1. Industrial Affiliates Programs ABC Stanford University May 9, 2007

2. Agenda  Definitions and distinctions Handling the money Handling the money Membership agreements Membership agreements Establishing new programs, reviewing them all Establishing new programs, reviewing them all Provisions for Visitors Provisions for Visitors Some suggestions Some suggestions

3. University Policy > http://www.stanford.edu/dept/DoR/rph/10-5.html > See http://www.stanford.edu/dept/DoR/rph/10-5.html The central principles that apply to all Industrial Affiliate programs at Stanford include: 1.promotion of openness in research results; 2.enrichment of students' and postdocs' educational experience; 3.maintenance of the University's role as a credible and impartial resource; 4.protection of faculty members' right to pursue research topics and methodology of their choice; and 5.conformance to the University's primary mission of teaching and research.

4. Definitions Sponsored projects Sponsored projects Externally-funded activities in which a formal written agreement, such as a grant or contract, is executed by Stanford University and the sponsor. A sponsored project typically is a transaction with a specified statement of work and with a reciprocal transfer of something of value to the sponsor. Gifts Gifts Funds or other items of value given to the University by a donor who expects nothing significant of value in return, other than recognition and disposition of the gift in accordance with the donor's intent. Affiliate programs Affiliate programs Corporate membership programs in which members pay a defined fee (usually annual) to programs in which they are interested, and, in exchange, receive facilitated access to those research programs and to participating faculty and students.

5. Sponsored Project Characteristics – Statements of work – Project budgets – Start/stop dates – Deliverables, if any – 1-to-1 relationship * YES?NO? Sponsored projectsGifts/Affiliate programs * Projects typically have a sponsor and a PI.

6. Affiliate Program Characteristics – Defined membership benefits – Standard fees, usually annual – Memberships available to all interested companies – Several-to-several relationship * YES?NO? Affiliate ProgramGifts or other income * Several companies support work being done in a research area

7. Affiliate Program Membership Benefits Facilitated interaction with the research program Invitations to annual meetings/workshops Invitations to annual meetings/workshops Faculty liaison Faculty liaison Student recruitment opportunities Student recruitment opportunities Copies of reports and publications Copies of reports and publications Campus visits Campus visits

8. Stanford Accounting Corporate gifts - New accounts set up in Fund Accounting - Gifts processed through OOD (Gift Accounting) - Infrastructure charge applied as funds are spent - “Unrestricted funds”* - Accounted for as gifts  Affiliate programs - New programs approved by Industrial Contracts Office - New accounts set up in Fund Accounting - Fees processed through OOD (Gift Accounting) - Infrastructure charge applied as funds are received - “Unrestricted funds” * - Accounted for as revenue * Funds must be used as the donor intends or in support of program described by affiliate membership.

9. M embership Agreements What can we offer? a relationship a relationship facilitated access to researchers, students, information facilitated access to researchers, students, information a “DMZ” where companies can talk with Stanford researchers a “DMZ” where companies can talk with Stanford researchers What can’t we offer? IP rights that exceed what we’d offer non-members IP rights that exceed what we’d offer non-members Exclusive access to research results Exclusive access to research results Exclusive membership (voting whether new members can join) Exclusive membership (voting whether new members can join) “Deliverables” “Deliverables” Closed meetings Closed meetings

10. Membership Agreements Not necessary, but … If you use one, try one of our standard agreements: http://www.stanford.edu/group/ICO/forms/ Consider language making agreement automatically renewable upon annual payment. Consider language making agreement automatically renewable upon annual payment.

11. Who signs? 1.Industrial Affiliate Director may sign 2.Industrial Contract Office signs 3.Cognizant Dean from the School

12. ICO Reviews All New and Existing Industrial Affiliates Programs What to Send:   Copy of Agreement, if any, and   Request for Approval of Industrial Affiliates Program http://www.stanford.edu/dept/DoR/rph/rph_pdf/ia_memoA.pdf

14. Send to Sally O’Neil : FAX - 725-7295 Email - sally.oneil@stanford.edu ID Mail - Sally O’Neil 1705 El Camino Real, MC 1850 Palo Alto, CA 94306

15. ICO Review Stanford policies for Industrial Affiliates http://www.stanford.edu/dept/DoR/rph/10-5.html

16. ICO REVIEW Website publicizing the program? Website publicizing the program? Numbers of companies and faculty? Numbers of companies and faculty? Intellectual Property provisions, if any? Intellectual Property provisions, if any?

17. Summary for linking to Affiliate web sites > Use http://www.stanford.edu/dept/DoR/rph/ia_context.html Stanford University's policies guide the teaching and research mission of the university, including all activities conducted with the support of Industrial Affiliate programs. The following are some of the important considerations for Industrial Affiliate programs at Stanford. (a) Stanford University does not permit secrecy in research, i.e., all interested persons will have access to the underlying data, the processes and the results of research conducted at Stanford; (b) Teaching and research at Stanford are guided by its faculty who select research topics, adopt research methodology, and select participants;

18. Summary (continued) (c) Stanford has established procedures for visitors who wish to collaborate on research conducted at Stanford. If member companies choose to send representatives to Stanford for this purpose, those policies and procedures will be applicable, in addition to any particular fees or other arrangements required by the Affiliate program; (d) Stanford's intellectual property policies are applied consistently to all research conducted at Stanford. No license or other intellectual property rights will be granted as a result of membership in the program. Unless required otherwise, individuals at Stanford are free to place their inventions in the public domain. (e) Affiliate membership does not convey specific project deliverables, nor are membership fees subject to Stanford University’s negotiated indirect cost rates. Affiliate membership fees are for the unrestricted use of the program being supported. Stanford University will use a portion of all membership fees for university infrastructure.

19. ICO signs and sends approved form to: Cognizant School Dean Cognizant School Dean Fund Accounting Fund Accounting (for new Affiliate account set up) (for new Affiliate account set up) Affiliate Program contact Affiliate Program contact

20. Recent New Programs 1. Fuel Cells Consortium 2. Clean Slate 3. Stanford Pervasive Parallelism Lab. Underway: Center for Probing the Nanoscale

21. When Corporate Researchers Come to Campus Some programs permit members to send a “visiting scientist” Some programs permit members to send a “visiting scientist” Visitor remains employee of, and is paid by, his/her company Visitor remains employee of, and is paid by, his/her company Typically requires an additional fee to lab Typically requires an additional fee to lab Department can sponsor a SUNet ID Department can sponsor a SUNet ID Visitor must sign IP agreement with Stanford Visitor must sign IP agreement with Stanford

22. SU-18A All potentially patentable inventions produced at Stanford are disclosed to Stanford’s OTL. All potentially patentable inventions produced at Stanford are disclosed to Stanford’s OTL. Ownership of such inventions will be co- assigned to Stanford and the employer. Ownership of such inventions will be co- assigned to Stanford and the employer. See: See: http://www.stanford.edu/dept/DoR/rph/su18A.html Department sends signed SU-18A agreements to the Office of Technology Licensing (OTL)

23. When does the SU-18A apply? When the Visitor is not paid by Stanford and: 1. Participates in research projects here, OR 2. Makes “more than incidental use” of University resources.

24. Coming soon … A website with Affiliates information, links and contacts useful to Stanford and non-Stanford people, standard agreements A website with Affiliates information, links and contacts useful to Stanford and non-Stanford people, standard agreements “Click and Join” memberships? “Click and Join” memberships? Annual meeting for affiliates directors and administrators Annual meeting for affiliates directors and administrators

25. Questions? Ann George, Asst Dean of Research/Graduate Policy anngeo@stanford.edu Sally O’Neil, Manager, Industrial Contracts Office sally.oneil@stanford.edu Neil Morimoto, Senior Contract Officer neil.morimoto@stanford.edu