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Charter for Intellectual Property &
      Technology transfer

                                FITT
  – Fostering Interregional Exchange in ICT Technology Transfer –



                                   www.FITT-for-Innovation.eu
  Except where otherwise noted, this work is licensed under a Creative Commons Attribution 3.0 License.
The Charter on Intellectual Property of the
                       Carnot Institutes


• Harmonised set of principles for Intellectual Property and Knowledge Transfer

• Adopted in 2008 by the Carnot Institutes (French label and network of 33
  research laboratories/organizations active in partnership research with
  companies)

• Close links with a similar initiative at EU level

• Supported by the FITT partners




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       April 2011               Charter for IP/ & Technology Transfer
                                      Name Event
The Content



• Structured in 3 parts:

             Policy relating to Intellectual Property (IP)
             Knowledge and Technology Transfer Policy (KTT)
             Principles concerning collaboration and research contracts

• 23 articles

• Adopted by the representatives of the 33 Carnot institutes

• Validated by all their supervisory organizations (“organismes de tutelles”)




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      April 2011                Charter for IP/ & Technology Transfer
                                      Name Event
The Content




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4 | 05.01.2009
     25.09.2009             Name / Event
                         Intellectual Property Charter
The (Hi)Story of the Charter


  • 2 months to draft the charter, 6 months for adoption
  • Part of wider, global European context




                                                    April 2008
              2007          End 200 7-2008         Publication by      Spring to Fall          Fall 2008         December 2009          Mars 2010
     Initiative of German   IP task force in         European              2008             The 33 Carnot       Digiteo adopts the   Support of the FITT
      EU presidency for     EARTO* to draft       Commission of        Best practice      institutes validate         Charter           consortium
          guidelines to      guidelines for      Recommendations        committee of        and adopt the
      improve research-       Research &             on IP and        Carnot institutes         Charter
           enterprises        Technology            Knowledge          drafts its own
            relations        Organisations          Transfer **           charter




* European Association of Research and Technology Organisations
**Commission Recommendation on the Management of Intellectual Property in Knowledge Transfer Activities and Code of Practice for universities and
other public research organisations C(2008)1329

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   5 | 05.01.2009
         April 2011                                       Charter for IP/ & Technology Transfer
                                                                Name Event
Stakeholders


•   Who was involved in the redaction of the Charter?

The Best Practices Committee of the Carnot Institutes Association gathers
  several thematic working groups, with the objective to exchange and produce
  recommendations to harmonize the practices between the institutes.

One working group launched the work on the IP charter. One writer was in
 charge of the redaction, based on the discussions of the working group (10
 persons, mostly jurists and technology transfer managers) and iterations with
 the board of directors for comments.




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      April 2011             Charter for IP/ & Technology Transfer
                                   Name Event
Stakeholders


•   Who is concerned by the Charter?

     -   In France,13 000 public research professionals are concerned:
                   -   12% of public research staff
                   -   45% of the research with industry


     -   Potentially, 130 Research & Technical Organisations (RTOs) in Europe




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      April 2011                      Charter for IP/ & Technology Transfer
                                            Name Event
PROs & CONs


                      PROs                                                       CONs


    • A common language
    • Image of professionalism towards                            • Validation process and signature
    external partners                                             often long
    • Recommendations : no legally-                               • When drafting the charter, one
    binding content                                               must conciliate the need to be as
    • Easy to be adopted as such but it                           precise and concrete as possible
    can also be adapted according to their                        and the difficulty to comply with the
    needs of other research organisations                         different legal status and functioning
                                                                  of the organizations.
    • Reinforcement the cohesion of the
    Carnot network
    • Tool for harmonisation of practices at
    EU level



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      April 2011                      Charter for IP/ & Technology Transfer
                                            Name Event
Rationale


• Mix of political & structural drivers:
     • - Structural: one objective of the Carnot Institutes is to improve the institutes'
       professionalism and to homogenize the practices between them.

     • - Political: in line with European and national recommendations to put technology
       transfer as primary mission for the public research organisations and encourage
       them to establish policies and procedures with regards to Intellectual Property.

• By adopting such a Charter, the Carnot Institutes meet the expectations of companies,
  which call for a coherent framework between the French PROs and clear guidelines
  concerning partnership research.

• By developing its own text (next to the one that was in preparation by the European
  Commission), the Charter was more fitted to the Carnot context (some parts of the
  European text that were deemed unsatisfactory for Research & Technology
  organisations)

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 9 | 05.01.2009
       April 2011                   Charter for IP/ & Technology Transfer
                                          Name Event
Impact


 • Quick adoption of the charter by 33 Carnot Institutes and their supervisory
 organizations (representing all major PROs in France) proves the initial need
 for a reference document.

 • Industrials have expressed their support to the initiative during the
 elaboration of the document.

 • The implementation of the principles set out in the Charter will lead to
 significant changes in the organization and functioning of the PROs in terms
 of research traceability, awareness actions on technology transfer, evaluation
 of the researchers’ career, licensing...

 • Digiteo network has also adopted the charter



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      April 2011              Charter for IP/ & Technology Transfer
                                    Name Event
Outcome


 What happened after the implementation:

• “mass effect” of the Carnot Institutes (13 000 researchers) + adoption of
   shared guidelines on IP = credibility of the network

• Reference document that stresses the value of IP coming from public
   research. Brings legitimacy to jurists and technology transfer officers during
   negotiations with industrials: no more “sell off” of IP.

• Positive feedbacks from companies , which appreciate the shortening of the
   negotiations and lower discrepancy between the habits of PROs.

• Increased awareness about the stakes of IP among the institute’s staff.
• Enhanced feeling of integration of the Carnot network

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11 | 05.01.2009
      April 2011              Charter for IP/ & Technology Transfer
                                    Name Event
Lessons Learned


 • A small working group and one writer has proved to be an effective way
    of working.

 • Pragmatic approach during discussions about the text between the
    institutions : emphasis on the common interest.

 • Involve decisions-making people from the start, to ensure a quick
    adoption later on.

 • Include definitions as often as possible to ensure the common
    understanding of the main terms.




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12 | 05.01.2009
      April 2011              Charter for IP/ & Technology Transfer
                                    Name Event
Suggested Readings


 Link to code book
Charter; Knowledge Transfer; Technology Transfer; Intellectual Property; Guideline;
  Policy; Partnership; Industrial Research

 Link to relevant websites
 Website of the Carnot Institutes association : http://www.instituts-carnot.eu/en
See here for full text of the Charter (EN) http://www.instituts-carnot.eu/en/node/440
Commission Recommendation on the management of intellectual property in knowledge
transfer activities And Code of Practice for universities and other public research
organisations C(2008)1329 http://ec.europa.eu/invest-in-research/pdf/ip_recommendation_fr.pdf




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      April 2011                  Charter for IP/ & Technology Transfer
                                        Name Event

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FITT Toolbox: Charter for IP & Technology Transfer

  • 1. Charter for Intellectual Property & Technology transfer FITT – Fostering Interregional Exchange in ICT Technology Transfer – www.FITT-for-Innovation.eu Except where otherwise noted, this work is licensed under a Creative Commons Attribution 3.0 License.
  • 2. The Charter on Intellectual Property of the Carnot Institutes • Harmonised set of principles for Intellectual Property and Knowledge Transfer • Adopted in 2008 by the Carnot Institutes (French label and network of 33 research laboratories/organizations active in partnership research with companies) • Close links with a similar initiative at EU level • Supported by the FITT partners Partner Logo 2 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 3. The Content • Structured in 3 parts:  Policy relating to Intellectual Property (IP)  Knowledge and Technology Transfer Policy (KTT)  Principles concerning collaboration and research contracts • 23 articles • Adopted by the representatives of the 33 Carnot institutes • Validated by all their supervisory organizations (“organismes de tutelles”) Partner Logo 3 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 4. The Content Partner Logo 4 | 05.01.2009 25.09.2009 Name / Event Intellectual Property Charter
  • 5. The (Hi)Story of the Charter • 2 months to draft the charter, 6 months for adoption • Part of wider, global European context April 2008 2007 End 200 7-2008 Publication by Spring to Fall Fall 2008 December 2009 Mars 2010 Initiative of German IP task force in European 2008 The 33 Carnot Digiteo adopts the Support of the FITT EU presidency for EARTO* to draft Commission of Best practice institutes validate Charter consortium guidelines to guidelines for Recommendations committee of and adopt the improve research- Research & on IP and Carnot institutes Charter enterprises Technology Knowledge drafts its own relations Organisations Transfer ** charter * European Association of Research and Technology Organisations **Commission Recommendation on the Management of Intellectual Property in Knowledge Transfer Activities and Code of Practice for universities and other public research organisations C(2008)1329 Partner Logo 5 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 6. Stakeholders • Who was involved in the redaction of the Charter? The Best Practices Committee of the Carnot Institutes Association gathers several thematic working groups, with the objective to exchange and produce recommendations to harmonize the practices between the institutes. One working group launched the work on the IP charter. One writer was in charge of the redaction, based on the discussions of the working group (10 persons, mostly jurists and technology transfer managers) and iterations with the board of directors for comments. Partner Logo 6 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 7. Stakeholders • Who is concerned by the Charter? - In France,13 000 public research professionals are concerned: - 12% of public research staff - 45% of the research with industry - Potentially, 130 Research & Technical Organisations (RTOs) in Europe Partner Logo 7 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 8. PROs & CONs PROs CONs • A common language • Image of professionalism towards • Validation process and signature external partners often long • Recommendations : no legally- • When drafting the charter, one binding content must conciliate the need to be as • Easy to be adopted as such but it precise and concrete as possible can also be adapted according to their and the difficulty to comply with the needs of other research organisations different legal status and functioning of the organizations. • Reinforcement the cohesion of the Carnot network • Tool for harmonisation of practices at EU level Partner Logo 8 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 9. Rationale • Mix of political & structural drivers: • - Structural: one objective of the Carnot Institutes is to improve the institutes' professionalism and to homogenize the practices between them. • - Political: in line with European and national recommendations to put technology transfer as primary mission for the public research organisations and encourage them to establish policies and procedures with regards to Intellectual Property. • By adopting such a Charter, the Carnot Institutes meet the expectations of companies, which call for a coherent framework between the French PROs and clear guidelines concerning partnership research. • By developing its own text (next to the one that was in preparation by the European Commission), the Charter was more fitted to the Carnot context (some parts of the European text that were deemed unsatisfactory for Research & Technology organisations) Partner Logo 9 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 10. Impact • Quick adoption of the charter by 33 Carnot Institutes and their supervisory organizations (representing all major PROs in France) proves the initial need for a reference document. • Industrials have expressed their support to the initiative during the elaboration of the document. • The implementation of the principles set out in the Charter will lead to significant changes in the organization and functioning of the PROs in terms of research traceability, awareness actions on technology transfer, evaluation of the researchers’ career, licensing... • Digiteo network has also adopted the charter Partner Logo 10 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 11. Outcome  What happened after the implementation: • “mass effect” of the Carnot Institutes (13 000 researchers) + adoption of shared guidelines on IP = credibility of the network • Reference document that stresses the value of IP coming from public research. Brings legitimacy to jurists and technology transfer officers during negotiations with industrials: no more “sell off” of IP. • Positive feedbacks from companies , which appreciate the shortening of the negotiations and lower discrepancy between the habits of PROs. • Increased awareness about the stakes of IP among the institute’s staff. • Enhanced feeling of integration of the Carnot network Partner Logo 11 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 12. Lessons Learned • A small working group and one writer has proved to be an effective way of working. • Pragmatic approach during discussions about the text between the institutions : emphasis on the common interest. • Involve decisions-making people from the start, to ensure a quick adoption later on. • Include definitions as often as possible to ensure the common understanding of the main terms. Partner Logo 12 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event
  • 13. Suggested Readings  Link to code book Charter; Knowledge Transfer; Technology Transfer; Intellectual Property; Guideline; Policy; Partnership; Industrial Research  Link to relevant websites  Website of the Carnot Institutes association : http://www.instituts-carnot.eu/en See here for full text of the Charter (EN) http://www.instituts-carnot.eu/en/node/440 Commission Recommendation on the management of intellectual property in knowledge transfer activities And Code of Practice for universities and other public research organisations C(2008)1329 http://ec.europa.eu/invest-in-research/pdf/ip_recommendation_fr.pdf Partner Logo 13 | 05.01.2009 April 2011 Charter for IP/ & Technology Transfer Name Event