Robert Fireovid
robert.b-f@nist.gov
301-975-5457

ATP - The BEST Federal Program for University-Industry Partnerships

Non-Profits and ATP

• ATP has a legislative mandate to . . . "aid industry-led U.S. joint R&D ventures.which may also include universities and independent research organizations"
• Universities have received $198 million through ATP
• 9.1% of total ATP funds ($2.1B)
• 89% thru subcontracts
• 169 Universities have participated in 368 projects
• 56% of total (663) active-or-completed projects
• 639 incidences

Note: dollar amounts are approximate

• Subcontractor (direct participation)
• 51% of single-company and 55% of joint venture projects
• Joint Venture partner (direct participation)
• 26% of ATP JVs
• Joint Venture must be led by at least 2 for-profits
• For-profit startups
• $255 million in ATP funds have gone to 116 awards involving non-profit spinoffs
• 'Commitment' may be an issue if key personnel remain employed by non-profit

Win-Win-Win Success Story
University-Industry-ATP Partnerships

Polar Tolerant Organometallic Catalytic Technology for Functionalized Linear Polyolefins Goal: Design methods for a new family of polymer catalysts that can produce plastic film with superior processing stability, oxygen barrier rating and biodegradability at a lower cost. Key Technical Challenge: Typical polyolefin systems are unable to tolerate polar heteroatoms such as oxygen or nitrogen, thus requiring high-purity starting materials and activating co-catalysts. Core Innovation: New, nickel-based catalyst system based on novel, modular ligand design methods both overcomes limitations of conventional systems and affords unique control over polymer properties and structure. Outcome: 100-fold improvement over current technology Catalyst system highlighted in Science (Jan 21, 2000) Two U.S. patents

Cryovac, Inc.  North America, Sealed Air Corp. (formerly W.R. Grace) and California Institute of Technology (as subcontractor) Project Duration: 10/95 to 10/98 Total Funding: $3,667K ATP funds: $2,000 K

University Participation Varies with Industry

For-Profit Spinoffs
University-Industry-ATP Partnerships

• Non-profit and awardee are free to negotiate terms regarding consideration, MTAs, licensing of background IP, NDAs, copyrights, etc.
• Statute restricts ownership of patent rights to for-profit companies
• does not apply to non-patentable IP
• awardee is free to license IP
• Government reserves:
• right to paid-up, royalty-free, non-exclusive license for governmental use
• "March-in" rights

Most Involved Universities
University-Industry-ATP Partnerships

1. Offer access to existing technical know-how, facilities, etc.
• Pay-for-service contract research or consulting agreements
• Represents majority of cases
2. Develop new, innovative technology that is core to the project's objective
• Long-term licensing agreements

• World-class R&D capabilities - Be involved in the entire proposal-submission process, from creation to debrief!
• access to eminent researchers
• overall research reputation
• previous research interactions
• Tremendous expertise in government contracting
  • e.g.: many small companies lack institutional review boards (IRBs) for projects involving human subjects or IACUCs for animal subjects
• Facilitates post-project equipment transfer
  • non-profit; many other federal projects
• Supporting facilities, education, etc.
  • research libraries; state-of-the-art equipment
  • future employees
  • stimulate creative thinking; technical training for industry

• Develop new innovations to commercialization
• Expose students and faculty to industrial R&D
  • leads to future research
  • future career opportunities for students
  • consulting opportunities for faculty
• Strengthen ties with industry
• future gifts and sponsored R&D
• Local/State economic development

ATP Facilitates R&D Partnerships

Has your project involved collaboration with other organizations?
    NO = 14%     YES = 85% To what extent is ATP responsible for the collaboration?*

• Great Extent: 69% Moderate Extent: 19% Slight Extent: 8% Not at All: 3%
• Not sure: 1%

Note: * Includes responses from organizations indicating "YES" to prior question.
Source: Business Progress Reports from 415 organizations in 198 ATP projects funded 1993-1997--after one or more years of ATP funding.

Non-Profit Participation
Integration is Critical

• Be an involved member of the team
  • frequent and open communications
  • push company personnel to learn (demonstrate your value!)
  Non-Profit may need to ask for more interaction! Continuously work to understand industry's expectations and communicate limitations
  • student training and graduation other (teaching, papers, proposals) faculty duties; school calendar
  • adapt to merge with pace and needs of companies
• Negotiate agreements before work begins
• innovations can happen sooner than expected!
• Have a liaison who will earn the respect of both parties
• Focus on the common goals that will deliver the win/win