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A Guide for Successful Institutional-Industrial Collaborations Researcher Guidebook University-Industry P: 202.334.3145 Demonstration Partnership F: 202.334.1369 The National Academies E: 500 Fifth Street NW Washington, DC 20001About this book At the spring 2009 University-Industry Demonstration Partnership (UIDP) meeting in Atlanta, a presentation was delivered by two representatives from the UIDP community; one was an untenured, assistant professor and the other was a technical team leader for a consumer products company. They had met at a scientific society meeting and after a presentation by the junior faculty member, they discussed (over the proverbial cup of coffee) a proposed project that the company was interested in sponsoring in the academic lab. The two UIDP session presenters described the long and convoluted process that took place over the next nine months – the numerous offices at both the university and company that were involved in negotiating the various aspects of the agreement, the periodic requests from the academic and corporate scientists as to the status of the negotiation, the lack of encouragement that the untenured researcher received from his academic department brethren and the ultimate outcome – an industry supported project that was conducted at one of America’s finest institutions of higher education. When queried as to why the company persevered during this lengthy process, the corporate lab leader simply stated: This academic researcher is the best in the world at what he does and I think he can help my company make money. As a project-oriented organization convened by the National Academies, the UIDP members’ natural response to a problem impacting university-industry relations is to ask what the members can do to address this challenge. And so was born the Researcher Guidebook project. This reference piece would not have been produced without the strong commitment of many UIDP member (as well as other non-UIDP member) representatives who met over a two-year period to develop and refine what is hoped to be a practical and dynamic tool for active researchers from academia, government labs and industry. On behalf of the entire UIDP community, I wish to thank these academic and corporate research and commercialization practitioners who devoted a significant amount of time and energy to make this handbook a reality. The contributors’ names are mentioned on subsequent pages but I would like to recognize certain individuals who worked behind the scenes to help craft this document. Michelle Corrigan was a graduate student at the University of New Mexico at the time that the project was initiated and she ably served as the project manager during its creation and development. Laurena Mostella from the National Academies provided logistical and administrative support and was extremely helpful in moving the project forward. Susan Sauer Sloan from the National Academies provided candid insights on how best to disseminate this tool; Robert Starbuck, formerly with Wyeth Pharmaceuticals and UIDP Associate as well as Kathy Grzech from the University of Kentucky, reviewed and edited the document; and Denise Duane from the University of South Carolina was instrumental in getting the handbook published. Finally, the project leads (Dudley Sharp who has recently retired from Arizona State University, John McEntire from Battelle and Pacific Northwest National Lab, and Rebecca Silveston-Keith from Lexmark) did an outstanding job in leading this effort which resulted in the release of this valuable resource. We welcome your thoughts, comments, and perspectives on the handbook and encourage your active participation in the UIDP’s activities. — Anthony M. Boccanfuso, Ph.D. UIDP Executive DirectorTable of Contents This guide was prepared in 2010–12 by the University-Industry Demonstration Partnership (UIDP) Researcher Guidebook Working Group whose members were drawn from a range of universities, companies, non-profits, and the federal government. The guidebook is for the benefit of researchers from institutions such as universities, national laboratories, and other non-profit research organizations and researchers from industry who seek to gain experience working within Prelude 6 institutional-industrial research collaboration. The content that follows is intended to guide the individual researcher in r esearch collaboration s ummary 8 understanding the unique aspects of this relationship and to increase the likelihood of more successful institutional- industrial collaborations. For t he institutional r esearcher 11 I. Managing Expectations 11 Working Group co-chairs (all affiliations at time of drafting): II. Benefits And Challenges Of W orking With Industry 16 John McEntire (Lead), Battelle Memorial Institute and Pacific Northwest National Laboratory Dudley Sharp, Arizona State University III. Establishing Contacts With Industry 20 Rebecca Silveston-Keith, Lexmark International Iv. Preparing Proposals 22 Project manager: v. Budgeting 24 Michelle Corrigan, University of New Mexico vI. Some Compliance Issues 25 Project contributors: vII. Confidential/Proprietar y Information (Publication Issues) 28 Bradley Alge – Purdue University Sharell Mikesell – Ohio State University vIII. Consulting/Outside Activity 30 Gretchen Baier – Dow Company Tom Mildenhall – Kimberly-Clark Ix. Intellectual Property Concerns 33 Tony Boccanfuso – UIDP Mary Millsaps – Purdue University x. Creating Long-Term Relationships 34 David Bond – Rochester Institute of Technology Murali Nair – National Science Foundation Bill Catlett – University of Texas-Austin Kesh Narayanan – National Science Foundation For t he industrial r esearcher 37 Carol Clem – Colorado State University Brice Nelson – Michigan State University I. Managing Expectations 37 Johannes Dapprich – Generation Biotech Steve Ortley – Rutgers University II. Benefits And Challenges Of W orking With Research Institutions 42 voichita Dadarlat – Purdue University Tanna Pugh – Pennsylvania State University Jerry Duncan – John Deere & Company Len Sarri – Dupont USA III. Establishing Contacts With Research Institutions 47 Dennis Fortner – Northrup Grumman Dudley Sharp – Arizona State University Iv. Defining The Scope Of Wor k And Project Deliverables 50 Charles Hasemann – Michigan State University Rebecca Silveston-Keith – Lexmark v. Budgeting 53 Jack Hurley – Siemens Corporate Research Nancy Smith – University of Arizona vI. Some Compliance Issues 55 David Kennedy – David Kennedy & Associates Robert Starbuck – UIDP Associate vII. Confidential/Proprietar y Information (Publication Issues) 57 vic Lechtenberg – Purdue University Beth Stark – Pfizer , Inc. Lisa Leff – University of Iowa Marie Talnack – Consultant vIII. Consulting/Outside Activity 58 Nicole Leonard – Johns Hopkins Medical Terry Stout – Georgia Institute of Technology Ix. Intellectual Property (IP) Concerns 59 Mike Lyons – Palladin Capital Sid White – Essilor x. Creating Long-Term Relationships 60 John McEntire – Battelle/PNNL Cecilia Wright Brown – University of Baltimore Pers Pectives 63 The University-Industry Demonstration Partnership (UIDP) operates as a semi-autonomous activity convened Glossary 76 by the National Academies and its Government-University-Industry Research Roundtable (GUIRR). Views biblio Gra Phy 79 expressed herein are not necessarily those of the UIDP member institutions, the National Academies or GUIRR. Responsibility for the content of this publication rests entirely with the authors. The authors also wish to thank the Defense Threat Reduction Agency and the National Science Foundation for their support of this guidebook. TABLE OF CONTENTS 5Prelude “I wish someone had told me this when I was just getting started . . . “ – a senior researcher The topics covered are the result of deliberations from a variety of sources and are meant to provide a comprehensive overview with enough information to help identify the basic resources available within The University-Industry Demonstration Project (UIDP) is an association of universities and non-profit most organizations to obtain the needed support. The UIDP website ( provides additional research organizations (including national laboratories)—collectively denoted as institutions—and resources, such as the Contract Accords handbook. The objective of these Contract Accords is to allow corporations or industrial entities convened by The National Academies. The UIDP provides a forum for each party to gain a greater understanding of procedures to adequately address these topics and to allow academia, industry, government and non-profit sector representatives to meet and discuss various issues for mutual benefit during the negotiation of sponsored research agreements (SRAs). that arise around collaborative institutional-industrial research and research results commercialization efforts. The UIDP helps representatives of these respective groups better understand the culture and In the group discussions that informed the development of this guidebook, key messages about constraints of their research counterparts in these diverse organizations. institutional-industrial collaborations emerged, including the following: In 2010, the UIDP set out to develop a guidebook to address the opportunities and challenges unique •High-value,high-returninstitutional-industrialresearchiscollaborativeand,thus,requiresmanagement to institution and industry collaborations. UIDP member representatives possess a wealth of experience from both parties. in advancing institutional-industrial relationships. As a result, they are often responsible for facilitating •Collaborativeresearchprogramsinvolvingsmallbusinessesaredifferentthanthosewithlarge such collaborations at their institutions. This guidebook, which specifically targets active researchers (at corporations. all career stages) in institutions and industry, is the product of the collective expertise of these member representatives. It presents the perspective of a senior researcher, i.e., one with extensive experience •Differencesinapproachestolegalpolicyandintellectualproperty(IP)policyininstitutional-industrial in this arena, whose insights may benefit a researcher who may have little experience in forging and research collaborations may be overwhelming to the researcher the first time and therefore require maintaining institutional-industrial collaborative relationships. substantial discussions within and between the collaborating organizations to be handled successfully. The guidebook is divided into two parts: Part 1 is dedicated to the Institutional Researcher; Part 2 is •Acentralofficewithineachorganizationspecificallydedicatedtocoordinatingeffortstoenhanceresearch dedicated to the Industrial Researcher. These two companion portions of the guidebook together create collaboration is a useful and necessary resource at both institutions and industrial organizations. a strategic tool to promote greater understanding of the issues that face both parties in order to facilitate •Betterresultsaccumulatewhenpartneringisstructuredforlong-termrelationshipsasopposedtoshort- more effective collaborations for mutual benefit. term, one-time projects. The long-term benefits or local impacts of institutional-industrial collaborations usually supersede the specific goals of a project. This guide contains answers to central questions that face researchers aiming to achieve healthy, productive collaborations, while at the same time identifying pitfalls and caveats that are unique to •Despitevariationsinthemissions,cultures,andmotivationsofthepartiesengagedincollaborative working in this diverse collaborative environment. Reading this guidebook should lead the researcher to research, collaborative projects provide a means to build new relationships and to share resources to ask the right questions, both of the organization and of the potential collaborator, to determine whether to foster new organizational capacity. Collaborations that cross traditional organizational boundaries allow proceed with a particular collaboration. the parties to accomplish together what may not be possible within a collaboration of similar organizations. All organizations are set up differently, with varying research support infrastructure. This guidebook will •Metricsforevaluatingthesecollaborationsshouldtranscendthesizeofanawardtoaninstitutionorthe help identify common service configurations among those offices whose mission is to assist researchers development of a new commercial product; rather, many other factors may contribute to success, such as in these collaborations. workforce development, access to specialized equipment and other factors of importance to the parties. •Veryfewinstitutional-industrialcollaborationsareidenticalandbothpartiesneedtorecognizethe The Institutional Researcher section addresses the 10 key issues identified as critical to generating inherent organizational qualities affecting any collaboration. fruitful alliances, as put forth by the membership of UIDP . The Industrial Researcher section is organized to mirror these issues from the corporate point of view. Important differences—as well as similarities—in •Mostresearchinstitutionshaveahistoryofworkingwithindustryandpursueapproachesthatmirror the processes, practices, and philosophies of both sides are highlighted. A list of key points concludes their institutions’ value and culture. The same is true for industry, some companies have a long history each section. A glossary and bibliography are also provided to assist with unfamiliar terms and provide of institutional engagement; others do not. additional resources to help advance the American research enterprise. More detailed information such as definitions is provided in the Appendices. 6 PRELUDE FOR THE INSTITUTIONAL RESEARCHER 7Research Collaborative Summary Research Collaborative Summary institutional Pers Pective Key issues industrial Pers Pective institutional Pers Pective Key issues industrial Pers Pective Managing Expectations Budgeting collaborative research may accomplish Discuss research costs including overhead, Understand that Industry’s mission is to Understand that the Institution’s mission is Federal agreements may require cost Discuss cost effective ways for accomplishing what is not possible in any other way travel, and tuition reimbursement with a provide goods and services, expand the state education, related creation and dissemination sharing and may include restrictions the SOW. Structures include: sponsored despite varied missions, cultures, and sponsor new to Institutional collaboration. of the art and create value for investors. of knowledge, and outreach. on Facilities and administrative (F&a) research, consulting, or gift. Work venue motivations. Craft budget with internal parties to avoid rates that are unfamiliar to industry. affects costs, facilities and overhead charges. future problems later in the process. Utilize your institutional resources and most organizations have a centralized Determine company’s perspective on IP ensure policies and procedures are in place office dedicated to coordinate and ownership, use restrictions, and Compliance Issues to effectively manage industry-sponsored navigate through the different ap- publication sign-off authority by finding improper management of compliance research projects. proaches to legal and iP policy. appropriate internal contacts. may cause significant consequences to a better chance of successful project Work with your compliance office to individuals and put the relationship and Determine who to contact in your company to Determine up-front whether you can and want To gain appropriate internal approvals, show outcomes results from correctly understand applicable aspects to the company’s business at risk. see if there are any compliance issues that to meet the sponsor’s business needs while that collaboration investment will provide aligning industry with institutions sponsored research project. compliance issues to consider include impact the project scope and deliverables. satisfying your core mission. compelling benefits. based on needs and skills sets. export control, immigration law, and employment law. Project type affects the terms of a Determine the expectation of intellectual Determine the type of project within the contract, which in turn affects the property generation to help guide the project continuum of interaction. Confidential Proprietary Information desirability of the relationship. contract type. Protect confidential and proprietary Benefits and Challenges information, since this is extremely important to industry. It can impact your ability or Self-censor information that is core to your Sponsors offer: alternative funding sources, maintaining confidentiality is in both entities offer resources that the Institutions offer: special facilities, expertise, the timeframe to publish results. Special company but not the project, even with a product development expertise, insight into everyone’s best interest. contractual other can leverage for success and new perspectives, new recruits, funding, and consideration necessary when students will non-disclosure agreement (NDA). Discuss trends, valuable intellectual property, and breaches damage relationships and can mutual benefit. potentially valuable intellectual property. be involved in the project. If the fundamental project segmentation and automatic press special facilities. lead to litigation. document discussions research exclusion is used to avoid export releases of projects and titles with your Industry is timeline- and deliverable-driven Internal justification can be problematic, in writing to clarify future iP matters. conflicting goals and timelines are the control issues, then technical information Institutional partner. with complex needs like publication delays institutional contract negotiations can be biggest cause of negative experiences must not be held as confidential and all and confidentiality. Smaller firms tend to be lengthy, and project execution depends on yet can be aligned with management project results must be published. resource limited, have short-term vision and researcher availability – plan early for budget from both parties. limited follow-on opportunities. cycle completion. Consulting/Outside Activity misalignment of expectations of each institution has unique policies Confirm who at the institution has authority Have frank discussions internally and with Confirm with appropriate office rules for Work with your licensing office towards licensing revenue versus cost of on iP ownership related to consulting to sign a consultancy agreement, can assign institutional licensing office about the relative consulting. Learn about IP rights, different solutions for different market commercialization can kill deals. that can lead to uncertainty about intellectual property, can set fee structures value of any potential IP in market segment confidentiality requirements and agreements, segments and different-sized companies. up-front fees, royalties, and other the consultants’ obligations and other for the consultancy agreement, and other in relation to commercialization costs. and identify any potential conflicts of interest. costs must be reasonable. conflicts of interest. potential conflicts of interest. Establishing Contacts Intellectual Property Concerns Leverage personal, institutional and business t he key challenge is getting to the right Use multiple mechanisms for finding the right Identify any background and potential intellectual property ownership can be Discuss background IP for project with your networks to find contacts. Market your person with whom you can arrive at a contact: internet searches, networking, foreground IP and who is responsible for one of the more contentious issues in technical and IP management. Patent before expertise in various media as well as mutual understanding of a technical requests for proposals, conference atten- IP protection, maintenance, and funding. institutional-industrial projects. issues discussing commercialization or publish- publishing and being active at conferences. problem and its plausible solution. dance and external matchmaking services. Understand the impact of any confidential are reduced by identifying iP owners ing project results. Define up front contract agreements on future publications, Use initial discussions to determine if sponsor minimize disputes and objective creep Establish mutual understanding of the and processes to handle iP before the option terms to foreground IP license. Joint conference presentations, other funded project expectations can be met in a mutually with careful evaluation and selection research problem, proposed solution and project starts. understand difference IP ownership does not prevent competitors agreements, or internal use of existing acceptable Statement of Work (SOW) with of a compatible partner and mutual SOW in order to develop internal ROI between assignments and rights. from licensing the IP . and new IP . deliverables, timelines, and budgets. agreement on project so W. discussion and management approval. Assist in developing appropriate Contact your legal services to set up a Long-Term Relationships Follow-on discussions will require documentation to protect the institution’s confidentiality agreement to cover any confidentiality agreements and contracts. l ong-term benefits and local impact interests based on SOW. in-depth conversations. of institution-industry collaboration Proposals often go beyond initial expectations Develop long-term collaborations by carefully Consider the long-term benefits when when long term relationships that are selecting a suitable partner, managing structuring contracts with industrial partners Develop an executive summary that shows Proposal format depends on who Set up a communications plan with built impact and outweigh the specific project progress, being an in-house that are a good fit for your research, depart- an efficient plan to resolve issues and has a initiated contact and where the funding institutional partner to develop the proposal project goals. effective collaborations champion, and creating metrics to ment and/or institution. SOW outlining the deliverables, timelines and is coming from. r egular, frequent com- (exec. summary and SOW), informal and for- hinge on building and maintaining trust, evaluate the collaboration. communication plan. Craft fair and realistic munication is necessary to develop a mal updates and reports. Review the proposal effective communication, and agree- budget with grants and contracts office. successful proposal, so W, and project. with technical and financial management . able contributions from all parties. 8 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 9For the Institutional Researcher This portion of the guidebook is designed for the institutional researcher or principal investigator (PI) who is new to collaborations with industry partners. The guidance in the Managing Expectations section lays the foundation for productive institutional-industrial collaboration by providing an overview of differing organizational environments and by discussing issues unique to such research collaborations. I. MAnAgIng Ex PECTATIOns Each party comes into the collaboration with different expectations, organizational cultures, motivations, and experiences. Bridging the gap between the respective missions of institutional and industrial environments is essential to establishing a successful relationship. The core mission of the university is education, related creation and dissemination of knowledge, and outreach. National laboratories aim to provide fundamental science and scientific solutions to the nation’s most pressing problems. Finally, industry’s core mission includes creating value for investors, providing useful goods and services, and expanding the state of the art in a product or service. From the perspective of the corporate or industry partner, external collaborations are expected to satisfy this mission by providing compelling benefits and return on investment (ROI) in exchange for funding or other tangible considerations. For the institutional researcher, initiating contacts with the right industry representative can be challenging and establishing contacts in private industry can be a lot of work. However, a solid relationship with a corporate partner can help you, as a principal investigator (PI), to diversify funding sources for your research and lead to unique opportunities for students. It is critical to understand that industry is interested in funding research that meets a business need. In this regard, industry seeks a match between its research needs and the skills and resources that you can provide. Establishing that match successfully is complicated by the fact that policies and processes at most research institutions are designed to manage federal grants within a carefully defined framework. FOR THE INSTITUTIONAL RESEARCHER 11Unlike the majority of federally funded research, industry-sponsored research does not follow a set pattern •What is your institution’s policy on publication rights and dissemination of research results? or process. Thus, you will be much more actively involved in the administration of your industrial research Industrial sponsors will often want to control the release of information about a project they fund due to the portfolio, both in its establishment and in its management. This is especially true for the first project that proprietary nature of their business environment. Some institutions will allow for a reasonable delay (up organizations initiate together, as your industry counterpart may or may not have had previous experience to six months) in lifting an embargo on a publication, in order for a company to review the publication for with collaborative research at a university or national laboratory. potential patentable inventions or to identify confidential company information that may have been provided to the institutional researcher. Some institutions, however, will not accept any delay or sponsor control over For the industry sponsor, you, as the institutional researcher, are the face of your institution and will often academic publications. This issue is especially important when graduate students or postdoctoral associates have discussions about all aspects of the relationship well before anyone else at your institution. However, are involved in the research. Find out early what position your institution takes on publication rights. it is important to remember that while the technical discussions and scientific understanding of the effort are often between you and the industrial scientist, the contract that puts the project in place will be between •What position documents or contract templates does your institution prefer to use? your institution and the corporate partner. For these reasons, it is vital that you have a basic understanding Most institutions will have templates for a variety of industry engagements. These templates will present of your institution’s position on important issues like Intellectual Property (IP) and publication rights and that the institution’s position on issues like IP and publications, but also on things you may not even think about, you know who handles these and other contractual matters. such as governing law, jurisdiction, and indemnification. Knowledge of these templates and the ability to share them early in the process with an industrial partner can have a positive impact on the initial stages In order to gain that knowledge, the following is a list of core understandings that you should review (1) of negotiations. Usually the institutional contracting office will be able to discuss the contract terms at or before engaging with an industry sponsor in earnest; (2) when you have identified a potential industry during the completion of the technical discussions. In order to do so, though, research support staff will sponsor; and (3) when you have moved to discussions of a specific project. need to know what you are proposing to do, so be prepared to share at least the draft Statement of Work (SOW) with them. It is highly likely that the final agreement will be an edited template document – whether Preparing for industry engagement from an institution or a company. It is important, at this stage, to gain a good understanding of the processes and policies that your institution has in place to manage industry-funded research. • Have you reviewed your research portfolio with your technology transfer office to protect any pre-existing technology? •How does your institution manage sponsored research? A discussion with staff in the TTO should include strategies to document and, when necessary, protect Every institution is different, so it is important to find out what offices are involved with industry-sponsored your existing research and results. Staff can also discuss the possible market for your current research research at your institution. Typical examples are the sponsored programs office, the office of research, and institutional processes to manage such IP . By understanding the current value of what you bring to and the technology transfer office (TTO). Over the past decade, there has been a growing trend to an industrial collaboration, both in existing technology and potential technology, you can hold productive centralizing industry engagement into one-stop shops which can catalyze your institution’s efforts of industry discussions with potential sponsors. engagement. If possible, take the time to meet with key contacts in these groups at your organization. Find out what research support resources are available to you and what steps you must follow in order to get •What approaches can you adopt to keep your various projects separate? your project approved. Your institution’s research support personnel want to help you succeed. When you Establishing the boundaries of your industry-sponsored project is crucial. Just as federal grants require the succeed, the institution succeeds. grantee to report invention activity associated with each grant, so does industry. However, it becomes even more important when multiple industry sponsors are involved. The ability to articulate to your potential •What is your institution’s policy on intellectual property? sponsors how you will keep their projects organized and separate in an academic setting is vital. Typically, IP issues are often a complicated point of negotiation between institutions and industry. Due to the contracts that institutions use for industrial work do not include warranty clauses with which industry is significant investment each institutional research organization makes in research infrastructure and the familiar, so the ultimate responsibility will fall on the PI to protect sponsored projects from access by the fact that IP is often the result of many different projects and funding sources, most policies will require external community. that the institution maintain ownership of IP . This is especially true if your institution is a public university. Universities and national laboratories, for example, will typically have standard licensing or option provisions. engaging with a Potential industry sponsor This topic will often come up in the early stages of discussions with an industry sponsor, so it is important Understanding the existing relationship of the parties and the experience of the industry sponsor can help to understand the position your institution will take. Recently, some institutions have made significant you anticipate shortcuts or stumbling blocks. changes to how they handle IP emanating from industry-sponsored research. 12 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 13•What experience has the company had with research institutions? perspective is important, but knowing what your institution will allow in terms of publication rights or dissemination of research results is critical. If your institution has a policy that prevents it from accepting If a company is experienced in collaborating with institutions, then IP , publication rights, and other contractual a publication delay or restriction on release of results, you and your sponsor need to be aware of it. Such provisions sought by your institution are common practice. However, without prior institutional-industrial restrictions may prevent you from working on a specific project or may impact the way the project is collaborative experience, company representatives are likely to be surprised by the fact that the institution structured. Knowing the possible obstacles to an agreement at the onset of the relationship can save you will not be able to accept what they consider to be commercially reasonable terms. It is important to and your sponsor frustration and time. help your industry partner understand that institutions are not companies and, as such, are not set up to provide a commercial product. With an inexperienced sponsor, it may be helpful to have your institutional Many institutions are willing to accept some delay or restriction, but they must do so while maintaining contracting office conduct preliminary discussions with your sponsor so the terms presented to them are and supporting their primary mission (e.g., to educate students or improve public understanding of clear. This can prevent derailment of negotiations after months of technical discussions. These issues can science). When a sponsor negotiates control over dissemination of knowledge, such provisions can impact be even more pronounced when engaging small- and medium-sized firms. the makeup of your research team (e.g., graduate students working on their theses) or require that you secure additional administrative approvals before the contract is signed. Knowing the expectations of your •What is your institution’s experience with the sponsor? institution in advance will allow you to discuss the issue with your institutional contracting office, which in Knowing the existing institutional relationship between your institution and a particular sponsor can often turn may prevent unnecessary delays. save time and effort. Many institutions sign master agreements with sponsors with whom they frequently work, or they may have an agreement template that has already been negotiated with your sponsor. Your industrial counterpart may not be aware that many of the collaborative research issues have already been Key Points on managing expectations – for the institutional r esearcher: worked out in previous agreements, especially if this agreement was with another division or unit in the •Industrialsponsorshipcanopennewandinterestingavenuesforyourresearch,helprecruittechnical company. Your contracting office can provide you that information. Office staff may also be able to provide personnel including undergraduate and graduate students to your lab and provide job opportunities for an indication of issues that arose in negotiations with that sponsor in the past or of issues of importance to these individuals. the sponsor. Your awareness of such facets of the current relationship will help assure the sponsor that its funds will be well managed.•Understandingtherulesofengagementwhileanticipatingthebenefitsandpotentialpitfallscanhelpyou build a sustainable portfolio of industrial research. discussing a specific Project •Thebroaderyourunderstandingoftheseissues,themoredeftlyyoucannavigatetheprocess. Once you have moved to discussions of a specific project, it is imperative to discern the expectations of both parties to ensure a long-term relationship beyond the initial project boundaries. •What does your sponsor expect from the research? While it is plausible that a sponsor may be interested in the fundamental science in a particular area, in the majority of cases your sponsor has come to you to address a specific issue that is central to their business. Understanding what an industry partner expects from the project will help you determine whether you can meet the sponsor’s expectations and will help you write an SOW and list of deliverables that form the basis for a good contract. Many industrially supported projects begin with the best of intentions, but disputes may arise because the project began without a clear understanding of the expectations of both parties. Once discussion of an agreement has taken place, commit the understanding to writing that includes a descriptive SOW with the agreed-upon deliverables and timeline. This will allow your institutional contracting office to negotiate a strong contract that protects the interests of both parties. Following this practice with industry-sponsored research will also help your TTO determine which party should get the rights to any IP in the event you develop a patentable product. •Does your sponsor need or w ant to assert some control over the dissemination of the results of the project? Industry sectors differ in their approach to dissemination of the project’s results. Knowing your sponsor’s 14 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 15II. BEnEf ITs And Ch ALLEng Es Of W ORkIng WITh Indus TRy•Aninstitutionalinvestigatorhasaninnovationwithapotentialcommercialuse.Inpartneringwitha company working in that commercial space, the innovation can move into the marketplace, benefiting Businesses have historically relied on research institutions for access to fundamental science, continuing both parties. education programs, and specialized facilities and equipment. In the face of shrinking corporate research •Aninvestigatorisworkingonatopicthatiscloseto,butnotexactly,whatacompanyneeds. and development (R&D) budgets and increasing global competition, companies today are pushing beyond Through sponsored research, the company can work with the investigator for mutual benefit. In an these traditional boundaries by engaging these institutions to help them solve complex problems, construct optimal scenario, this can be done while also advancing the academic interests of the investigator, global strategies, and explore major opportunities early in development. They are also relying on such creating synergy. institutions more than ever before for the research part of their R&D formulas, to develop (or co-develop), •Acompanyhasanear-termgoalforacommercialproductandseekshelponatighttimelinetoget license, and commercialize new technologies. In fact, collaborations with institutions (or other for-profit results through collaboration with the institution. companies and contract research organizations) have become a common way for companies to outsource some of the research that might have been done in-house just a decade ago. •Aninstitutionallaboratoryhasaninnovationwithalongandriskydevelopmenttimelineto commercialization and is seeking a commercial sponsor to support the cost of development and reduce Both institutions and industry have much to gain from these collaborations since they promote the the associated risks of commercial development. discovery of new synergies and models that promise mutual potential for ROI. For companies, partnering with institutions provides access to expertise and research that spurs innovation, extends their resources, opportunities and challenges and sharpens their competitive advantage. For non-profit institutions facing tightening federal budgets— While relationships between businesses and institutions are desirable to both entities and, as a result, which have created funding gaps in even the top laboratories, collaborations with industry offer promising are expanding in number, scope, and scale, they are not easy to establish, manage, and nurture over revenue streams, effective ways to keep abreast of changing market and industry dynamics, and increased time. The biggest source of opportunity, and at the same time, the greatest cause of negative experience competitiveness in pursuing federal funding opportunities. in institutional-industrial collaborations stems from the conflicting goals and timelines of the institutional and corporate cultures. With few exceptions, company R&D has a short- to mid-term goal to create or types of engagement improve an existing product or service. Institutions, on the other hand, generally prefer longer time frames An institutional researcher can engage with a company in numerous ways. The spectrum of industry with an interest in basic research to advance science and public benefits. engagement ranges across support for: Because institutions and businesses have complementary missions, visions, operational approaches, and •Workthatisparallel,orcomplementary,tothelaboratory’sregularwork,includingfederallyfundedwork. cultures, recognizing these differences is important to establishing and maintaining positive relationships. •Acommercialapplicationorextensionofpreviouslyfundedwork. It is critical to be properly prepared to adapt to the motivators on both sides of the relationship to assure •Fee-for-serviceworkthatthelaboratoryistechnicallysuitedtodo. a positive experience for all. Increasingly, institutions and their corporate counterparts are pursuing federal funding jointly to increase With so many inherent challenges, why would an institutional researcher choose to engage in corporate- their competitiveness at winning these awards. As an investigator, it is critical to understand where in this funded research? There are many good reasons: continuum your engagement with industry lies because the terms of a contract will differ in many factors •Companiesmayhavephysicalresourcesthataninstitutioncannotaccessanyotherway.Companiesare from one end of this continuum to the other. Those differences may make the relationship more or less typically interested in questions that require applied research, which can be difficult to fund through most palatable to you or your institution. federal or foundation funding sources. When an institutional laboratory is interested in pursuing applied research or experiments that lead to product development, non-industry funding sources may be limited. The UIDP has recently completed a project (The Partnership Continuum – please refer to the UIDP website •Companiescanbringtacitknowledgeoftheproductdevelopmentprocess,whichisotherwise for additional information) that can add substantial insights into the various ways that institutions can proprietary and generally unattainable to the academic community. Corporate partners can bring engage companies. experience to a collaboration that can provide the foresight to prevent a PI from committing mistakes already made in industry. Institutional-Industrial collaborations typically occur within the following scenarios: •Industrycollaborationscanprovideaccesstoadditionalsourcesoffunding(e.g.,SBIRSmallBusiness •Inthecourseofpursuingfundamentalresearch,aninvestigatorpublishesanobservationthatacompany InnovationResearchandSTTRSmallBusinessTechnology)thatencouragecollaborationwithsmall sees as an opportunity to inform or merge into its commercial objectives, leading to a collaboration based businesses. More federal and state funding programs require collaborations for certain grant programs. on strengths and common interests. 16 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 17•Workingwithcorporationscandiversifythecurriculumvitae(CV)ofaninstitutionalresearcher,which•ClassifiedWork: Many corporations engage in classified research and will want to pass the secrecy serves to improve the competitiveness of future federal grant submissions. and other obligations on to the institution. Since these represent real restrictions on the research, a contract in this situation must be carefully negotiated, and a proper (i.e., classified or restricted) work •Researchsupport,oftenreferredtoasInternalResearch&Development(IRAD)funds,cancomedirectly environment established. from a corporate entity. •ProjectLength: Corporate projects need to be approximately a year in duration if graduate students are •Closerelationshipswithcompaniescanprovideinsightsonthedirectionaparticularindustryisheading. involved due to their contract status and educational pursuits at their institution. Longer time periods This can reveal potential market needs and opportunities that institutional researchers can address in may be interrupted due to looming graduation. For national laboratories or other non-academic contract their research and commercialization activities. research organizations, this is not an issue. •Companyfundingcancomequicklywhenaprojectisdesirabletobothparties,sometimeswithinweeks. By contrast, most federal and foundation sources require as much as a year from submission to award. Just as the nature and scope of collaborations between institutions and large corporate partners continue to evolve and develop, institutions are also expanding collaborations with small businesses •Workingwithacompanycanprovidevaluableexperiencetostudents,particularlygraduatestudents. and have much to gain from these important relationships. While such relationships with smaller The opportunity to participate at some level in a company-sponsored project allows students to assess entities share many similarities with those involving larger partners, challenges that are unique to small potential industries and companies and build relationships that can lead to career development. businesses can include: •CollaborativeprojectsmaycreateIPthatmaybeimmediatelyvaluabletothecorporatepartner.For •ResourceLimitations: Smaller corporate partners are more likely to have resource limitations—financial, institutional researchers, such an outcome can reveal a more immediate application of one’s work while personnel, legal, etc. Resource availability needs to be discussed early on to establish realistic potentially generating revenues for the institution. timelines, deliverables, and expectations. •Institutional-industrialrelationshipscanprovideimportanteconomicdevelopmentadvantagesforthe •Vision/Planning: Not all small businesses have longer-term plans and visions for the future, so it can be community, leveraging the resources of the institution and putting them to work throughout the region difficult for faculty researchers to initially assess whether a prospective relationship may provide longer- and the state. term potential. •Companieshaveaccesstoproprietarymaterialsthatcanhelpaninstitutionalresearcheradvancethe •LimitedFundingforFollow-OnResearch:The small business may have a narrower scope of interest than lab’s current research endeavors or open doors to new areas of investigation. the institutional researcher. Thus, institutional-industrial relationships provide a means to bridge scientific breakthroughs and the Key Points on Working with industry – benefits and challenges for the institutional r esearcher: global marketplace. When a relationship is established between an institution and an industry partner, the relationship has the potential to expand along with corporate expansion to generate new research •Recognizethetimelineandgoal-orientedperspectiveofyourindustrypartner. collaborations, improved capabilities, institutional linkages, philanthropic relationships, and more. •Beawareofandutilizetheresourcesthatyourinstitutionoffers. There are distinct challenges to industry-funded research although most can be overcome. Obstacles to these relationships include:•Familiarizeyourselfwithinstitutionalpoliciesandproceduresregardingconfidentialityagreements, contracts, and IP . •Time: Corporate partners are driven by timelines and deliverables, which can make the terms of a project difficult to negotiate and coordinate. In a world of graduate students and various competing •Understandthedecision-makingprocess,clarifydetailsoftheprocess,andidentifytheultimate obligations such as teaching or pursuing other avenues of research and/or funding, a PI may have decision-maker for your industry partner for the project. difficulty aligning institutional research schedules with business cycles or corporate manufacturing and •Communicateproactivelywithperiodicupdatesandreportsthroughouttheprojectasmilestones product development schedules. are achieved and/or as problems arise to facilitate research progress and eliminate costly or time- •Agreement: Negotiating contract agreements between institutions and industry can be complex– consuming missteps. particularly IP ownership, clarification of the SOW, indemnification, and publication rights. •Confidentiality:Holding information confidential or delaying its public dissemination until the corporate partner has secured its advantage is expected by industry. However, a PI can use a variety of ways to achieve both the company’s goals and the academic goals to disseminate knowledge. Part of this may come through discussions of what the corporate sponsor deems as important for IP purposes and what is not. 18 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 19III. EsTABLIsh Ing C OnTACTs WITh Indus TRy However, personal or leveraged networks may not be sufficient. To get the most out of any network, you will need an appropriate degree of self-promotion. This can represent a culture shift for you if you are There is no single or best way to go about making the contacts that will lead to industry-sponsored unaccustomed to marketing your individual expertise. Think and act more like an entrepreneur with any or research. Unlike federal agencies and other funding sources, industry generally does not advertise its all of the following steps: research needs or priorities (although it should be noted that more companies are issuing requests for •Publishandpresentinthemostvisibleplaces,includingthemostprestigiousjournals. proposalsRFPs).Thisisbecausethatinformationmaybeverysensitive—itsreleasecouldcompromise •Whenyoupresentataconference—orjustattend—prepareanagendatomakecontacts.Pickupalist a corporate organization’s competitive position. This reality makes it challenging for you to identify of participants as a source of potential contacts. Attend the presentations your potential sponsors may corporate contacts. Ideally, you need a scientist or engineer within the industry to champion the work you be making. Speak with them afterwards, and trade contact information. propose, and that champion needs access to a budget to support the proposed work. •CreateandcontinuallyupdatesocialnetworkingsitessuchasLinkedIn. You may need to initiate contact with a prospective corporate partner when you have an idea you believe •Reviseandmaintainyourwebsitetoattractsponsors.Makesureyouincludetherighttagsand the industry needs. Your key challenge is identifying a person within the company with whom you can metadata so those looking for a problem solver find you. achieve a mutual understanding of a technical problem and potential solution. In order to reach this person, you may need to take advantage of networks—either your own or those you can leverage. You •Embracethemedia.Workwithyouruniversitycommunicationsprofessionals.Letthemknowof may have access to more networks than you think. Consider the following: interesting findings or recognitions. List your credentials with an appropriate expert networ k (e.g., UIDP) so the news media find you when a story breaks in your area of expertise. •Youmayknowseveralpeoplewithconnectionstoagivencorporation,includingformeradvisors, colleagues, and students that may now work for a potential corporate partner. You may also know •Takeasurveyofpotentialindustrypartnersinyourtechnicalniche.Useyourlocalbusinessjournalto other researchers who are engaged in sponsored research for the corporation, and this may present identify prospective corporate partners in your area. opportunities for collaboration. •Workwithindividualsinyourinstitutionwhocanhelpyou,includingthoseinresearchdevelopmentand •Yourinstitutionhasanumberofnetworksthatyoucanleverage: support or corporate relations offices. - Y our peers within the institution may have experience with a corporate partner with which you are Key Points on establishing contacts with industry for institutional r esearchers: seeking to establish a relationship. - The office of de velopment or advancement ma y be able to connect you with alumni in the •Identifytherightpersonwithinacorporationtohelpyouachieveamutualunderstandingoftheresearch corporate organization with which you want to work. problem and proposed solution. - The sponsored programs office at your institution may be able to assist you in deter mining •Useyouraccesstoanumberofnetworksthroughyourinstitutionandprofessionalorganizationstohelp whether the prospective corporate partner has funded any research recently. identify that person. - The career services office may be able to tell you which recent graduates work with the company. - Man y institutions have dedicated economic development professionals that are well associated •Achievevisibilityinyourareaofexpertisetofacilitateconnectionstopotentialcorporatepartnersby with local industry and can help you make connections. allowing others (e.g., industry or media representatives) to identify you as an expert in a particular area. •Youmaybeabletomakeconnectionsthroughparticipationinavarietyofregionalandnational professional networks. - The relevant scientific society or professional association for your discipline ma y have an active local or regional chapter. These can be great places to meet people outside academia or other non-profit research institutions who are interested in your research area. - Contributing ar ticles to the publications of the appropriate society or association can help establish industry contacts. Similarly, making presentations at local, regional, and national meetings and/or contributing to an organization’s published proceedings can interest potential industry partners in your work. - Local or regional economic development organizations and business councils can present good networking opportunities. 20 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 21IV. PREPARIng P ROPOsALs t he statement of Work and deliverables This is typically the most important part of the proposal, as it explains the tasks to be completed and the identifying and approaching Funding sources institutional resources committed in support of the project. When you prepare a Statement of Work (SOW) You should spend time learning about your industrial partner and the potential for project fit with their for an industry project, consider the following points. First, an SOW is often included in a direct solicitation specific, strategic objectives. The specific objectives may not be easy to find, as they are often not clearly from the industry sponsor. It is very important for you to carefully consider that document and to make defined in the content found on the organization’s website. Determine who from the organization is the effort to work with the industry researcher to refine, elaborate, and clarify where necessary. You need publishing (or patenting) in the area of the research. Find a way to connect with individuals you identify. to be very sure that the project requirements and procedures are clear, well stated, and most importantly, Consider proposing an initial collaboration with limited industry commitment (e.g., a letter of support, achievable within the proposed timeline and budget. participation on an advisory board) to build the relationship. You should also be aware that industry often behaves differently from the federal government in that Institutions collaborate with industry in many different ways. Some of the most common include timetables can change quickly, priorities and research emphases change more often, and personnel may collaborating with industry to develop a proposal for a third-party funding source, responding to a specific turn over several times during a project period. This means that the SOW needs to be well defined and request from an industry funding source, and submitting an unsolicited or investigator-initiated proposal to continuously reviewed by PIs of both organizations. In order for an institutional-industrial relationship to be the industry funding source. While each of these approaches may differ in scope, the proposal preparation truly successful, there needs to be regular and frequent communication between the parties. Additionally, process is similar. It is important to confirm how your institution processes proposals. The common both the budget and the SOW should be developed with the idea that changes may occur, requiring some components of industrial proposals are outlined below. degree of flexibility on the part of the PI to make budgetary adjustments or to alter the SOW in response to those changes. Proposal elements Deliverables and milestones are also often treated differently in industry projects than in those funded by Each proposal will have essentially the same list of elements, but the degree of collaboration between the the federal government. Industry typically has a specific problem to address, certain well-defined research industry PI and the institutional PI will be based on the anticipated relationship. When you collaborate to priorities to pursue, and the profit motive; deliverables and milestones are more definite and specific. You develop a third-party proposal, it is imperative that the parties communicate about the following: who the should be aware that industry is less likely to grant no-cost extensions or to be forgiving of missed deadlines lead will be for specific components of the proposal, what the submission deadlines are (e.g., for letter and milestones. Thus, it is imperative to be realistic with deliverable schedules and budget numbers. It is of intent, internal submission to institutional sponsored programs offices, proposal submission), and how far better to deliver early and under budget than to be unable to fulfill the proposed deliverables or meet the communication will be facilitated. When you respond to a specific request from industry, you are clearly milestones. Once you can demonstrate an understanding of the industry’s timelines and needs, there is a responsible for developing the elements of the proposal, but you will often be in close contact with the greater likelihood that you will have subsequent proposals funded, develop a lasting relationship with the industry researcher to ensure that the proposal covers all necessary information and is responsive to the industry sponsor, and become a “go-to” researcher for the sponsor. specific request. You can also develop an unsolicited or investigator-initiated proposal developed solely on your ideas to address a potential area of industry interest. Key takeaway – Institutional researchers succeed when they underpromise and overdeliver Industry proposals differ from federal agency proposals in many ways. For example, they may not include In addition, it may be helpful to include in the proposal prior successes with problems related to the standard forms or submission package format requirements common among federal agencies. In its industry’s need in the form of previous publications or presentations. It is not necessary to include simplest form, an industry proposal may only require a cover letter and an executive summary or abstract to everything from your Cv, but only that which is pertinent and relevant. This can provide the industry sponsor inform the decision-maker about the proposed research. Follow the specified format rather than modifying assurance regarding your capability and understanding of the problem at hand. existing academic or federal agency proposals. Finally, consult with your sponsored projects office regarding assurance and representation forms for Industry project budgets typically do not contain salary caps and have fewer restrictions on budget items industry projects. These are often different from the federal assurances and representations. Each such as administrative support and supplies. However, keep in mind that industry sponsors are very institution has established policies on the assurances or representations it is able to make. interested in cost containment and will likely not fund proposals with overstated budgets. Make use of your company contacts that can provide suggestions for key elements of the proposals and request a copy of Preparing for industry r eviews another funded proposal if available. An industry decision-maker is looking for a proposal that can solve an immediate problem, enhance an existing product, or further establish research priorities with a fair and realistic budget and delivery schedule. The corporate partner will want to see that you understand, as conveyed either through the 22 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 23proposal or through conversations and meetings, what the expected results are, and can propose a VI. sOME COMPLIAnCE Issu Es thoughtful, efficient way to achieve them. Depending on the specific industry, you may or may not have been aware of the various compliance Key Points on Preparing Proposals for institutional r esearchers: requirements to which a company adheres, including those that ensure that research will be conducted in accordance with strict ethical principles and federal, state, and collaborating research institution regulations •Communicateregularlyandfrequentlywithyourindustryresearchertodevelopasuccessfulproposaland and policies. There are several compliance issues of concern – two are included here and others will be lead to a successful project. added in later versions. • Set realistic and achievable milestones and deliverables to increase the probability of a successful collaboration. standards If you are working with a sponsor in the pharmaceutical or medical device fields, be careful of commitments to Good Manufacturing Practice (GMP) or Good Laboratory Practice (GLP) standards. These two compliance standards have very detailed requirements that many universities and non-profit research institutions do not meet. If these standards come up in discussions with an industry sponsor or in contract language suggested, V. Budg ETIng before you commit to anything, contact the office at your institution that handles compliance issues. Industry project budgets may differ from federal project budgets in a few important regards. For example, human and animal subjects industry projects typically do not contain salary caps. They may also have fewer restrictions on budget items such as administrative support and supplies. Your institution may provide for different budgeting As faculty at a research institution or a scientist at a national laboratory or other research organization, you are strategies, including requiring specific overhead rates on industry agreements, than those that apply probably already aware that there exist many federal, state, and institutional policies on research compliance to federal contracts. Federal agreements may require cost sharing and/or provide for restrictions on to ensure that research is conducted in accordance with strict ethical principles. Industry supported research facilities and administrative (F&A) rates, typically making these arrangements unacceptable for industry would be subject to the same policies that exist for federally supported research. Most institutions have agreements due to potential IP , compliance, and cost concerns, to mention a few. research oversight committees that work with faculty and staff to promote ethical and responsible conduct of research involving human subjects, vertebrate animal subjects, and the use of recombinant DNA. While In forecasting travel, include provisions for face-to-face meetings among the researchers. These meetings each institution may handle these types of research differently, they are based on some overarching federal can facilitate communication and efficiently and effectively clear up misunderstandings and confusion. regulations. • If an institution conducts human subjectresearch, itwillha ve anInstitutional Re vie w  Board(IRB) and  that You should anticipate that your industry counterparts may not understand your budget system. For IRB will base most, if not all, of its protocols off of the “The Common Rule” found in the Code of Federal example, Industry may not be familiar with the F&A rate structure, applied to indirect charges, that Regulations 45 CFR 46 (“Basic HHS Policy for Protection of Human Research Subjects,” which can be found differs depending on the type of research, who is involved, and where it is performed. Also, you should at be prepared to explain that there are direct charges that do not incur F&A charges. For example, tuition • Ifan institution conducts research withver tebrate animals, itwill ha ve anInstitutional Animal Care and Use reimbursement is normally a direct charge and part of the institutional budget system. Committee (IACUC) and will follow the guidelines as set forth by the Office of Laboratory Animal Welfare (under DHHS) which can be found at You will also find that industry sponsors are more focused on the total cost of the project rather than the individual cost items in your budget. Be sure to be clear that the institution is a non-profit organization, • If an institution conducts research using recombinantDNA, itwill follow the rulesas set for thb yNIH which and only budgets the costs expected to be incurred. can be found at Key Points on budgeting for the institutional r esearcher If your research, regardless of the sponsor, will involve any of these regulatory issues, it is essential that you know who at your institution handles these approvals and what you have to do before you begin the project. •Beawarethatinstitutionalbudgetingpoliciesaredifferentforindustryandfederalprojects. •Bepreparedtosharetherestrictionsofyourbudgetingsystemwithyourindustrialpartner. Other specific areas of research compliance of which you should be cognizant are responsible conduct of •Unlikegovernmentsponsors,industrymaynotprovidetheentireawardandonlygivefundinginstages research, conflict of interest, biosafety, and chemical and radiation safety. While you may be very familiar with when deliverables are met; therefore, some institutional finance offices will only pro vide you access to these regulatory issues, your industry partner may not. You should never take for granted that your industry funding in the same manner that the company approves funding. counterpart understands the way in which your organization responds to these requirements. In the interest 24 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 25of managing expectations and preempting frustration, make sure your industry counterpart is aware of the Researchers may be held personally responsible for violations of the ITAR and EAR. As a result, you process and possible delays, and consider the regulatory process when you discuss and agree to timelines should exercise care in using and sharing export-controlled information with others, even U.S. citizens and and deliverables. permanent residents who may not be aware of the controlled nature of the work. Technical information, data, materials, software, or hardware, i.e.; technology generated from a controlled project, must be secured from If you have worked only in the area of federally sponsored research, another area of regulatory compliance that use and observation by unlicensed non-U.S. citizens. you may not be as familiar with is export control laws and regulations. When university researchers conduct fundamental research with the intent to share freely the results of the projects, they are somewhat sheltered Export control laws may apply when you are sharing proprietary information under the protection of a from the impact of the export control laws. However, when a researcher receives proprietary information non-disclosure agreement or have a contract that restricts the dissemination of results, or publication under the protection of a non-disclosure agreement or enters into a contract that includes restrictions on the control. Not all proprietary information is controlled but because it is not in the public domain, your export dissemination of results, or publication control on the part of the sponsor, the full weight of the export control controls office should make a determination if it can be shared with foreign individuals or entities. Your laws must be considered. For this reason, we go into more detail about these regulations and how your employer may be performing functions or manufacturing items subject to export control requirements and institution may handle their implications. you could put your university or company’s entire business at risk if you fail to adhere to export control statutes. Laws have been in place since the 1940s to restrict export of goods, technologies, and related export control technical information that might harm U.S. interests or contribute to the military capabilities of countries whose policies conflict with the U.S. These laws also prohibit sharing of such items or information on U.S. Export controls (and associated sanctions) can impact research especially when there is some form of soil (including institutional campuses) with foreign nationals without a license and with individuals from proprietary or security restrictions impacting the open publication of or access to research results by specifically embargoed countries. Export controls impact research administration; sharing of information; foreign nationals. There are multiple agencies responsible for export controls but three are responsible publishing of results; managing IP; processing visas; hiring of foreign nationals; purchasing, shipping, and for most controls. The International Traffic in Arms Regulations (ITAR), under the auspices of the U.S. utilizing scientific equipment; working with collaborators and colleagues within and outside of the U.S.; Department of State Directorate of Defense Trade Controls (DDTC), control the export and access to academic advancement for non-U.S. students; and traveling outside the U.S. for scientific and educational articles, services, and related technical data related to military items contained in the U.S. Munitions purposes. When export controlled technology is conveyed to a foreign national, even in the U.S., the transfer List (USML); The Export Administration Regulations (EAR), under the auspices of the U.S. Department of technology or source code to a foreign national is “deemed” to be an export to the home country of that of Commerce Bureau of Industry and Security (BIS), control the export of goods and services identified individual. Determining when an export license is needed is complex and should be made by the responsible on the Commodity Control List (CCL) which control “dual use” (commercial items with a potential military official for export controls. In most cases, it is important to also consider who the end user will be. For application); The U.S. Department of Treasury Office of Foreign Assets Control (OFAC) is responsible for example, transfer of an item or technology to a Canadian individual or entity might not be controlled but one economic and trade sanctions making it unlawful to provide anything of value to an individual and entity must be concerned about whether that technology or item will be further transferred to a country of individual named on the Specially Designated Nationals list. from a country for which a direct transfer would be controlled. It can be unlawful to send or take export-controlled information out of the U.S., disclose (orally or visually) Fundamental research is basic and applied research in science and engineering conducted at an or transfer export-controlled information to a foreign person inside or outside the U.S. without proper accredited institution of higher education or higher learning located in the United States where the resulting authorization. Computers are not usually the problem; however, the software or technology on the computer information is ordinarily published and shared broadly within the scientific community and not restricted can be controlled. It is important for researchers conducting controlled work or traveling to foreign countries for proprietary reasons or specific national security reasons or subject to specific U.S. government access and taking equipment, computers or technology abroad to consult with the office at their institution or and dissemination controls. The results of such research are generally excluded from export controls. The company responsible for export controls. Fundamental Research Exclusion (FRE) applies to the flow of information associated with the performance of the research but not to the physical export of controlled items and controlled software and its associated In general, ITAR-controlled information means activities, items, and information related to the design, source code. Executable code is controlled for software subject to the ITAR. development, engineering, manufacturing, production, assembly, testing, repair, maintenance, operation, modification, demilitarization, destruction, processing, or use of items with a capacity for military application Researchers planning to conduct a project that may be subject to export controls should consult the utility. EAR-controlled equipment and technology has a slightly more lenient definition that usually allows responsible official at their university or company for interpretations of these complex laws and to learn how access to and operation of EAR-controlled equipment. Export-controlled information does not include basic to carry out their research project and disseminate results lawfully. marketing information on function or purpose; general system descriptions; or information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges and universities or For more information on export control regulations and the fundamental research exclusion, see UIDP’s information in the public domain. contract accord on this topic available online at 26 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 27Key Points on compliance issues for the institutional r esearcher: It is important to remember that the information you possess has value to your institution. Before you hold any discussions (including informal ones) with an outside party regarding your work and plans to •Knowyourinstitutionalpoliciesandtheresponsibleofficesforcompliance. advance the science, contact the individual(s) in your organization responsible for negotiating SRAs. •Shareinformationwithyourindustrycounterpartabouttheregulatoryenvironmentthatmayimpact Staff in the contracting office can assist by suggesting ways to protect information you disclose, such as timelines and deliverables. completing an NDA. do not sign an nd a without organizational review and approval. In some instances there may be agreements that can block you from publishing work already performed. The maintenance • Bea w arethatthecivil and criminal penaltiesfor violatingexpor t controlla wscanbesignificant andpersonal. of confidential information is in the interest of all parties to an agreement, as it allows corporate partners the ability to obtain outside research assistance without compromising proprietary information, while allowing institutional researchers access to information that would not be otherwise obtainable. VII. COnf IdEnTIAL/PROPRIETARy Inf ORMATIOn (Pu BLICATIOn Issu Es) KeyPointsonConfidential/ProprietaryInformation(PublicationIssues)fortheInstitutionalResearcher One of the most significant areas in which your perspective will differ from that of your industry •BeawarethatInstitutionsseedisseminationofinformationasaprimaryresponsibilitywhileIndustrywill counterpart is in how you treat information. The fundamental culture and behavioral imperatives see protection of proprietary information as critical to its economic success. are diametrically opposed between a university and a company. In an institution, the culture is one •Bepreparedtoexecutesometypeofconfidentialagreementasaprerequisitetoworkingwithindustry of openness and the free flow of information between people on campus and among campuses. In due to the importance to the industry to protect their competitive advantage. a company, certain information is only shared internally or under non-disclosure agreements (NDA) and in some circumstances, some information is sensitive and only shared on a need-to-know basis. •Insurethatyourpublicationrightsareprotectedifapplicable. Institutions see dissemination of information as a primary responsibility. Industry will see protection of proprietary information as critical to its economic success. This can take many forms – non-disclosure agreements (NDA), non-receipt agreement (NRA), and mutual confidential exchange agreement (CEA) – depending on whose information needs to be protected. This is commonly a prerequisite to your sponsored research agreement (SRA). The SRA will either reference the original confidential agreement or may have confidentiality included. It is important that you establish clear communication as to the type of information you need to protect and your responsibility to publish the results of your work if applicable. The type of information that may need protection from public disclosure may include trade secrets; supplier lists; and methods of production, formulas, reports, and results. In most cases, these issues will only be a problem when the two parties do not take the time to adequately address the issue in advance. Check with your sponsored research office for further clarification. When contract language is too broad, it can lead to potential conflict. You can assist your contract negotiators by identifying the information you need to use and the format in which you need it in order to publish your work. Even if you personally are willing to forego publication of the results of your work, most institutional policy prohibits the acceptance of terms in an SRA which restrict publication in any way. Breaches of the contractual agreement in this, or any, area may lead to litigation, loss of grant funds or, at the least, a damaged relationship. Despite the differences in missions, most SRAs incorporate a means for companies to satisfy their need to protect their information and the institution’s need to publish. For example, most SRAs allow the industrial sponsor a period of review where they can excise any sensitive information prior to publication. 28 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 29VIII. COnsu LTIng/Ou TsIdE ACTIVITy•Engagementinoutsideactivities,conflictofcommitment,andconflictofinterest •IPandcopyright overview •Useofinstitutionalresourcesandfacilities Consulting activities to meet the needs of your industrial partners can mutually benefit both your •Procurementofgoodsandservices institution and your potential industrial sponsors. Many institutions encourage and support their employees consulting with corporate partners as a means to deepen and broaden their professional Similarly, be aware of the federal and state regulations, such as those addressing: expertise, enhance their teaching skills, and promote economic growth and development in their states and communities. Conversely, consulting with institutional researchers benefits corporate partners and •Researchobjectivity ensures access to a broad range of specialized expertise and problem-solving skills ready to be applied to •Financialconflictofinterest industry-specific projects. Moreover, most institutions acknowledge that for corporate partners, consulting is an efficient and practical way to promote, establish, and sustain long-term collaborative relationships •Effortreporting that may lead to new sources of industrial- and joint-industrial/federal-sponsored research funding. After •ExportcontrolandOfficeofForeignAssetsControl(OFAC)sanctions(consultingforinternational sponsored projects are completed, consulting offers a way to maintain and nurture working relationships organizations) that might lead to future ideas for sponsored research and provide a pipeline for student transition into the workforce. •Institutionalconflictofinterest Because of their primary responsibility to their institutions and the differences inherent to institutions As consulting often involves sharing of confidential infor mation with the corporate partner, you should and industry, institutional researchers and their industry counterparts are often uncertain about their keep in mind that states have adopted open records laws. Therefore, in your role as a consultant, you obligations to their respective organizations. This chapter provides guidelines to consider as faculty should be careful not to store a corporate partner’s confidential and sensitive information on computers engage in contractual agreements with industrial partners. and servers owned by the institution. consulting for outside entities Planning You may be contracted by outside organizations to provide professional services as a consultant. When Prior to engaging in consulting work, you and your industry partner should hold a conversation to considering these opportunities, you should examine the consulting agreement and ensure that its terms determine the needs of the project and the scope of the work. A clearly defined SOW should ensure that and conditions do not interfere with your contractual obligations to your primary employer. In this regard, the consulting project is well contained and does not overlap with other consulting work or sponsored consider the following questions: projects that are conducted under the your supervision. The terms and conditions of the consulting agreements should be such that the work can be completed with your personal resources and not with •Willconsultinginterferewithyourperformanceofprimarydutiesand/orresponsibilitiesasanemployee institutional resources. In some cases, institutional resources may be used under separate research and of a research institution? testing agreements or through the use of recharge centers. In practice, it is always important to maintain •Isconsultingcompatiblewiththeinterestsandmissionofyourinstitution? a clear separation between institutional projects and consulting projects by having well-defined SOWs and lists of deliverables, and by maintaining separate notebooks and project records for each project. •Willyourconsultingrequireanyuseofinstitutionalresourcesandinfrastructure(e.g.,facilities, laboratories, equipment, students, or other employees)? As a general rule, you must never use undergraduate or graduate students, other trainees, and staff members under your supervision to fulfill consulting obligations. You should also consider the roles In most cases, you will need to obtain prior approval to participate in outside consulting activities from and responsibilities of all the people involved in the project, equipment needed, budgeting and billing, an appropriate administrative official. However, some professional activities such as lectures, talks, IP , restrictions on publications, security clearances, and storage of confidential information in the and presentations at other institutions and non-profit organizations; service on review panels for federal consulting agreement. agencies; and service as reviewers for academic journals are not usually considered consulting activities and do not normally require prior approval. consulting for an employee-owned company Prior to engaging in consulting activities, you should familiarize yourself with the institutional policies A special case of consulting for outside entities is the case when you consult or serve as an officer or governing engagement in outside activities such as those on: agent for you own company or a company in which an ownership stake or other financial interest is a part of the consulting scenario. In these particular cases, the institution may determine that there is a 30 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 31potential for a real or apparent financial conflict of interest. Under those circumstances, the institution eliminate or manage the conflict when directed, may be grounds for disciplinary action up to, and may manage the conflict of interest by setting up a management plan, or, in cases when management is including, discharge or termination. Please consult your Office of Research for more information on your not possible, require that the conflict be eliminated. The management plan will include provisions that institution’s conflict of interest (COI) policies and procedures. will help mitigate the impact of the outside activities on your institutional duties, IP , technology transfer and disclosure, research integrity and students/trainees, and the use of institutional facilities.KeyPointsonConsulting/OutsideActivityfortheInstitutionalResearcher •Learnyourinstitution’srulesforoutsideconsultingandconflictofinterest. r esponsibility for Private Professional services •Establishanon-disclosureagreementbeforeenteringintodiscussions. An institution is not responsible for private professional services performed by its employees. The •Beawareofconfidentialityrequirements. name of the institution must not be connected with the services rendered or the results obtained by any employee acting as a private contractor. You must clearly indicate that your consulting work is •BefamiliarwithyourIPrights. personal and neither represents nor provides the institution’s position or opinion in regards to the •Understandyourpublicationrights. contracted services. In your role as a consultant, you should not use any official materials or services from the institution. intellectual Property (iP) Consulting agreements may include contractual obligations regarding IP and copyrights resulting from services provided during the consulting period. The terms should be reviewed by appropriate Ix. InTELLECTuAL PROPERTy COnCERns administrators to make sure that they do not conflict with your institution’s policy on IP . Issues to consider include: When entering into a sponsored research relationship, both parties should consider any existing related IP that may be owned by either party and how such is being protected (i.e., patents, copyrights, trade •YourobligationtotheinstitutionwiththeprovisionsofinstitutionalIPpolicytakingprecedenceover secret). This is typically referred to as background intellectual property (BIP). Engage your Technology consulting arrangements with a third party; Transfer Office (TTO) staff if any BIP is to be used. Staff in this office is best suited to determine the •Theneedtomaintainadetaileddisclosureofdiscoveriesandinventionsthataretheresultofconsulting need to negotiate commercial or research licenses within an SRA. activities and which may have commercial value and/or utility; •Adherencetoinstitutionalpolicies/guidelinesfortheestablishmentandownershipofinventions, During the course of the sponsored research project, entirely new IP (commonly referred to as foreground discoveries, and copyrighted materials. intellectual property) may be generated that will need to be protected. The SRA should contain provisions for who will have assignment for and own the IP , who will obtain protection for the IP and pay for the conflicts of interest filing costs, and whether or not the industry sponsor will obtain any rights to the IP . Typically, IP follows the inventorship, i.e., if the institution invents it they own it, if the corporate PI invents it the corporation You should avoid influencing or making use of institutional and administrative resources or influences owns it, and if the IP is jointly invented then it is jointly owned. In sponsored research this can become in such a way that could lead to your personal financial gain or advantage, including benefit, financial or complicated, so it is critical to work with the TTO prior to beginning work. TTO staff is familiar with otherwise, accruing to your family members or your business. standard practices. Moreover, they may have worked with the sponsor in the past and thus understand sponsor concerns and business practices. In some instances, you may be required to disclose whether or not you have had any consulting activity with a company when accepting research funding at your institution. Federal regulations require that all Typically, the SRA will grant the sponsor an option to negotiate an exclusive or non-exclusive license investigators responsible for the design, conduct, or reporting on a project/program supported by funds agreement. In this case, the SRA should take care to define the terms of the option, i.e., length of from some agencies (e.g., Public Health Service, National Science Foundation) disclose financial interests time, method of exercising the option, and any fees associated with the option and/or license. It is over a certain threshold (currently more than 5% ownership interest in, and/or more than 10,000 in also common to agree to grant the sponsor a non-exclusive license to the IP for their continued internal compensation from) an entity that might be in some way related to, or may lead to real or apparent bias in research use. the design, conduct, or reporting of the work performed under the sponsored project/program. You should disclose actual or potential conflicts of interest as soon as you become aware of the existence of those conflicts. Failure to disclose a conflict of interest/commitment, or failure to 32 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 33Key Points on intellectual Property concerns for the institutional r esearcher•PlanningandStructuringCollaborativeArrangements:Boththecollaborativeresearchagreementand institutional policy must be consistent with each other with clearly defined roles and responsibilities of •CoordinatewithTTOstafftoidentifyanyBIPrequiredfortheresearchproject. each of the parties. As discussed in the previous section, a reasonable agreement protects pre-existing •SpecifywithintheSRAanyBIPandanyanticipatednewIP(foregroundIP)asaresultoftheresearch knowledge while managing new knowledge arising from follow-on research. This activity prevents any project. misunderstandings that can jeopardize relationships, preventing future collaborations. •MakecertaintheSRAidentifieswhichpartyisresponsibleforprotectingnewIPandtheassociated Key Points on creating l ong-term r elationships for the institutional r esearcher costs of protecting and maintaining it. •Identifywhyyouarecollaboratingwithindustryontheproject.Howdoesthisprojectfitwithcurrentor •InformbothTTOstaffandyourindustrysponsorofyourplansfortheresearchresults.Doingsoearly future research plans within your department or institution? If you are pursuing a collaborative research will help address any concerns or conflicts that may arise. Plans may include future publications, project for funding only, you may find yourself with a one-time project that may require more time and conference presentations, or internal use of the existing and new IP and any patent filings. effort than you expected. Conversely, if your institution has successfully worked with a company in the past, this may positively facilitate your deliberations. •Takethetimetoselecttheappropriateindustrypartner,i.e.,therightfitbetweenyourorganization’s research interests and plans and theirs. Determine whether the industry partner is financially stable, well managed, and/or has a plan to use the research results. x. CREATIng L Ong-T ERM RELATIOnsh IPs t he l ong-term Perspective for effective institutional-industrial Partnering Developing a genuine collaborative relationship requires a strategic, long-term arrangement. In institutional- industrial collaborations, each party’s output is critical to the success or failure of the mutual arrangement. As such, institutional administration can find itself applying very different criteria, financing mechanisms, and expected outcomes to such arrangements. Although one-time projects may be possible and at times desirable, they are disposed to take a similar amount of time as that in setting up a long-term relationship. Initial negotiations tend to take the same amount of time no matter what the arrangement. Successful arrangements with industry require commitment and a long-term perspective concerned with building collaborations and infrastructure, not completing a one-time project. A long-term perspective means a continuum of commitment and involvement by each of the parties. It also means making hard choices about time, resources, and relationships. Three key factors for successful institutional-industrial collaborative arrangements include: •LongevityoftheCollaboration:Thereisstrongevidencethat,overtime,thebenefitsofinstitutional- industrial collaborations go beyond initial expectations, resulting in new initiatives, programs, and perhaps even spin-off companies. Thus, the long-term benefits or local impact of institutional-industrial collaboration can be more beneficial than the specific project goals set by the parties. •SelectingtheRightPartners:Evaluationandselectionofanappropriatepartnerisacriticalstep towards creating successful institutional-industrial collaborations. Selecting the wrong partner can result in a lost opportunity after considerable time, effort, and funds have been used to support a collaboration that is not working. The right choice creates a success story; the wrong choice calls into question the decisions made and may result in negative publicity. Get to know your potential partner. Understand their business model. For example, what are their products and who are their customers and markets? Can you propose something of mutual value for the potential research project? 34 FOR THE INSTITUTIONAL RESEARCHER FOR THE INSTITUTIONAL RESEARCHER 35For the Industrial Researcher This portion of the guidebook is designed for the industrial researcher, sometimes referred to as the industry PI (Primary Investigator), who is new to collaborating with institutions. We begin the discussion in the Industrial Researcher Guidebook with Managing Expectations. This section lays the foundation for productive institutional-industrial collaboration by providing an overview of differing organizational environments and by discussing issues unique to such research collaborations. Each party comes to the collaborative project with different expectations, organizational cultures, motivations, and experiences. The differences in the missions between the institutional and industry environments must be navigated in order to establish a successful relationship. The core mission of the university is education, related creation and dissemination of knowledge, and outreach. National laboratories provide fundamental science and scientific solutions to the nation’s most pressing problems. On the other hand, the core mission of industry is to create value for investors, provide useful goods and services, and expand the state of the art in a product or service. Successful external collaborations are expected to satisfy this mission by providing compelling benefits and return of investment (ROI) for specific issues in exchange for funding. I. MAnAgIng Ex PECTATIOns This section is focused on areas you should research (1) before engaging with an institutional colleague in earnest; (2) when you have identified a potential institutional colleague; and (3) when you have moved to discussions of a specific project. Preparing for institutional engagement It is important at this stage to gain a good understanding of the processes and policies that your corporation has in place to manage industry-sponsored research. Here are a few key questions to address. •What kind of information will you be sharing? Before you start engaging an institutional PI (Primary Investigator), consider whether you will be sharing confidential corporate information in the process of developing and implementing institutional-industrial collaboration. A confidentiality agreement between both parties is necessary to cover the discussions preceding the sponsored research project contract negotiations and during the project itself. FOR THE INDUSTRIAL RESEARCHER 37•How does your organization handle sponsored research? Note also in the process of establishing a sponsored research project with an institution, the staff in the institution’s contracting office may generate a report with your organization’s name and the project title that Every corporation is different. Larger organizations tend to have departments that facilitate sponsored circulates throughout the institution for informational purposes or promoted externally via annual reports research projects while smaller ones may not. Determine what organizational resources are available to or websites. In some cases, this may increase your exposure to your competitors since this information is help you identify an appropriate institution to collaborate with and to work through the requisite confidentiality now public. You may not want your competitors to know the exact nature of your proposed research with the agreements and contracts. Contact your lab director or department manager to identify the individual or institution, so you should consider an appropriately generic project title. department responsible for this area. Staff in those departments should also indicate the steps to follow in order to get a project approved. If management personnel or colleagues do not know the individual or •Does your organization have contract templates it prefers to use? department responsible for this area, study your corporate organization, searching with key words such as university relations, external technology, external relations, partnerships, contracts, intellectual property, etc. Many corporations will have templates for work for hire at another industry or with commercial suppliers. However, these will be significantly different than contract templates for sponsored research with If no formal department within your organization coordinates institutional research, then you will need to find institutions. In most cases, the institutional partner will not be able to accept what you normally consider a key stakeholder from your technical management as well as the responsible people in your contracts and to be commercially reasonable terms. Adjustments will likely need to be made to your supplier template. legal staff to assist you in the process. These internal stakeholders should have a strong interest in the On the other hand, if your organization is accustomed to dealing with institutions, your contract templates project and the expertise to work through the differing organizational expectations of the parties to achieve will most likely cover the IP (Intellectual Property), publication, and other contractual provisions that the concordance with staff in the institutional contracting office. institution will require. To get things moving, find the responsible individual in the contracting office at the institution and start a dialogue so that legal and contracts staff will not be surprised by the terms presented You will need to determine who can sign for a collaborative research project. Smaller corporate entities are to them. You and your corporation’s contracts office should begin these discussions while technical typically more agile and quick in decision-making and have a shorter chain of command than larger ones. In discussions are proceeding so as not to derail progress in contractual negotiations. If you do not have the larger organizations, it is typical to have multiple layers of sign-off authority depending on the amount of the contact with the institutional contracts group, try searching for the institutional technology development or contract, so it is important for you to understand whose signatures you will need to approve the contracts transfer office, or ask your institutional PI who is responsible for contract negotiation in their institution. and to explain to your institutional partner that this multi-level process may need to take place. Be aware that typically the institutional PI does not have responsibility for negotiating contracts or budget terms. You can ask the institutional contracts department to provide the institution’s template for industry- •Does your organization have strategic areas it wishes to pursue externally? sponsored research as a starting point for negotiations or consider using the turbo negotiator developed by the UIDP (University-Industry Demonstration Partnership). Before approaching institutions as potential collaborators, you need to determine whether your project idea fits within the greater strategic mission of your organization. Your senior management, a technology review once you have identifi ed a Potential institutional r esearcher board, or the like, will help you determine the viability of your project. This preliminary planning will help ensure that the approval process proceeds smoothly later on. At this stage, you should determine whether your corporation has an existing relationship with the institution. The contractual process is accelerated if your corporation has this, as well as experience with •Will your organization allow the project title and results to be published? industry-sponsored research on the whole. Many institutions will sign master agreements with industries they frequently work with, or they may have an agreement template that has already been negotiated. The primary mission of institutional partners is to educate and disseminate information to improve scientific understanding or to provide fundamental science and scientific solutions. While your organization should • Does your organization have an existing relationship, master confidentiality agreement, or master contract be able to review a publication for potential patentable inventions or to identify and excise confidential with the institution? information that may have been provided to the institutional researcher, you will not be able to control the ability to publish or not, since this is a core mission of the institution. This issue is especially important Your contracts office can provide that information; alternatively, you can ask your institutional contact if they if graduate students (and sometimes undergraduates) or postdoctoral associates are involved in the have had agreements with your company in the past. They may also be able to indicate how negotiations research since their graduation will rely on disclosing information gathered during their studies. Institutions with that institution have gone in the past or what issues are really important to them. Some corporations are increasingly willing to accept some kind of delay in or restriction on publication, but they must do so use the ease of negotiations in their metrics for evaluating the success of the collaboration. You can speed while maintaining and supporting their primary mission of educating students and improving scientific up negotiations, or pick an alternative institution, if you know how your corporation feels about the institution understanding. When you ask for this type of control over dissemination of knowledge, it can impact the prior to detailed discussions with the institutional PI, and improve your time management. makeup of the research team (e.g., should graduate students be working on your project, and when sensitive information is excised from a thesis without compromising the thesis) or require additional approvals before the contract is put in place. 38 FOR THE INDUSTRIAL RESEARCHER FOR THE INDUSTRIAL RESEARCHER 39

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