Heriot-Watt University & Technology Transfer
Gillian E McFadzeanDirector
Technology & Research Services
Research Profile
Operates strongly in niche areas:
Science - Engineering - Management - Languages
Major international player in selected areas
Upstream petroleum engineering Applied and actuarial mathematics Photonics science and engineering Microengineering and materials engineering Logistics Underwater systems engineering
415 academic staff; 241 PDRAs; 390 PhD students
From “Blue Sky” to “Applied” research
Increasing Certainty about the Value of the Knowledge
Industry:-Economic Growth
IncreasingCertaintyabout theValidity ofthe Knowledge
Research Councils
Blue Sky Basic Applied
Industry Links
“A series of companies linked by a corridor”
40 % research income from industry
Technology Transfer embedded in teaching & research
Strategic alliances with industry with joint research agenda
Consultancy @£1 million per annum; CPD @ £0.5 million
Excellent links with small companies
Research Survives?
Petroleum Engineering 80% funded by industry World leader in training and consultancy RAE – 5* Twice
Technology Transfer Strategic Backdrop
1.Pre 1995 close organic links with industry - research, consultancy, CPD, students, exchanges
2.1995/6 - Commercialisation Strategy for ScotlandObjective - economic development by creation of new companies from universities
3.Scottish Enterprise targets = spin-outs from universities!
4.2001 - Strategy revised to include licensing to existing Scottish owned companies…………….
Why Transfer Why Transfer Technology
University
Utilise inventions for public good & benefit
Develop Technology
Benefit local & national economy
Reward, Retain & Motivate Academics
Revenue generation (?)
To induce closer ties to Industry
Industry
Revenue Generation
Strategic Advantage
Benefit local economy & UK
Input to student training = future employees
Policy Framework
IP generated by staff is owned by the University
External Policy
Policy Framework
UK & Scottish Executive & Universities
& Scottish Enterprise
&
professional KT groups in UK
Funding
Shefc & University & economic development agencies
Establishing Technology Transfer
• Create order from successful chaos
• Bring 3 independent functions together
• Establish policy framework – and get it accepted!
Technology & Research Services
An integrated unit to support the:
• Delivery of world-class innovative research that meets the needs of business & industry
• Transfer of knowledge
• Commercial realisation of ideas
• Generation of income for the University and for the academic community
• Growth of the local and national economies
Technology & ResearchServices
Working with colleagues TRS : Provides research support and commercialisation services to Heriot-
Watt University staff. Promotes the transfer of knowledge by developing collaborative links
between industry and academia, through collaborative research, technology licensing, the delivery of training and consultancy services
Promotes University expertise and services to industry Develops enterprise skills in staff and students
Works within an agreed strategy
TRS = Integrated Functions
ServiceFunctions
Enterprise Functions
Research funding and information Management information on research & TT Environment scanning -political & market industry connections Project management IP portfolio management & valuation Contract negotiation, drafting, agreement of terms Management of TT process Invention disclosure Identification of exploitation route Patent application & prosecution Agree terms for Licensing/options/business creation Allocation of income/equity Agree staff secondments & access to facilities
Research & TT are Research & TT are integratedintegrated• Research Planning & large initiatives
• Research funding support - eg active EU management
• Identification & negotiation of IP in contracts
• Projects are tracked for IP foreground and back ground
• IP exploitation route is decided as research project ends
• Exploitation route protects the research base
• Strategy for company relationships
• Company needs are identified and matched to HWU expertise
•
Technology & Research Services
IP & Contracts
Legal Manager
EU Funds
Research Funding
Information & P lanning
Head Research & Legal Services
SME Business Developm ent
CPD O fficer
Marketing Assist.
D irectorCPPD
Vice Rector Secretary
Junior Sexcretary
Secretary
O ffice Administrator
Broke r
Broker & Student EnterpriseE
Technology Transfer Manager
G illian McFadzeanD irector
Knowledge Transfer
Information People
Technology Products
Knowledge Transfer
Knowledge Transfer Partnerships
Life Long Learning /Continuing Professional Development
Technology Transfer
Technology Transfer
Consultancy
Consultancy
Internal Decision Making:
Fast and Clear
Policy Framework & budget
Director +Rector’s group
Identification of commercial opportunity
Research/Legal /IP team & TT Team
Exploitation Routes & Valuations
TT team
Director + Internal/external panel
Implementation & Commercial Terms
TRS (me!)
Collaborative Research with Industry
Developed industrial strategy
Find industry partners & form strategic alliances
Create the legal framework & protect the IP
Negotiate the commercial terms
Project oversight & dispute resolution
Management information to University
Knowledge Transfer
• Providing solutions for industry
• Matching business needs to HWU expertise
• Sales of facilities/ services
• IP advisory service for SMEs
• Business development advice for SMEs
• Technology audits
• Creating funded research & training links
Continuing Professional Development (CPD)
• Identifying market opportunities and shaping strategy
• Marketing & setting financial targets
• Advice on pricing, organisation and marketing of CPD courses
• Hands on assistance
• Course completion certificates & evaluation questionnaire
• Management information to University
Consultancy
• Identifying market opportunities and shaping strategy
• Marketing & agreeing financial targets
• Establishing consultancy fee charges & other costs
• All contractual and legal matters
• Invoicing, cost recovery and fee payment to staff
• Project oversight and
• Dispute resolution
Heriot-Watt Trading Ltd
• Oversight on behalf of Board of Directors
• Recommendations on incorporation of units as companies
• Establishment of units as precursors to companies - quasi- incubators
• Recommendations on cessation of trade
• All contractual and legal matters
Legal & Intellectual Property (IP) Support
• All commercial contracts - legal responsibility, negotiation, drafting, recording
• Confidentiality / Non-Disclosure Agreements (NDA’s)
Intellectual Property
• Provision of advice on Protecting IP - Patent, Design, Copyright, Know-how
• Patent Filing, (drafting patents) Design Registration & Prior Art Searches
• Management of the patent process
Transparent & Equitable
Standard processes for; Cost identification Management of staff KT activity Revenue sharing Equity participation in new companies Secondment of Staff Appointment of Directors to spin-outs Conflicts of interest Access to University facilities
Invention
Preliminary Market
Research
Exploit
Prior Art
Search
Summary of Invention
Business Case
Market Research
Review Board
Exploitation Route Identified & Progressed
Exploitation
Exploit
Patent Application Drafted & Filed
Updated Business Case
Review Board
Exploit
Discuss with Inventor
Yes
Yes
Yes
No
No
No
Technology Transfer Flow Technology Transfer Flow ChartChart
Heriot-Watt Results-Companies 1999-2005
Pre 1996:Edinburgh Edinburgh Edinburgh Business School Instruments Petroleum
Active:2Ei Anitec CAS Easier Events Helia Photonics Nitech Interactive University Microstencils Nandi Pavement Technology Seebyte Sistech Scotweave Verbalis IceRoboticsPowerPhotonics SurCHAssisted Student Companies: Aquapharm Conjunct Scotwave
Sold: Senstech Medical Laser TechnologiesLiquidated: Multiverse Terahertz Web4test
Benefits to the Inventor
• Financial• Licensing income• Equity in new company• Director / Consultant Remuneration
• Furtherance of Research• Financial income• Additional resources (researchers, equipment)• Contacts/network
• Reputation Enhanced
• Satisfaction of Commercialisation of Invention
• Broader Experience
Heriot-Watt Benefits - Maybe?
• Government policy requires/applauds
• Greater influence on government policy for R&D
• Staff better equipped to understand industry needs/ethos
• Students better equipped for working in industry
• Lo.o.o.o.ng term equity (and patent) investment
• Licence income - MIT = 3% of turnover!
• Industry more likely to listen and to value?
Benefits to the University
Financial • Equity – when we sell!• License fees – if we can recover!
Staffing • Research Associates with new skills• Attracts entreprenuerial staff
Contacts• Government / Funding Organisations / Industry
Reputation & Mission• As entrepreneurial centre = More attractive to future students & staff
Everyone Benefits
A win-win situation
• Greater understanding
• More influence on government - together
• Increased skills levels - academic & industry
• More investment & more success
• Better quality of life