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Darryl MitchellInnovative Partnerships Program Office
Goddard Space Flight CenterGreenbelt, MD
Project Management Challenge2010 Annual ConferenceGalveston, TX
Used with Permission
The Importance of Innovation Innovative Partnerships Program Overview The NASA Patent Licensing Model Ocean Tomo The Live Intellectual Property Auction License
Model Results of the First Live Auction of a
Government Patent License Next Steps
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Source: NEWSWEEK-Intel Global Innovation Survey 2009
Source: NEWSWEEK-Intel Global Innovation Survey 2009
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Legal & Policy Obligations
Benefits to Agency
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GSFC
GRC
LaRC
KSC
JSC
MSFC
SSC
DFRC
ARC
JPL
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ESMD
SMD
SOMD
ARMD
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Small Business Innovation Research (SBIR)
Small Business Technology Transfer Research (STTR)
IPP Seed Fund
Centennial Challenges
FAST Innovation
TransfusionNew Business
Models
Intellectual Property Management
Technology Transfer
New Innovative Partnerships
Technology Infusion
Innovation Incubator
Partnership Development
ContractCooperative Agreement Grant
Space Act Agreement
Patent/Copyright License
Software Usage Agreement
Enhanced Use Lease CRADA
Purpose Acquire goods, services, or both.
NASA funding provided to facilitate activities that accomplish a public purpose
Collaborations with the public and private sector
Transfer specific rights associated with NASA-owned Intellectual Property
Access to NASA developed software
Permits NASA to lease under-utilized real property assets
Rarely used by NASA for cooperative research and development.
Competition Required?
Generally, Yes
Generally, Yes In some circumstances
No No In some circumstances
No
Notable Requirements
- Goods or Services- Mission Need
- Public Purpose- NASA may be involved
-Subject to statutory and NASA requirements
-Intellectual Property- Royalty-Based-Commercialization
-Export Control Compliance- Depends on type of release
- Real Property - Federal Lab- R&D
NASA Funding to the Non-NASA Party?
Yes Yes Rarely No No No No
Authority Space Act; 31 USC 6303; 10 USC 2302
Space Act; 31 USC 6304; 31 USC 6305
Space Act 35 USC 207 NPD 2210.1A Space Act; 42 USC 2459j
15 USC 3710a
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Negotiated & executed at Field Centers Governed by 37C.F.R. §404
License application required Exclusive or non-exclusive
Non-Exclusive preference Exclusivity requires 15-day comment period
Preference to U.S. businesses Up-Front Fee, Running Royalties, Annual Minimums, and Practical
Application deadline Standardized language Government retains “March-in” Rights No Government warranty or indemnification No rights to NASA Logos granted Sublicensing rights granted to exclusive Licensees Annual Reports required of Licensee “Know-how” transferred under separate agreement (SAA)
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Field Center Director•NPR 2092.1A, Distribution of Royalties Received by NASA
from the Licensing or Assignment of Inventions
5+ Inventors•Equal shares
of $25K•Split 30% of
remainder
2 - 4 Inventors•$5k ea.
•25% ea. To $25K
•Split 30% of remainder
Single Inventor
•$5K + 25%
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Slow …. But improving! Constrained resources Cultural disconnects Limited flexibility Limited, or no, market validation of
technology
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Founded: 2003 Headquarters: Chicago, IL Business Type: Intellectual Capital Merchant
Banc Mission: Efficient Monetization of
Intellectual Property Best Known For: Live Auctions of Intellectual
Property Total Live Auction Transactions to Date:
$120M
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Can NASA actually sell its patents?RESOLUTION: No, but Ocean Tomo can auction the right to assume its exclusive license with NASA
What about the Federal Register Notice?RESOLUTION: Handled pre-auction with Ocean Tomo
What about export control issues?RESOLUTION: Screen with pre-qualification application
Should we go with a running royalty, or a one time payment?RESOLUTION: Technology and market sector dependent
What if it doesn’t sell at auction?RESOLUTION: Other transaction platforms available, and Ocean Tomo license expires within 3 years
What about Non-Practicing Entities (i.e. Patent Trolls)?RESOLUTION: NASA retains standard march-in rights
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Fall 2006: Contact with Ocean Tomo established
by Goddard IPP
Fall 2007: Goddard and Marshall authorized to
proceed with pilot programs
January 2008: Goddard posts a Federal Register Notice for 44 patents &
patent applications
February 2008: Objection to Federal Register Notice
received and resolved
Spring 2008: Detractors start gathering torches &
pitchforks
July 22, 2008: License executed with Ocean
Tomo
September 2008: Joint press release issued regarding upcoming
auction
October 14, 2008: Three Congressional inquiries
received
October 30, 2008: Goddard successfully auctions an exclusive license to its Hilbert-
Huang Transform (HHT) patent portfolio
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Ocean Tomo & NASA jointly identify candidate cases
Ocean Tomo submits license application NASA posts notice in Federal Register (15 day
comment period) Ocean Tomo & NASA jointly establish
license terms License executed with Ocean Tomo Ocean Tomo begins marketing campaign
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Interested bidders must submit a pre-qualification document (37 C.F.R. §404)
NASA provides expedited feedback on pre-qualification applications
Winning bid held in escrow by Ocean Tomo
Winning bidder submits remaining data required for license application to NASA
NASA executes a novation of the license with Ocean Tomo to transfer ownership to bidder
Ocean Tomo forwards funds to NASA less a standard fee (called out under terms of license) and collects separate fee from bidder
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HHT portfolio licensed after 8 years to DynaDx Corp. $50K Up-front Running & annual minimum royalties Product launched September 2009
Multiple organizations interested in 6 GPS patents post-auction
Tremendous publicity for NASA & Ocean Tomo WSJ Physics Today BBC News Many Others
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Founded: 2005 Location: Mountain View, CA Product: Multimodal Pressure-
Flow (MMPF) technique for analysis of dynamic cerebral auto-regulation
Applications: Stroke, Dementia, Traumatic Brain Injury
NASA Technology: Hilbert-Huang Transform (HHT)
Product Launch: September 2009
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NASA•More efficient
utilization of IPP resources• Creation of new
technology resources
Ocean Tomo
•Increased deal flow
•Leverage NASA brand recognition
Licensees•Simplified portal
to access federally owned patents
•Ocean Tomovetting process
Taxpayers•Potential life-
improving advancements entering the marketplace more quickly
•Economic impact
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Ocean Tomo Transactions acquired by ICAP Improved capitalization New ventures/platforms enabled (e.g. IPXI)
Other Federal Labs coming onboard DOE, NSA, APL, NIH, …
NASA released RFI on September 25, 2009 regarding licensing intermediary models
Portfolio bundling across labs and/or agencies? In FY 2007, 4,500 new invention disclosures, &
over 1,400 patents issued to federal labs
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Darryl MitchellTechnology Manager
Innovative Partnerships Program OfficeNASA Goddard Space Flight Center
Greenbelt, Maryland(301) 286-5169
Darryl.R.Mitchell@nasa.govhttp://ipp.gsfc.nasa.gov
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