1. February 25, 2014 SERIES 4, SESSION 2 OF AAPLS APPLICANTS & ADMINISTRATORS PREAWARD LUNCHEON SERIES Material Transfer and Confidentiality Agreements

2. Introducing OTL&IC – Tufts Tech Transfer Office for Technology Licensing and Industry Collaboration – Tech Transfer (Techtransfer.tufts.edu) Tech Transfer is part of the Office of the Vice Provost for Research Guest speaker – Nina Green, Director x60360 or nina.green@tufts.edunina.green@tufts.edu

3. Building relationships with faculty inventors Invention triage and IP management expertise Core research support through industry sponsored agreements and MTAs 80+ cumulative years experience in technology transfer Outreach with industry partners and licensees Track record of productivity and high performance statistics Mission Catalyze the transfer of Tufts technologies for global public benefit Protect Tufts innovations to enhance their value in the marketplace Foster innovation by generating an income stream that supports research at Tufts Tufts Tech Transfer

4. License negotiations (10%) Inventor outreach/ IP management (30%) Start-up efforts (15%) Research agreements (25%) Market outreach (20%) Business Development Activities

5. Tufts Tech Transfer has an established track record of intellectual property licensing and start-up company formation During FY2003-2012 Tufts Tech Transfer executed approximately 185 licenses/option agreements Majority of these agreements are with small enterprises and start-up companies Twenty-Four start-up companies established during this time Start-up companies are a crucial component of the innovation ecosystem Tufts Tech Transfer

6. Commercialization Process Invention disclosure form submitted Triage & prior art analysis Market Analysis Decide Strategy Market to company Hold for more research or give invention back to PI Market to existing company Market to start-up

7. Tufts Technologies & Start-ups  Pharmaceuticals  Screening Arrays  Biomaterials

8. Material Transfer Agreements (MTAs) The transfer of materials is an important component of today’s research in the biological sciences Biological materials can be patented and licensed for commercial purposes More frequently Tufts Tech Transfer will license biological materials (cell lines, enzymes, vectors, etc.) for commercial purposes without patent protection Tufts Tech Transfer can assist investigators who wish to transfer or receive materials from academic or industry colleagues

9. Academic MTAs Outgoing Materials Tufts Tech Transfer encourages investigators to use the NIH- recommended simple letter agreement to cover the transfer of unpatented Tufts materials to academic/non-profit labs Tufts Tech Transfer does not sign the simple letter agreement and need not be involved in these transfers A simple letter agreement may not be appropriate if:  The materials were developed using materials or funds provided by a for-profit institution  The materials are patented or are licensed to a commercial entity Incoming Materials All material transfer agreements covering materials to be received by Tufts investigators must be reviewed and signed by OTL&IC to ensure that the provisions contained are consistent with the university’s policies

10. Industry MTAs Outgoing Materials Companies interested in receiving materials are required to obtain a license from the university Investigators should notify Tufts Tech Transfer of any companies requesting their materials so that Tufts Tech Transfer may negotiate appropriate licensing arrangements Incoming Materials Tufts Tech Transfer must review (and usually negotiate) all MTAs for materials provided by for-profit groups Many of these MTAs contain intellectual property provisions that could be onerous to the recipient or are inconsistent with federal or University policies

11. Key MTA Provisions Definition of Material and Ownership  Provider maintains ownership of original material, recipient owns modifications and derivatives  Provider may be granted first right to an option agreement for any new inventions resulting from use of the material Publication Requirements  Maximum of 90 days (30 preferred) for provider to review any pending publications involving the material  Provider should only be included as an author if there has been true collaboration

12. MTA Decision Tree IncomingOutgoing Commercial recipient? Contains patented material? Developed w/ commercial resources? Existing license? No Yes Agreement from provider institution; Tech Transfer reviews Simple Letter Agreement may be used; no need for Tech Transfer involvement Contact Tech Transfer

13. Confidential Disclosure Agreement A Confidential Disclosure Agreement (CDA) is a contract between a party who is disclosing confidential information and another party who is receiving that information The CDA specifies the receiving party will protect and use the information. Need for Confidential Disclosure Agreement:  Alerts the receiving party to the confidentiality of the information to be received  Specifies the responsibilities required of the receiving party  Can be used as evidence in subsequent patent processing

14. Key CDA Provisions Direction of information flow  Is the CDA one-way or mutual? Term and expiration  Typical CDAs requires information be maintained in confidence for 5 years  Longer or shorter terms may present concerns

15. Tech Transfer Contact Info for Agreements Material Transfer Simple Letter Agreement  http://techtransfer.tufts.edu/wp- content/uploads/2012/11/Simple_Letter_Agreement.doc http://techtransfer.tufts.edu/wp- content/uploads/2012/11/Simple_Letter_Agreement.doc Lee Tien, Ph.D., Licensing Associate  lee.tien@tufts.edu lee.tien@tufts.edu  mta@tufts.edu mta@tufts.edu