Organizational Overview

Technology Transfer
Advisory Committee

Oversight of the Universityís technology transfer program is provided by the Technology Transfer Advisory Committee (TTAC). This standing committee, chaired by the UC Senior Vice PresidentóBusiness and Finance, meets quarterly to advise the President on technology transfer policy and to evaluate the effectiveness of the technology transfer program.

TECHNOLOGY TRANSFER ADVISORY COMMITTEE

Richard E. Attiyeh Vice ChancelloróResearch, UCSD
Charryl L. Berger Director, Civilian Industrial Technology Program, LANL
John E. Bowers Professor, Electrical and Computer Engineering, UCSB
Gayle J. Byock Assistant Vice ChancelloróResearch and Planning, UCLA
Joseph Cerny Vice ChancelloróResearch, UCB
John Edmond Professor, Biological Chemistry, UCLA
Terence A. Feuerborn Executive Director,
Research Administration and Technology Transfer, UCOP
Cheryl A. Fragiadakis Department Head, Technology Transfer, LBNL
Warren M. Gold Professor, Medicine, UCSF
Harry W. Green, II Vice ChancelloróResearch, UCR
Nora A. Hackett Technology Liaison Officer, UCD
V. Wayne Kennedy Senior Vice PresidentóBusiness and Finance, UCOP
George L. Kenyon Dean & Professor, School of Pharmacy, UCSF
C. Judson King Provost and Senior Vice PresidentóAcademic Affairs, UCOP
John F. Lundberg Deputy General Counsel, UCOP
Karena McKinley Director, Industrial Partnership and Commercialization, LLNL
David G. Schetter Director, Office of University/Industry Research & Technology, UCI
Robert N. Shelton Vice Provost, Office of Research, UCOP
Robert K. Webster Assistant Director, DANR Programs, UCD
Todd W. Wipke Professor, Chemistry, UCSC

Much of the work of the TTAC is guided by the final report of an ad hoc committee of faculty and administrators established in 1993 to examine the Universityís overall approach to technology transfer. The March 1994 final report of the Ad Hoc Technology Transfer Advisory Committee concluded that technology transfer activities must be an integral part of the Universityís intellectual culture and research environment and that the enhancement of research and education, rather than maximization of patent income, must be the highest priority of the technology transfer activities. It further stated that, to the greatest extent possible, the technology transfer program should be faculty-centered, inventor-centered, and campus/ Laboratory-centered. A series of recommendations were put forth that were consistent with these premises and these continue to guide the activities of the systemwide technology transfer program.

Major Developments

There were a number of important developments in FY97 consistent with these recommendations that have influenced the technology transfer program and its relationship to inventors, the campuses, private industry, and other constituent groups. Among these are:

Patent Policy Revision ó Throughout FY97, extensive discussion and review was carried out throughout the University community that set the stage for revision of the University Patent Policy, effective October 1, 1997. As a result, both the Patent Policy and the Patent Agreement (now called the Patent Acknowledgment) have been updated to more accurately reflect current University of California organization and practices. In addition, the April 16, 1990 Patent Policy has been rescinded and all inventions reported before October 1, 1997 will be governed by the November 18, 1985 policy.

The principal change to the Patent Policy involves a new formula for the distribution of royalty income generated by licensed inventions. For all inventions disclosed on or after October 1, 1997, the 15% administrative assessment (used in previous formulas) has been removed from the formula so that net income is now defined as total income less unreimbursed direct case expenses. This simplifies the calculation of royalty income to be distributed to inventors. Under the new Policy, inventors receive 35% of net income and 15% of net income is allocated for research-related purposes at the inventorís campus or Laboratory. The remaining 50% of net income is allocated to the general pool at the campus or DOE Laboratory of the inventor.

Because of the unique nature of the three Laboratories and their relationship with the Department of Energy, these sites will each be permitted to submit alternative royalty distribution proposals to the President for future consideration.

Equity Guidelines ó In February 1996, President Atkinson issued the University Policy on Accepting Equity When Licensing University Technology. Interim implementing guidelines for accepting and managing such equity were developed and reviewed throughout FY97 for issuance as an interim University Business and Finance Bulletin on July 1, 1997. As of the end of the fiscal year, the University had accepted equity in approximately 20 companies.

Presidentís Retreat ó On January 30-31, 1997 President Atkinson convened a high-level internal retreat at UCLA to examine and candidly debate the nature of the Universityís relationships with industry as they relate to research and technology transfer. The 150 attendees at the retreat included Chancellors, Research Vice Chancellors, Deans of Medicine and Engineering, faculty inventors and principal investigators, staff whose work affects industrial relationships, and leadership from the Academic Senate and Office of the President. Several individuals from industry also were invited to share their views and experiences. Participants met in large plenary sessions and small working Organizational Overview groups to review the existing structure and principles that govern the Universityís relationships with industry, explore rewards and risks associated with current and potential relationships with the private sector and consider possible new directions and actions for the future.

A major theme that surfaced throughout the retreat was that the University must take a strong position of encouraging research and technology transfer partnerships with industry and consider becoming less risk-adverse in these relationships. It was agreed that the University should become less complicated for industry to work with and be more flexible in considering differences among scientific disciplines and industrial sectors. There also was strong consensus that teaching and the search for new knowledge should underlie all University interactions with industry and that University research should be used as efficiently as possible for the betterment of California and its citizens. Specific recommendations from the reports of nine retreat advisory groups are under discussion by the TTAC and will be referred to President Atkinson for further action.

Invention Reporting ó During FY97, the University of California played a key role in the development of Edison, a National Institutes of Health (NIH) electronic invention reporting system designed to facilitate university compliance with the complex reporting requirements of the Bayh-Dole Act. OTT served as the primary beta site for implementing and testing mechanisms that large research organizations can use to submit highly detailed and confidential invention disclosure, patent and license information directly from their own database systems into the NIH database. It is anticipated that the Edison system will become the standard for all Federal agency reporting.

Organizational Structure

In FY97, substantial progress continued to be made toward implementing the distributed approach to the organization of technology transfer as envisioned in the Ad Hoc Committee report. Under this model, OTT has worked closely with each campus in establishing a campus technology transfer program suited to the individual campusí needs and aspirations. Certain functions, such as policy development, oversight of legal matters, systemwide information management, and legislative review continue to be coordinated by OTT. Other functions are assigned to individual campuses or DOE Laboratories on a case-by-case basis depending on each institutionís ability and desire to take on the particular responsibility. Highlights of the resulting systemwide structure and function are as follows:

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