Promotion of Innovation and Encouragement of SME Participation

Promoting the Use and Exploitation of Intellectual Property Rights in European Higher Education Institutes

A European research project co-funded by the European Commission, DG Enterprise, under the 4th Framework Innovation Programme

December 1998 – December 2000 The topic

The protection of research global market, especially in variety of pioneering IPR and development (R&D) re- the field of high technology. promotion and management sults by Intellectual Property Many obstacles prevent tools to universities in order Rights (IPR) provides the researchers in Higher Edu- to facilitate the transfer of basis for successful commer- cation Institutes from protect- R&D results into marketable cial exploitation and the start- ing their R&D results by products. up of sustainable companies means of IPR. The NEICO capable of competing in a project aims to introduce a The objectives

The overall aim of this pilot project is to stimulate The four schemes are: the innovation process by promoting the use and ex- UPAS: ploitation of Intellectual A scheme provided by the University of Valencia to develop Property Rights (IPR), parti- communication and R&D exploitation structures in HEIs. The cularly patents, in European scheme describes how to set up an “Interface Unit” (IU) with Higher Education Institutes the aim of dynamising the academic and administrative staff (HEI). This results in a streng- and stimulating innovation in the university. The IU provides thening of the interactions services for researchers, reduces obstacles in the R&D between university, industry management process and improves communication between and the market and leads to different groups throughout the university. more efficient exploitation of R&D results. SAFE: Within the NEICO project, A programme provided by the Ministry of Research & four pioneering schemes Education of North Rhine-Westphalia (NRW) to promote the entitled UPAS, SAFE, BUS and use of patents in the HEIS of NRW. SAFE is a systematic InnoTULI™, all provided by approach to source and evaluate inventions, including a first consortium members, are novelty search and the initiation of a patent application in adapted to the regional pecu- collaboration with the inventors. The financing of patent liarities of NEICO partner uni- applications is supported by public funds. versities, tested within the framework of pilot projects BUS: and finally evaluated with A programme closely linked to SAFE which helps inventors regard to their performance. drafting a business summary for the presentation of R&D The Intellectual Property (IP) results already protected by IPR to the stock market or management schemes are venture capital organisations. disseminated on a regional level to promote their transfer InnoTULI™: to other HEIs. A collaboration model provided by Finntech Finnish Technology whose aim is to source, select and evaluate inventions and to give recommendations for commercial upgrading. In the InnoTULI™ process, partly realised as a virtual team model, experts from different fields of innovation work closely together in order to find individual commer- cialisation strategies for each single invention.

2 The results

A number of pilot projects are in progress at the NEICO partner institutions to implement one or more of the above mentioned schemes:

The Universidad Politécnica de Valencia (UPV) has developed an IP management scheme called TRIP on the basis of the SAFE programme. TRIP is used to evaluate inventions originating from university research, and its aim is to initiate patent applications. X-TECHNOLOGIES / Ecole Polytechnique has adapted the SAFE/BUS programme to protect the IP of entrepreneurs in the local incubator, in order to promote the start-up of sustainable companies. The newly developed programme is called X-INVENTION. The concept of InnoTULI™ The NEICO-Consortium will be used to find individual ways for the commercial (from left to right): upgrading of inventions. Mauro Pezze (POLIMI), Dominique de Lapparent (XTEC), Jyrki Ingman (Finntech), The Politecnico di Milano Tanja Tornow (PINA), Guiseppe Conti (POLIMI), (POLIMI) Margaret Whelan (DIT), Henning Reimann (EuroConsult), has created new IP management structures on the basis of the Concha Ginestar (CTT), SAFE programme, in order to protect inventions arising from Rea O‘Neill (DIT), the research and technology sector at POLIMI and from other Anette Traude (Bielefeld), universities in the region of Lombardy. Fernando Conesa (CTT), Lieselotte Krickau-Richter (EuroConsult), Birgit Wirsing (EuroConsult). The Dublin Institute of Technology (DIT) implements UPAS to set up an interface unit offering a range of IPR-related services to researchers. This new IP manage- ment structure is embedded in a new innovation park fostering the start-up of companies. It is intended to create a collaboration structure similar to InnoTULI™ throughout Ireland. The University of Bielefeld adapts UPAS on the basis of the already implemented SAFE programme with the goal of increasing the awareness of IPR in the university and promoting the use of IPR for the protection of R&D results. 3 EuroConsult— University of Bonn

The institution

EuroConsult, affiliated with the University of Bonn, was established in 1991 as a non- profit organisation financed by and subordinated to the Ministry for School, Educa- Its mission As a regional contact point for the EU-RTD programmes “Innovation”, “Improving Human Potential — Training and Mobility of Researchers” and “International Co-operation” EuroConsult is involved in the so-called “Europa-Kompetenz- Netzwerk der NRW-Hochschulen”, a decentralised network for the consulting and management of EC-funded research projects in NRW. EuroConsult’s clients are the administrative staff and researchers from the 53 Higher Education Institutes (HEI) in NRW. In addition, EuroConsult mediates and co-ordinates co-operation between HEIs in NRW, industry and European partner institutions within the framework of European or publicly funded projects. These activities also include close co-operation with technology transfer offices. Contributions to and benefits from NEICO tion, Science and Research of North Rhine-Westphalia As the co-ordinator of NEICO, EuroConsult forms the link (NRW). The University of Bonn between the partner consortium and the European Com- was founded in 1818 and is mission, and is responsible for the management and super- among the largest univer- vision of the project. Besides providing and maintaining a sities in Germany. It ranks structure for information exchange between the partners in as third largest university in form of a common data platform in the internet, EuroConsult NRW, with eight faculties and organises conferences and meetings to monitor the project approximately 38,000 stu- progress. dents. The academic reputa- In future, EuroConsult will take on an advisory function for tion of the University of Bonn additional European universities interested in exploiting the is determined by the achieve- results of NEICO by mediating the contacts to the respective ments of its 550 professors, know-how provider, maintaining public relations and lobbying 2,500 additional academic the distinct strategies on a European level. staff and 4,700 non-academic personnel.

4 Politecnico di Milano

The institution Contributions to

The Politecnico, founded in 1863, is one of Europe’s ten and benefits leading technical universities. The interactions between Politecnico di Milano and a network of industrial partners is from NEICO maintained and expanded by the “Associazione Impresa The NEICO project has led Politecnico” (the Association of the Politecnico as a Corporate to the foundation of an Enterprise). New schemes that may be hatched through a internal patent office at the system of interconnected centres in Lombardy include a well- Politecnico di Milano. Within developed plan of technological innovation, and the the framework of the project, “Politekne Network”, a project aimed at promoting technology Politecnico di Milano adapted transfer, the development of applied research, and the the core of SAFE and BUS creation of “incubators”. Apart from this, the Politecnico has schemes to the specific regio- launched an “alliance project” to reinforce the co-operation nal context. Training and between the worlds of industry and finance, governmental advertising activities to raise bodies, the centres of education and research, and cultural awareness were also orga- associations. nised.

The mission of „Associazione Impresa Politecnico“ The “Associazione Impresa Politecnico” is articulated in three different parts:

Sportello tecnologico: A structure of services to strengthen the network of interconnection between Politecnico and SME’s.

Politecnico innovazione: A structure for the promotion and management of research plans and consulting services. The core of activity is the creation of a network for innovation and technological transfer Mauro Pezze (POLIMI), from the University to the industrial sector. Birgit Wirsing (EuroConsult)

POLIEDRA (Cefriel, Mip): Since its foundation in 1988, Cefriel has been a centre of excellence for the transfer of technologies in the information processing sphere. Mip serves to promote training activities and applied research on a high quality level to introduce innovation in the process of business and public corporate management, focussing on new technologies.

5 Universidad Politécnica de Valencia The institution The Universidad Politéc- nica de Valencia (UPV) is a The mission of CTT public university with appro- A major objective of CTT is to mobilise academics to ximately 35,000 students, become involved both in research programmes and in 1,800 teachers and professors technological co-operation with companies. CTT provides and an annual budget of information on R&D programmes, gives support to the 168,000,000 Euro. The Tech- proposal definition, searches for suitable partners, manages nology Transfer Centre (CTT), the project’s budget, identifies, protects and disseminates created in 1989, is a manage- researchers’ R&D results and Intellectual Property Rights (IPR), ment unit belonging to UPV looks for co-operation partners and manages technology as an interface unit between transfer activities. UPV and its surrounding environment (companies, institutions, etc.). Contributions to and benefits from NEICO CTT has expertise in the raising of awareness for innovation activities at UPV. UPAS is a scheme developed for that purpose and is the main CTT contribution to the other NEICO partners. Within NEICO, UPAS will be transferred from UPV to the Dublin Institute of Technology and the University of Bielefeld. On the other hand, IPR management is one of the strategic services that CTT plans to make use of. Through NEICO, CTT will benefit from the consortium knowledge in patent evaluation and transfer. CTT will adapt the SAFE/BUS model for the assessment of patent applications in universities and business summaries for the presentation of already patented ideas. CTT is affiliated with the Spanish network of offices for the transfer of research re- sults, the OTRI/OTT network, which provides access to extensive information on the activities of other universities and public research centres (CPIs) of the regional and central government and of the EU. Through CTT, the UPV is also member of the Euro- pean Association of Research Managers and Administrators (EARMA). 6 Ecole Polytechnique X-TECHNOLOGIES

The institution The Ecole Polytechnique, founded two hundred years ago, offers advanced under- graduate studies and graduate studies for French and foreign students. Admission is selec- tive with exclusive procedures open to applicants, a standard admission procedure which focuses on mathematics and physics, or international admission procedure open to students with two to three years of university studies in sciences. The Ecole’s inter- nationally renowned Research Centre includes 25 labora- tories encompassing almost every scientific field. Polytechnique graduates work carried out by resear- Fernando Conesa hold key positions in a wide chers and providing revenue Contributions to (left, CTT Valencia), variety of domains including for laboratories. Consequent- and benefits Dominique de industry and business, ly, XTEC promotes the use of Lapparent (X- TECHNOLOGIES) government and research. Intellectual Property Rights from NEICO In 1992, Ecole Polytech- (IPR) as the most important nique created a technology prerequisite for the commer- Since XTEC considers IPR, centre called X-TECHNOLOGIES cial exploitation of high-tech especially patents, to be the (XTEC) whose aim is to assist inventions with world-wide basis for the creation of in the creation of high tech- market potential. Together financially stable high-tech nology enterprises issuing with the large research enterprises, a programme has from the Ecole Polytechnique. institutions of the Ile-de- been set up within the France region, XTEC provides framework of NEICO called X- the necessary resources to INVENTION. This programme is foster the start-up and an exact adaptation of the The mission of development of high tech- SAFE scheme, and its aim is XTEC nology enterprises. to create high-tech enterprises on the basis of patents. In XTEC helps Ecole Poly- addition, the BUS scheme is technique graduates and applied for the presentation of post-doctorates with the inventions to financial industrial and commercial organisations in order to exploitation of their research obtain funding. The results. XTEC has recognised programme InnoTULI™ will be that intellectual property is implemented for the step of the only way of giving finan- commercial upgrading of cial value to the results of inventions. 7 Finntech Finnish Technology

The institution The mission of Finntech Finnish Techno- Finntech logy Ltd Oy, founded in 1984, is located in Otaniemi Science Finntech’s principal func- Park (Innopoli) near Helsinki, tion is to secure the com- which is the biggest science mercial exploitation of pri- park in Northern Europe. The marily publicly funded Science Park forges a link research. Finntech welcomes between scientific knowledge inventions primarily from and business. It provides researchers, laboratories and technology-based companies research units of the Helsinki with space, synergy and University of Technology practical help necessary for (HUT) and the Technical running their businesses. Research Centre of Finland Qualified research and edu- (VTT) in order to evaluate cational services work close their commercial potential together here. and possible routes for exploitation. With 12,300 under- and postgraduate students it is the biggest and Contributions to oldest university of tech- and benefits nology in Finland. VTT is the largest and most versatile from NEICO research organisation within the Nordic countries with Within NEICO, Finntech is 2,600 employees in nine the know-how provider for research institutes. Finntech the InnoTULI™ scheme, which offers HUT and VTT realisa- has been implemented in the tion opportunities for pro- technology centre at the duct development projects in Otaniemi Science Park, the form of industrial joint Finland since 1994. The ventures. Finntech has long- transfer of the currently term experience in realising nationally applied scheme to co-operative projects between a European level within the industry, research commu- project will allow an nities, and risk financiers. In evaluation of the scheme in this context Finntech offers different regional contexts. the services of product mar- keting, licensing, technology brokerage, and project management.

8 Dublin Institute of Technology

lopment programmes, incu- The Institute bation space and facilities, Contributions to The Dublin Institute of business counselling and and benefits Technology (DIT), with funding and access to R&D academic traditions going expertise. To date, over 230 from NEICO back over 100 years, is the companies have been estab- largest third-level institution lished through the Centre’s Through the implemen- in the Republic of Ireland, start-up programme. The tation of InnoTULI™, it is with a total enrolment of Centre also runs a programme intended to set up a network 23,000 students. for fast growth companies; 47 of Irish universities, relevant companies have participated public bodies and industry. in this programme so far. In The role of this network is to 1995, the PDC initiated the The mission of Small Enterprise Seed Fund. the DIT This fund provides ‘seed’ funding at levels of between The DIT plays a leading £50,000 — £100,000 to early role in the development of stage companies. technical, technological and The Centre’s new venture business education in Ireland. ‘Docklands Innovation Park’ is It is deeply involved with the one of the largest incubators latest developments in tech- in Ireland and provides a nology in all areas, while dynamic environment which maintaining its commitment facilitates enterprise deve- to industrial, economic and lopment and the commercia- cultural developments on lisation of R&D. both local and national Within the framework of drive the innovation process From left to right: levels. NEICO, the Institute has ela- by pooling the partners’ Anne Saunders (DIT), The Project Development borated pilot projects for the resources. Central to this is Anette Traude (Bielefeld), Centre (PDC), the enterprise parallel implementation of the the establishment of the Margaret Whelan (DIT). unit of the DIT, assists gra- UPAS and InnoTULI™ schemes. ‘Docklands Innovation Evalua- duate entrepreneurs in the With the adoption of the tion Unit’, an activity centre areas of innovation, product UPAS model, the objective is linking the DIT to other development and enterprise to stimulate, encourage and universities, state organisa- creation. The Centre gives facilitate R&D initiatives tions and the private sector. support and training to entre- within the Institute. A central preneurs through the start-up aspect of the strategy is to and growth phases of their promote awareness of IPR business development. It throughout DIT. Overall, the provides a comprehensive aim is to develop a structured range of services and pro- process for handling innova- ducts, including skills deve- tion through to commercia- lisation.

9 University of Bielefeld The institution Founded in 1969, the University of Bielefeld is a The mission of Contributions to relatively young university. It the Technology and benefits comprises fourteen faculties with 20,000 students and 500 Transfer Office from NEICO professors. The “Technology Transfer Office” of the Univer- The “Technology Transfer Within the framework of sity of Bielefeld was created Office” is a public, non-com- NEICO, the University of Biele- in 1989 and is embedded in mercial agency for the transfer feld has already performed the structure of the University. of academic and scientific an assessment on the usage It forms a link between aca- knowledge to commercial of IPR tools in the region of demics holding a patent or application. Besides refining East-Westphalia-Lippe and an business idea and industry/ business ideas to market analysis of obstacles for entrepreneurship. In 1995, a maturity, the transfer office scientists dealing with IPR campus-related company — also seeks to identify inte- tools and their special de- the “Institute for Innovation rested parties in industry for mands. A variety of actions Transfer at the University of business ideas, partly based for the implementation of the Bielefeld GmbH” (IIT GmbH) on patents, developed by UPAS awareness scheme were — was founded to provide a academics. Information ser- initiated at the University of legal framework for commer- vices and innovation support Bielefeld in summer 1999, cial pilot projects launched by with special focus on the pro- supported by a grant of the university entrepreneurs. tection of IPR are provided North Rhine-Westphalian for members of the University Ministry for Research and of Bielefeld as well as for Education. At present, the regional SME’s. implementation of UPAS is concentrated on seven work- shops intended to “dyna- mise” different groups within the University of Bielefeld. The implementation of UPAS could be combined success- fully with two other German programmes, called INPAT and SAFE, focussing on questions of IPR usage in universities. In addition to this, the University of Biele- feld has intensified its co- operation with patent organi- sations and has installed a new ”service-point for questions concerning IPR usage”.

10 Loughborough University

The institution Loughborough University is located in the heart of England and hosts a commu- nity of 11,000 students from 100 countries around the world. Throughout Lough- borough University’s history — from the early days of the famous Loughborough Colleges in 1909 — to Univer- sity status in 1966, Loughbo- rough has built upon its distinctive characteristics. It offers a special mix of oppor- tunities such as innovative teaching and learning, strong links with industry and the professions, and vocational courses with students and employers. Loughborough has main- tained near-perfect teaching quality in assessments by the Higher Education Funding Council for England. All the focused on bridging the departments assessed in the Contributions to ‘equality gap’ for inventors recent round of Teaching and benefits who wish to take a prototype Quality Assessments were to market. Loughborough awarded a minimum of 21 from NEICO University receives training on points out of a maximum the InnoTULI™ programme, of 24. The UK government is dealing with different systems nowadays actively encou- of IP protection and exploi- raging universities to transfer tation. their technology to industry. The mission of Consequently there is a the Intellectual growing amount of support available for small firms Property Office spinning out of universities, and much attention is being The Intellectual Property Office (IPO) exists to support and encourage the protection and exploitation of IP at Loughborough University.

11 European Commission Manfred Schmiemann Enterprise-DG Project officer Contact EUFO 2283 Phone: +352-4301-33353 L-2920 Luxembourg Fax: +352-4301-34129 e-mail: [email protected] details University of Bonn Birgit Wirsing EuroConsult Research & NEICO project manager Education Phone: +49-228-733073 Poppelsdorfer Allee 53 Fax: +49-228-737722 D-53115 Bonn e-mail: [email protected]

Lieselotte Krickau-Richter Director of EuroConsult Research & Education Phone: +49-228-735950 Fax: +49-228-737722 e-mail: [email protected] Politecnico di Milano Mauro Pezze Piazza Leonardo da Vinci 32 Associate Professor I-20133 Milano Phone: +39-02-2399-3523 Fax: +39-02-2399-3511 e-mail: [email protected]

Universidad Politécnica de Fernando Conesa Cegarra Valencia Director CTT Centro de Transferencia de Phone: +34-96-3877409 Tecnologia (C.T.T.) Fax: +34-96-3877949 Camino de Vera, s/n e-mail: [email protected] E-46022 Valencia Ecole Polytechnique – Dominique de Lapparent X-TECHNOLOGIES Director X-TECHNOLOGIES Route de Saclay Phone: +33-1-69334137 F-91128 Palaiseau Fax: +33-1-69333044 e-mail: dominique.delapparent @polytechnique.fr Finntech Finnish Technology Erkki Rantala Ltd.Oy Managing Director Tekniikantie 12 Phone: +358-9-456-4283 FIN-02151 Espoo Fax: +358-9-456-7949 e-mail: [email protected]

Dublin Institute of Technology Margaret Whelan Project Development Centre Centre Manager Docklands Innovation Park Phone: +353-1-855-2333 128-130 East Wall Road Fax: +353-1-855-2380 IRL-Dublin 3 e-mail: [email protected]

University of Bielefeld Anette Traude Transferstelle Intellectual Property Co-ordinator Universitätsstr. 25 Phone: +49-521-1063964 D-33615 Bielefeld Fax: +49-521-1062986 e-mail: anette.traude@uni- bielefeld.de Loughborough University Jo Derbyshire Intellectual Property Office Intellectual Property Co-ordinator Loughborough, Leicestershire Phone: +44-1509-223857 LE11 3TU, UK Fax: +44-1509-23966 e-mail: [email protected]

More information on the NEICO-Project is available at: http://www.euroconsult.uni-bonn.de/innovation/neico/