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Technology Transfer Transactions: Implications to supporting policy, statutes, and enhanced partnership
opportunitiesRichard J. Brenner, Ph.D.
Assistant Administrator of ARSOffice of Technology Transfer
Panelists: June Blalock, Gail Poulos, Rob Griesbach, Tom Moreland
Enhancing & Documenting the Impact of Research Outcomes
APHIS Annual Agreements ConferenceApril 7, 2009
Riverdale, MD
Why Do We Do Technology Transfer at ARS?
Required by law (15 USC 3710a)
Helps fulfill our mission to serve the public good
Documents impact of scientists’ research outcomes
Enhances the public’s perception of ARS
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Goals of Technology Transfer Transfer of technology is primary objective, not
income.
Facilitate research partnerships & adoption of federal research outcomes for broad U.S. public benefit.
Protect intellectual property primarily if it enhances technology transfer, using the patent system that provides incentives for scientists and protection for U.S. industry.
Enhance U.S. economic development, global competition, and sustainable economic security.
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Intramural research by federal employees, federally funded Special Cooperative Research And Development
Agreement (CRADA) authority with private sector companies right to negotiate exclusive license without Federal Register
notice; confidentiality of data up to 5 years
Technology transfer becomes an obligation “…of each laboratory science & engineering professional;” royalties capped at $150K / inventor / year
Extends licensing to “protectable” invention
Stevenson-Wydler Act, 1980Federal Technology Transfer Act, 1986 (FTTA)National Technology Transfer and Advancement Act, 1995Technology Transfer Commercialization Act, 2000
U.S. Technology Transfer Legislation-- public sector, federal researchers --
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“Technology transfer, consistent with mission responsibilities, is a responsibility of each laboratory science and engineering professional.” 15USC§3710(a)(2)
Federal Law
“Each laboratory director shall ensure that efforts to transfer technology are considered positively in laboratory job descriptions, employee promotion policies, and evaluation of the job performance of scientists and engineers in the laboratory.”
15USC§3710(a)(3)
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U.S. Technology Transfer Legislation-- public sector, non-federal researchers --
Bayh-Dole Act, 1980
Extramural research with federal funds (university, private research firms, etc.)
Right to take title to invention and license according to institution policies & practices
Rights “flow with the funds” If elect not to take title, or if patent prosecution /
patent maintenance is abandoned, rights must be returned to federal government
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U.S. Technology Transfer Legislation
Why has Congress spent so much time on this issue over the past 25 years?
To help translate research results into practical products
To give taxpayers a return on their investment in research
To promote economic competitiveness and job creation
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Our Current Environment…Economic crisis ( National, states,
local), energy crisis, global warming, food shortages, water issues, land management, unemployment rising, global competition, emerging plant, animal and human diseases, natural disasters …
There is an urgent need for innovation and creative partnering to develop technology to meet these multiple challenges
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Technology Transfer: the adoption of research outcomes for public benefit
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and Technology TransferThe Changing Landscape of Technology …
Office of Technology TransferCoordinates Tech Transfer activities in ARSHas authority to develop and sign Cooperative
Research And Development Agreements (CRADAs) for ARS and to review those of other USDA agencies
Has sole authority, delegated by the Secretary of Agriculture for licensing any inventions developed from intramural research within any of the USDA agencies (including Forest Service (FS), Food Safety Inspection Service (FSIS), Animal & Plant Health Inspection Service (APHIS))
Facilitating partnerships to adopt research outcomes for broad public availability
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Office of Technology TransferOffice of Technology Transfer
Patenting
• 8 registered patent agents (1 Ph.D, 4 w/ law degrees; 1 MBA)
• Located in Beltsville, MD; Peoria, IL; Albany, CA
Licensing
• 4 senior licensing specialists (2 w / law degrees; 2 MBA)
• HQ based
Tech Transfer Coordinators
• 8 specialists with life science / ag background (4 Ph.D, 1 law degree)
• Distributed across geographic Areas of ARS
Marketing
• Targeted marketing (staff of 3)
• Web subscribe Tech Alerts
• Partnering opportunities
Centralized in policy and approvals, licensing, marketing; decentralized in negotiation and implementation of CRADAs
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David Nicholson – [email protected]
Rob Griesbach [email protected]
Don Nordlund – SAA/ [email protected]
Renee Wagner – [email protected]
Thomas ValcoCotton Tech Tran & Education [email protected]
Bryan Kaphammer – NPA / [email protected]
Joe Lipovsky – SRRC Assoc. [email protected]
Technology Transfer Coordinators
Office of Technology TransferOffice of Technology Transfer
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Office of Technology TransferOffice of Technology TransferPatent Advisors
Beth Sampson / Howard Owens – PWA510-559-6067 / [email protected]@ars.usda.gov
Byron Stover - [email protected]
Gail Poulos – SAA Robert [email protected]
Albert Tsui – MWA & [email protected]
Evelyn Rabin - MSA301 [email protected]
Albert Tsui – [email protected]
Byron Stover –[email protected] Rabin -- NAA301 [email protected]
Randy Deck – MWA & [email protected]
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Richard BrennerAssistant Administrator (AA)
Martha SteinbockDeputy Assistant Administrator (DAA)
June Blalock AA
Tech Licensing CoordinatorJune Blalock AA
Tech Licensing Coordinator
Licensing StaffLicensing Staff
Brian NakanishiLicensing Specialist Brian NakanishiLicensing Specialist
Diana TuckerLicensing Specialist Diana TuckerLicensing Specialist
Kalpana ReddyLicensing Specialist Kalpana ReddyLicensing Specialist
Carla Boettinger Program AnalystCarla Boettinger Program Analyst
Deborah Penot Foreign Patent SpecialistDeborah Penot Foreign Patent Specialist
Dianne HoffmannLegal Instruments Examiner
Dianne HoffmannLegal Instruments Examiner
Kim MeltonLicensing AssistantKim MeltonLicensing Assistant
Beltsville, MDBeltsville, MD
Byron StoverPatent Advisor (BA, ERRC & Chemical)
Byron StoverPatent Advisor (BA, ERRC & Chemical)
Vacant AA
Marketing Specialist Vacant AA
Marketing Specialist
Natasha SnuggsMarketing AssistantNatasha SnuggsMarketing Assistant
Marketing Marketing
Chulee “Pin” HarrisMarketing TechnicianChulee “Pin” HarrisMarketing Technician
CRADACRADAThomas Moreland DAA
Program AnalystThomas Moreland DAA
Program Analyst
Paula ReedExecutive AsstPaula ReedExecutive Asst
Executive Support StaffExecutive Support Staff
Kim GarnerProgram Support Asst.
Kim GarnerProgram Support Asst.
Kate Baker DAA
Management AnalystKate Baker DAA
Management Analyst
Howard OwensPatent Advisor (PWA)Howard OwensPatent Advisor (PWA)
Sonya DomingoLegal Instruments ExaminerSonya DomingoLegal Instruments Examiner
Elizabeth SampsonPatent Advisor (PWA)Elizabeth SampsonPatent Advisor (PWA)
Albany, CAAlbany, CA Robin McCormick Legal Instruments ExaminerRobin McCormick Legal Instruments Examiner
Gernard LittlePatent AssistantGernard LittlePatent Assistant
Evelyn RabinPatent Advisor(NAA, MSA, & Biotech)
Evelyn RabinPatent Advisor(NAA, MSA, & Biotech)
Gail Poulos AA
Supervisory Patent Advisor (SAA)Gail Poulos AA
Supervisory Patent Advisor (SAA)
Kelli GanttPatent AssistantKelli GanttPatent Assistant
vacantPatent AssistantvacantPatent Assistant
Patent StaffPatent Staff
Peoria, ILPeoria, IL
Albert TsuiPatent Advisor (MWA & NPA)Albert TsuiPatent Advisor (MWA & NPA)
Randy Deck Patent Advisor (SPA & MWA) Randy Deck Patent Advisor (SPA & MWA)
Sheri WhitehurstLegal Instruments ExaminerSheri WhitehurstLegal Instruments Examiner
Robert JonesPatent Advisor(SAA)
Robert JonesPatent Advisor(SAA)
TTC StaffTTC Staff
Marcie Currie-GrossExtramural Agrmnts. Asst.Marcie Currie-GrossExtramural Agrmnts. Asst.
Annetta EbelharSecretaryAnnetta EbelharSecretary
Rob Griesbach DAA
BA, Tech Tran CoordinatorRob Griesbach DAA
BA, Tech Tran Coordinator
Dolores ShilkitusTech Tran Assistant Dolores ShilkitusTech Tran Assistant
Bryan Kaphammer DAA
NPA/SPA, Tech Tran CoordinatorBryan Kaphammer DAA
NPA/SPA, Tech Tran Coordinator
Don Nordlund DAA
SAA/MSA, Tech Tran CoordinatorDon Nordlund DAA
SAA/MSA, Tech Tran Coordinator
David Nicholson DAA
PWA, Tech Tran CoordinatorDavid Nicholson DAA
PWA, Tech Tran Coordinator
Jason BrayTech Tran AssistantJason BrayTech Tran Assistant
Vic Chavez DAA
NAA, Tech Tran CoordinatorVic Chavez DAA
NAA, Tech Tran Coordinator
Kristin KimballTech Tran Assistant Kristin KimballTech Tran Assistant
Thomas Valco DAA
Cotton Tech Tran & Education CoordThomas Valco DAA
Cotton Tech Tran & Education Coord
Renee Wagner DAA
MWA, Tech Tran CoordinatorRenee Wagner DAA
MWA, Tech Tran Coordinator
vacant Tech Tran Assistantvacant Tech Tran Assistant
Babette DavisSecretaryBabette DavisSecretary
Joe LipovskySRRC, Assoc. Tech Tran Coord.Joe LipovskySRRC, Assoc. Tech Tran Coord.
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ARS Decision-Making Principles ARS conducts research to develop and transfer
solutions to agricultural problems of high national priority. Licensing policies are mission driven.
Research programs are designed with stakeholder input, and outcomes are measured by positive impacts. ARS has a “market pull” orientation.
A variety of tools are available for partnering and technology transfer. Select the right tool for the job.
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ARS Policies and ProceduresDocumented in P & P 141.2 (revision in draft)
Policy / Procedural Issues for APHIS
Need to develop generic documentsCRADAs, MTAs, CAs
Properly delegate signature authorityCRADAs, MTAs, CA
Establish review & approval processesEthics clearanceProgram alignmentLine management issues
Develop and deliver training -- a critically important process
Policy / Procedural Issues for APHIS
Invention Disclosure Review Committee (?)Define agency policy on partnershipsRegulatory agency?Cooperators can pay travel?Cooperators in APHIS labs?No money CRADAs?Use of other cooperative research instruments?
(e.g., 7 U.S.C. 3318(b)
Policy / Procedures Developed by OTT for APHIS WS
Resulted from joint meetings with OTT staff, WS management, WS scientists
Provided some hard copies (administrative)
Provided to scientists on CDs with hyperlinked documents & forms
Provides basis for training Could be modified to
serve all APHIS
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Mechanisms of Technology Transfer
Publication Trade Publication Seminars / Workshops Field Days Release of Public Plant Varieties
Management of Intellectual Property Rights (IPR)
Research Partnerships
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Types of Tools Used in Technology Transfer Transactions Confidentiality Agreement (CA) Material Transfer Agreement (MTA) Cooperative Research and Development
Agreement (CRADA) Patent, PVPC License Agreement Trust Fund Cooperative Agreement Memorandum of Understanding (MOU) Non Funded Cooperative Agreement Partnership Intermediary Agreement
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Professional Services of ARS OTT – Tech Transfer CoordinatorsTraining to all ARS scientists and Research
Leaders (w/ patent, licensing, marketing staff)Negotiation, review, approval, and
management of CRADAs, Material Transfer Agreements, and Confidentiality Agreements
Review of other partnership instruments for implications to management of intellectual property
Assist in scheduling cooperator meetings; help develop Statements of Work (CRADA)
Service to ARS Scientists, Customers, Stakeholders …
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Professional Services of ARS OTT – Patent Section
Create, manage & convene Patent Review Committees (e.g., Invention Disclosure)
Advises scientists on strategy (often with TTC, licensing, marketing)
Prepare, file, and prosecute U.S. patent applications, & process Plant Variety Protection Certificate applications
Coordinate cooperator-filed PVP and U.S. patent applications
Facilitate and direct foreign filings with contractor
Service to ARS Scientists, Customers, Stakeholders …
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Professional Services of ARS OTT -- Licensing
Advises on intellectual asset management strategy
Negotiates licenses
Files appropriate Federal Register notices of intent to license
Monitors for license compliance
Distributes royalties for the duration of the license (up to 20 years)
Service to ARS Scientists, Customers, Stakeholders …
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Professional Services of ARS OTT-- Marketing
Conduct targeted marketing to private sector companies by technology category
“Tech Alerts”: over 3,000 subscribers (large and small businesses, university researchers, state extension and economic agencies)
Service to ARS Scientists, Customers, Stakeholders …
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Professional Services of ARS OTT-- HQ
Coordination and monitoring of iEdison database on invention disclosures made by ARS (and CSREES) cooperators (Bayh-Dole Act of 1980; provides additional metrics for GPRA, PART, BPI)
Annual Report to Congress through OMB and Appropriations committees (metrics, downstream outcomes & success stories)
Technology Transfer recognition through the Federal Laboratory Consortium (leadership; T2 award nominations)
Service to ARS Scientists, Customers, Stakeholders …
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Professional Services of ARS OTT-- HQ
Consultation with Office of National Programs on intellectual property issues related to research program management
Provide guidance and consultation to Secretary of Agriculture and Executive Branch on policies regarding intellectual property management in agriculture
Assist in negotiation with foreign governments and international NGO entities
Coordinate interactions & activities of Partnership Intermediaries (econom. develop.)
Service to ARS Scientists, Customers, Stakeholders …
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Models for Developing and Transferring Technologies to the Private Sector
Background Invention(developed in USDA)
Seek PrivateSector Interest
For Commercialization
Marketing Section•Creates summary•Places on OTT website
LicensingSectionCorporate
response
Federal Register Notice
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The CRADA Model for Developing and Transferring Technologies to the Private
Sector
Subject Invention(developed under CRADA)
CorporateResearch Need
ARS Scientist
Technology Transfer
Coordinator
Patent
Corporation negotiates license (no FR notice)
Cooperative Research & Development
Agreement (CRADA)
Manufacture &Market
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Avoiding “Nightmare” CRADAs
CorporateResearch Need
ARS Scientist
Technology Transfer
Coordinator
DRAFT Cooperative Research
& Development Agreement (CRADA)
Review by Deputy Asst.
Admin.
• Careful review of Statement of Work (SOW) to ensure precise scope
• Check with Extramural Agreements Division to ensure that scientist does not have similar SOW in other Agreements, or other Bayh-Dole rights
• Consult with Office of National Programs
• Obtain Ethics clearance
CRADA Development and Approval Process at ARS
Scientist, Cooperator, & TTC* discuss potential CRADA & draft Statement of
Work and budget
Scientist immediately processes 425, 416/417
for Area / ONP approval
Approved (see next slide)
Disapproved
Negotiation and CRADA development
ends*Technology Transfer Coordinator
CRADA Development and Approval Process at ARS
TTC finishes negotiation with partner, prepares and submits final draft
CRADA to Deputy**, OTT through Area line management
Approved (from previous slide)
If Cooperator is a non-US institution, TTC* submits a CRADA
Opportunity announcement to Marketing and sends a U.S. Trade
Rep. notice to HQ; also review process for compliance with Export
Administration Regulations.
Scientist files ADODR Certification (ethics)
DisapprovedApproved
Identify suitable alternate ADODR or PI (NPS, Area Office)
*Technology Transfer Coordinator** Deputy Assistant Administrator3
CRADA Development and Approval Process at ARS
TTC* finishes negotiation with partner, prepares and submits final
draft CRADA to Deputy, OTT through Area line management
OTT (DAA**) creates final CRADA document; sends
Statement of Work and budget to NPL for approval
OTT-DAA (ADO) signs & forwards to
Cooperator *Technology Transfer Coordinator** Deputy Assistant Administrator
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Annual Report to Congress on Technology Transfer --- “Downstream Outcomes”
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Our Newest Tool for Partnerships
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15 USC 3715Partnership Intermediaries
Partnership Intermediary:An agency of a State or local government, or a
nonprofit entity that assists, counsels, advises, evaluates, or otherwise cooperates with small business firms or institutions of higher education, that need or can make demonstrably productive use of technology-related assistance from a Federal laboratory.To provide services for the Federal laboratory that
increase the likelihood of success in the conduct of cooperative or joint activities of such Federal laboratory.
Model of a Public/Private Partnership for Commercialization of Research Outcomes
Structural Assets and Financial Resources
T2
Intellectual Capital
IntellectualAssets
IntellectualProperty
HumanCapital
Complementary Assets
Dis
trib
utio
n C
apab
ilitie
s
These can be facilitated by Partnership Intermediaries of ARS OTT (Technology-Based Economic Development entities)
CRADA
Adapted from Sullivan, P.H., Profiting From Intellectual Capital, John Wiley & Sons, New York, 2000.
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Summary of Issues Management of intellectual assets is increasingly important
to USDA customers and stakeholders, especially small U.S. businesses.
For most of the transactions,T2 requires a long view and a team approach with seasoned professionals.
Signing a CRADA is an obligation to a future licensing negotiation by USDA, and the relationship will last long beyond the CRADA.
Licenses and CRADAs (and the rights to IP) will make or break a public / private partnership; thus, forming such relationship must be deliberate, strategic, well planned, and nurtured.
Attention to detail, processes, and training are prerequisites for success.
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Richard J. Brenner, Ph.D.Assistant Administrator
Office of Technology Transfer5601 Sunnyside AveBeltsville, MD 20705
(301) 504-6905
Photo: Quiet Waters Park, Annapolis, MD (Joann Perkins)
The Office of Technology Transfer is at your service….
http://www.ars.usda.gov/Business/Business.htm
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Supplemental Information… Agreement types: Confidentiality, Material Transfer
Agreement, CRADAs CRADA requirements & negotiations Precautions against mixing IP rights and federal
obligations The Patenting Process, inventorship, and role of laboratory
notebooks Public / Private Partnerships: The Agricultural Technology
Innovation Partnership program (with Partnership Intermediary Agreements (PIA))
ARS Technology Transfer: ERS Analysis of ARS P&P. Examples of success stories
The following slides are provided as background information that may stimulate questions, or may be referenced in support
of answering questions.
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Confidentiality Agreement
Used only when contemplating entering into a partnership. Otherwise we do not disclose or receive confidential information.Material Transfer Agreement
Used when transferring ARS materials to outside parties which may be, will be, or are patented
Used when transferring materials from outside parties into ARS when required by provider
TTC must be consulted for such services
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Confidentiality Agreement
Used only when contemplating entering into a partnership. Otherwise we do not disclose or receive confidential information.
Can be one way or two way Protects patent rights ARS standard format may be downloaded
from the OTT website Handled at scientist level Reported monthly by OTT to Area, ONP
Guidance to scientists on use of agreements
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Material Transfer Agreement
Used when transferring materials which may be, or will be, or are patented, or when required by provider
ARS standard format may be downloaded from the OTT website
Reviewed to prevent “reach through” and other clauses that are contrary to ARS policy; MUST adhere to Export / Deemed Export regulations
Handled by TTC Reported monthly by OTT to Area, ONP
Guidance to scientists on use of agreements
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Cooperative Research and Development Agreement (CRADA)
A joint research and development effort with at least one non-Federal, U.S. partner that has the possibility of developing to a commercial product
A cooperative partnership that may lead to the development of intellectual property
Guidance to scientists on use of agreements
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Cooperative Research and Development Agreement (CRADA)
Benefits to Firms:Access to ARS research capacityFirst right to negotiate Exclusive License for Subject
Inventions without FR noticeConfidentiality (competitive advantage)Opportunity to compete in global markets
Benefits to ARS:Results-Oriented Research/Impact
Market information
Identification of Licensee
Resources (For the Project)
Guidance to scientists on use of agreements
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CRADA Negotiations
USDA May Provide Any of the Above Except Money
Firms May Provide:ExpertiseMaterialsEquipment
EmployeesMoneyFacilities
Guidance to scientists on use of agreements
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CRADA PartnersMay be an individual company, group of firms,
association, university or combination of above
May include, but not be limited to, cooperation with another Federal agency
ARS actively seeks CRADAs with small and/or minority-owned businesses
No need to “compete” for CRADAs, we are free to choose the best partner
Developed by TTCs
Cleared through line management and ONP
Reported monthly by OTT to Area, NPS
Guidance to scientists on use of agreements
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Rights to IP Depend On Source of Funding
Intellectual Property (IP) issues
Ownership results from inventorshipEmployment of inventors and/or source of
salary determine rights of ownershipCongressionally appropriated $$ disbursed
outside USDA through extramural agreements(Bayh-Dole Act)
Congressionally appropriated $$ for intramural federal research (Fed. Tech. Trans. Act)
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Rights to IP Depend On Source of Funding
Intellectual Property (IP) issues
Mechanisms for ARS to offer IP to private sector
Background inventions (made by federal researchers under normal research authority)
If exclusive license is requested, ARS must publish notice ofintention of licensing in Federal Register and address all objections.
CRADA subject inventions
Exclusivity allowed without publishing notice of intent.Up to 5 years confidentiality from FOIA (we rarely grant more
than 1).
NOTE: do not hire univ. personnel to work on a CRADA! This mixes Bayh-Dole IP rights with FTTA IP rights.
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Three “Subject Matter” Committees
Life Sciences
Chemical
Mechanical and Measurement
New ARS National Patent Committees (Oct. 2007)
Each cover all geographic Areas of ARSEach Area will have at least 2 members on each Committee, rotate at 5 years.
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Advantages of ARS National Committees to Agency
Uniform committee recommendations across the AgencyCommittee recommendation within
three months of filing an Invention Disclosure (meet quarterly)Scientists and management notified of
annual schedule at the beginning of each fiscal year
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Patent Committee Criteria
Q1: Is there current commercial interest in the invention or a high probability of commercialization in the future?
Q2: Is the magnitude of the market relative to the cost of commercialization sufficiently large to warrant a patent?
Q3: Would the patent likely play a significant role in transferring the technology to the user?
Q4: Would a patent be enforceable, i.e., is the invention drawn to, or does it employ a unique and readily identifiable material or device which could be bought or sold?
Q5: Is the invention of sufficient scope to justify patenting?
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InventionDisclosureSubmitted
Approval
2 Weeks
Committee
2-3 Months
Application Preparation
1 Year
Prosecution
2-3 Years
Issue
2-3 Months
Appeals
3-5 Years
The Patenting Process
Years 1 2 3 4
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Precautions
Know the technology you are using:• If you use patented genes or patented tools to
insert genes, royalties to patent holders may result.• In other words, your new “cheap and better”
technology just got expensive for a commercial producer!
• But may help identify licensee of your invention.
ARS generally does not patent ‘research tools,’ but others do!
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Due Diligence in Protecting Intellectual Property: Inventorship & Laboratory Notebooks
Ownership of intellectual property is determined by inventorship An inventor must be able to document
their contribution to “conception & reduction to practice” for at least one claim in an allowed patentDocumentation has strict legal
requirementsSigned & witnessed lab notebook pagesConsecutive numbered bound pages, single
line through errors (deletions) in data
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Good Laboratory Notebook Practices
ARS Laboratory Notebooks are bound notebooks
AlwaysUse Official ARS
Laboratory Notebook(ARS FORM 1)
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CRADAs: Active: 230New: 69 (record!)Amended: 76
Material Transfer Agreements: 884 (648 outgoing) (record!)Invention Disclosures: 133Patent Applications Filed: 114 (record!)Patents Issued: 27
Annual Report to Congress on Technology Transfer --- FY 2008 Metrics
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Annual Report to Congress on Technology Transfer --- FY 2008 Metrics
Licenses: Active: 315 ( ~130 with universities)New: 27Biological Materials: 24 (4 new)
Licenses with products on market: 112 (record!)(28 from university co-owned)~30 are plant materials (plant patent or Plant
Variety Protection Certificate)Total Income: $3,953,415 (record!)To Inventors: $756,458
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Goals of Agricultural Technology Innovation Partnership Program (through PIAs)
To partner with selected economic development agencies to enhance the effectiveness of the ARS technology transfer program and to expand its impact
To enhance the flow of ARS technologies to small and expanding businesses and to encourage technology-based economic development
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Goals of ARS Partnership Intermediaries
Provide complementary assets to ARS Office of Technology TransferGuide local / regional business with research needs to the
appropriate ARS scientist across ARS (CRADA opportunities)
Triage business plans of private sector to seek “winners” as candidates for licensing / research partnerships with ARS
Acquire marketing assessments on ARS technologies from 3rd
party sources (business schools, entrepreneur programs, angel investors, etc.) for targeted marketing
Coordinate “Technology Showcase” events to facilitate partnerships with private sector companies (TEDCO, October 30, 2008 – Four Points Sheraton at BWI)
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Goals of ARS Partnership Intermediaries
Provide complementary assets needed by private sector to succeed in commercializing federal inventionsAssist in accessing public / private funds
SBIR proposals
Angel investors / state funds
Manufacturing capacity
Manage their own seed/venture funds to support CRADA and license partners of ARS
Assist private sector in preparing license applications
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Role of PIA Partner
Learn about ARS technologies available for partnering Introduce businesses to ARS Point companies interesting in partnering with ARS to
complementary assets: VC, grant opportunities, etc.) Provide services such as market analyses to ARSWork with ARS to host events to assist the business
community Provide services to ARS partners such as help with
business plans, licensing, etc.
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Our Newest Tool for PartnershipsARS signed its first formal Partnership Intermediary
Agreement (PIA) with the Maryland Technology Development Corporation (TEDCO) to promote joint public/private research & technology-based economic development with businesses in Maryland (September 28, 2007) SRRC technology licensed to Maryland Co. 3 CRADAs funded by TEDCO “Green Technologies” showcase (Oct. 30, 2008)
ARS has now established a second PIA with the Mississippi Technology Alliance (Dec. 15, 2008)
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Culture of USDA: “The People’s Department”
Integration of T2 with research mission and priorities ARS protects intellectual property principally when
necessary to transfer technology (e.g., necessary for further research investments) Prefer public release of plant varieties for broad
availability – examined on case-by-case basis (meets needs of a changing industry)
Do not patent animals, nor research tools (could change)
Goal of licensing is to facilitate technology transfer Permit license-free research with any ARS technology
to promote further research
ARS Policy …
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Does ARS IP Management Promote or Inhibit Technology Transfer?
Intellectual property rights, such as patents, protect new inventions from imitation and competition. A patent’s major objective is to provide incentives for invention, sacrificing short-term market efficiency for long-term economic gains.
Conclusions …
The Question Posed by USDA’s Economic Research Service
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More widespread use of patenting and licensing by ARS has not reduced the use of traditional instruments of technology transfer such as scientific publication
Conclusions …
Does ARS IP Management Promote or Inhibit Technology Transfer?
The Question Posed by USDA’s Economic Research Service
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As commercial partners gain experience with the technology and learn more about the market, mutually advantageous revisions to license terms can maintain the incentives through which private companies distribute the benefits of public research.
Conclusions …
Does ARS IP Management Promote or Inhibit Technology Transfer?
The Question Posed by USDA’s Economic Research Service
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Current Technologies In Successful Commercialization …
Preserving color, crispness, and flavor of fresh cut apples --- “Apple Dippers”® (Attila Pavlath / Dominic Wong, PWA; Mantrose-Hauser) (license, CRADA, infringement)
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100% natural fruit bars from fruit puree (Tara McHugh, PWA; HR Mountain Sun; “Gorge Delights”) (license, CRADA)
Current Technologies In Successful Commercialization …
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Helping people with peanut allergies: “Sunbutter”® (Harmeet Guraya / Isabel Lima, MSA; Red River Commodities) (CRADA)
Current Technologies In Successful Commercialization …
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Table grape varieties --(David Ramming, PWA; California Table Grape Commission)
(license & infringement)
Current Technologies In Successful Commercialization …
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Human nutrition /
food allergies /
obesity
Humane mouse bleeding lancet: “Goldenrod”® (W. Golde / P. Gollibin / L. Rodriquez, NAA; MEDipoint, Inc.)
(CRADA)
Current Technologies In Successful Commercialization …
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George Inglett, MWA(Oatrim, Z-trim, Nutrim,
Calorie-trim)
Current Technologies In Successful Commercialization …
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Tom Casey, Mark Rasmussen
Jacob Petrich (Iowa State U.), MWA
(CRADA)
Current Technologies In Successful Commercialization …
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Biodegradable soy-based hydraulic fluid (Sevim Erhan, MWA; test with National Park Service)
Licensed exclusively to Agrilube / Bunge (Feb 2006)
First sale in March, 2006.
Current Technologies In Successful Commercialization …