
Stay close to the inventors !
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Clear policies on ownership
Institution owns IP generated by its employees
Ownership policy for research contracts: inventions are transferred to ind. partner provided they are patented by ind. partner: a win-win solution
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Motivation for inventors
Financial returns from commercial exploitation (royalties, upfront,
sales
Inventor(s)
Lab
EPFL
1/31/3
1/3
B
Reimbursement of costs (patents…)
A
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TTO activities
Contracts (research, service, etc)
IP (evaluation, protection, management)
Licensing and other TT agreements
Distribution of revenues
Interaction with start-ups
TT accelerator: proof-of-concept, upgrading value
TT policies (laws and regulations on TT)
Teaching (raising awareness) http://mintt.epfl.ch/
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Contracts
Research contracts (collaboration)
Service contracts (work for hire, use of equipment)
Industrial grants (early stage evaluation)
NDAs
MTAs
Which types of contracts
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Research contracts
company has priority to protect interesting results
IP ownership transferred to company if patent filed
exclusivity for exploitation in a FOU
backlicense to institution with sublicensing rights outside the FOU
no secret results
overhead 40%
Tip: protect background IP before entering into collaboration
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Service contracts
all rights are transferred to company
institution remains owner of methods and tools
use and publications subject to prior approval
high overhead (60%)
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Invention
Evaluation
Protection
Marketing
License
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The invention disclosure
Identifying the inventors & their inventive %
Third party rights, contracts ?
Principal dates
Description of the invention
Where lies the novelty ?
Which applications ?
Prior art (publications, patents)
Potential partners, licensing opportunities
http://tto.epfl.ch/invention_disclosure
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Why patenting in university ?
Attracting funding from industry (research contracts, licensing)
Creating start-ups
Leadership for patent filing and prosecution should pass as soon as possible from
university to industry
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Patent filing strategies
PPA Nat/RegPPA PCT
Priority p+12m p+30m
8’000 CHF900 CHF
Single country
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Marketing : the tough part
Start-up opportunity ?
Invention description and IP status on web
EPFL, SWITT, Entreprise Europe Network
Professors’ network
TTO network, consultants
Patent databases
Presentations at dedicated events (i.e. TechConnect)
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Transfer of invention to industrial partner
University Industry
Proof-of-concept
Option agreement
de-risking, upgrading value
early commitment
ENABLE : an early stage accelerator
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License
ScopePrice
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License: the scope
Exclusive / non-exclusive / semi-exclusive
By Field-of-Use
Time-limited exclusivity
Territory
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Scope
market sectors
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License: the price
reimbursement of patent costs
up-front payment
milestone payments
royalties (on net sales)
minimum annual royalty
shares (start-up) - instead of up-front
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Royalties
The 25% rule : « rule of thumb »1. calculate profit
2. royalty = 25% of profit
Benchmarks (LES Nouvelles, AUTM surveys, etc.)
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Royalties – benchmarks ?
Subsystem, improvement: < 2 %
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All you need is ...
clear policies (ownership, remuneration, ...)
credibility & trust
stay close to the researchers
IP expertise
negotiation skills
legal support
passion !
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The TTO should have answers to :
is my idea/invention worth patenting ? software ?
what do I need to prepare a patent application ?
which patent strategy ?
how can I establish a collaboration with a company (which contract, FOU, budget, legals, etc.) ?
how can I enter into a license agreement ?
how can I market my invention ?
which are the next steps for my start-up project ?
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To take home :
Protect your inventions by filing patent applications
Use the provisional EP or PCT filings in parallel with the romanian filings: this will enhance interest at a very modest cost increase
Disclose and market (publications, website, etc.) your invention promptly after filing
Do not prosecute your patent application beyond 30 months from the priority filing without commitment from an industrial partner
Avoid filing patent applications in joint ownership
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Many thanks for your attention !