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IL TRASFERIMENTO TECNOLOGICO NEGLI USA

IL TRASFERIMENTO TECNOLOGICO NEGLI USA. Aleardo FURLANI Milano, 21/22 febbraio 2005. Funds Spent on R&D (2000) Mostly in Government. In 2000, over $260 billion (319 billion Euros) was spent on R&D in the United States. However, 60% of Academia R&D is funded by the government.

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IL TRASFERIMENTO TECNOLOGICO NEGLI USA

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  1. IL TRASFERIMENTO TECNOLOGICO NEGLI USA Aleardo FURLANI Milano, 21/22 febbraio 2005

  2. Funds Spent on R&D (2000) Mostly in Government • In 2000, over $260 billion (319 billion Euros) was spent on R&D in the United States. • However, 60% of Academia R&D is funded by the government.

  3. Answers the What, Where and Why of the different Federal Institutions for Technology Transfer. Examines trends in the University System’s Technology Transfer System. Compare the two systems’ pros and cons. Objectives

  4. General Overview Short History Organizations of Technology Transfer Programs of Technology Transfer Mechanisms of Technology Transfer Technology Transfer Process Topics Covered in Federal TT

  5. Most often refers specifically to transfers occurring between federal laboratories and any nonfederal organization, including private industry, academia and state and local governments. The Federal Laboratory Consortium for Technology Transfer (FLC) was formally chartered by Congress to facilitate technology transfer in the US. Technology Transfer

  6. TT Objective Government Objective: 1) Get federally supported R&D into the marketplace more efficiently 2) Bring industry into the federal R&D pipeline as early as possible. Long Term Goal Stimulate sustained economic growth through the development and commercialization of new technologies, through the tools of technology research and technology transfer programs.

  7. Stevenson-Wydler Technology Innovation Act of 1980 established ORTA Bayh-Dole Act of 1980 use of IP in small businesses, universities and NPO’s Small Business Innovation Development Act of 1982 established the SBIR program. Federal Technology Transfer Act of 1986 established FLC and CRADA Small Business Research and Development Enhancement Act of 1992 established the STTR program. A Brief History of Technology Transfer in the US For more information, please refer to the laws in the United States Code (USC), specifically Title 15 (Commerce and Trade), Chapter 63 (Technology Innovation).

  8. Office of Research and Technology Applications (ORTAs) Federal Laboratory Consurtium for Technology Transfer (FLC) Regional Technology Transfer Centers (RTTCs) National Technology Transfer Centers (NTTCs) Organizations of Technology Transfer

  9. Established for all Federal Laboratories with 200+ technical/scientific/engineering staff. “High Tech Marketing Department” for Technology Transfer Services Applications to potential collaborators. Technology Assessment Negotiation and management of cooperative R&D under CRADAs. Negotiation of licences for intellectual property Office of Research and Technology Applications (ORTA)

  10. ORTA’s Coordination Role is Complex

  11. Federal Laboratory Consortium for Technology Transfer (FLC) • A volunteer organization consisting of more than 700 member research laboratories and centers from 17 federal departments and agencies that is dedicated to furthering technology transfer.

  12. FLC’s Structure • Ensure improved communication to region through periodic meetings with member laboratories. • Each region elects a regional coordinator to • link the FLC to the potential users of federal technology in the region. • organizers of special regional or state projects. • region representatives in the FLC Executive Committee.

  13. http://www.federallabs.org Centralized launch point to all federal laboratory web servers. The FLC Laboratory Locator Service serves as the entry point to federal laboratory expertise and technologies for industry and other technology seekers. Technology news and events FLC Services

  14. Regional Technology Transfer Centers (RTTCs) NASA established 6 RTTCs (corresponding to 6 FLC regions) to concentrate on the technology needs of regional companies and industries. Mission: Transfer NASA and other federal technologies to US industry and assist with commercialization of federal, state and university technologies. Operated by a university or NPO in cooperation with FLC. National Technology Transfer Center (NTTC) The Robert C. Byrd National Technology Transfer Center is an independent organization primarily funded under a cooperative agreement between NASSA and Wheeling Jesuit University, Wheeling, West Virginia. Regional & National Technology Transfer Centers

  15. Small Business Administration http://www.sba.gov/ Small Business Innovations Research (SBIR) Small Business Technology Transfer (STTR) Webpage: http://www.sba.gov/sbir/ Eligible only for Small Businesses: < 500 employees for profit (NP’s not eligible) sole proprietorships, partnerships, JV’s, associations, or cooperatives. Programs Of Technology Transfer

  16. Small Business Innovation Research (SBIR) Purpose: Stimulate the commercialization of products and processes developed by small businesses through Federal Funds. Mandatory for agency with R&D > $100M Stages Phase I: Up to $100K award for 6-month effort. Validation and Feasibility Study. Phase II: up to 750K: Principal R&D effort Phase III: commercialization. SBIR

  17. Department of Agriculture Department of Commerce Department of Defense Department of Education Department of Energy Department of Health and Human Services (including the National Institutes of Health) Department of Transportation Environmental Protection Agency National Aeronautics and Space Administration National Science Foundation Nuclear Regulatory Commission Departments with SBIR’s

  18. Small Business Technology Transfer (STTR) Same purpose as SBIR, but applicants must be collaboration involving a small business and a university, NP research institution, or federally funded research center. Objective: Bridge the funding gap between basic research and commercial products. Provide researchers a way to pursue commercial applications of technologies. Small business does at least 40% of the work, and research institute at least 30%. SBTR

  19. By 1998, the number of university patents increased to 3.151 patents – 5% of all US patents. # of Universities receiving patents and licensing has increased. Dramatic increase in the number of universities with technology transfer offices. Observations since the 1980 Bayh-Dole Act From: Equity and the Technology Transfer Strategies of American Research Universities. Feldman, Feller, Bercovitz and Burton

  20. http://www.autm.net/index_ie.html Came out of the Academic Technology Transfer community. 2,700 technology managers and business executives who manage IP. Institutions represented: Universities Teaching hospitals industry legal and financial institutions government organizations Annual licensing survey Association of University Technology Managers (AUTM)

  21. Vast Majority of Universities Have Small Research Programs Source: AUTM Licensing Survey: FY 2002

  22. Most Technology Transfer Programs Started between 1983-1995

  23. Most University TT Offices have < 10 Staff

  24. License issue fees (2000) range from $10K to $50K. Royalty rates are typically 2% to 5%. Only 12% of licensed technology is ready for commercialization. 100 invention disclosures >> 10 patents >> 1 commercially successful product. Biomedical inventions are substantial share of academic licenses. FDA approval  10 years. Trends in University Licensing Source: Equity and the Technology Transfer Strategies of American Research Universities. Feldman, Feller, Bercovitz and Burton

  25. Most Exclusive Licenses Go to Small Firms Source: AUTM Licensing Survey: FY 2002

  26. Most Startups have Exclusive Licenses of University Technologies • Patterns: • Large numbers of startups achieve exclusive licenses to disruptive technologies to compete with large players. Source: AUTM Licensing Survey: FY 2002

  27. License Income in Most Universities Small • Patterns: • Vast majority of Licensing Offices generate a small amount of money for their university. • The Bayh-Dole Act requires licensors of inventions made with US Federal Funding to show a preference for licensing inventions to small companies.

  28. Royalties are Still Large Share of Revenue • Patterns: • Large % of revenues are still generated through royalties. • Small number of universities accepting equity. • Others: annual minimum royalties, upfront fees, milestone payments, etc…

  29. Licensing with Equity and Startups with Equity are Growing • 111 institutions of 222 granted 313 Licenses w/ Equity in 2002. Received equity in 69.6% of startups formed. • In tough economy, greater amount of licenses with equity given to small companies than startups. Source: AUTM Licensing Survey: FY 2002

  30. For well established TT Offices… Each person on TT-staff manages ~25 patent licensing deals/yr. Opportunity in consolidating the needs of many SME’s and broker with these successful institutions? For less established TT Offices… Opportunity may exist to provide patent management services for these universities. In the AUTM survey, only 3 patent management and investment firms were included. What do the Statistics Tell Us?

  31. Pros and Cons of the Two Systems

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