The University of Connecticut is committed to maintaining the highest ethical standards in the performance, reporting, reviewing and proposing of research and scholarly activity.  To this end, it is the responsibility of all faculty, staff, students, trainees and visiting scientists to refrain from and prevent research misconduct.

Research misconduct means fabrication, falsification, or plagiarism in proposing, performing or reviewing research, or in reporting research results.

• Fabrication is making up data or results and recording or reporting them.
• Falsification is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
• Plagiarism is the appropriation of another person’s ideas, processes, results or words without giving appropriate credit. Authorship disputes are not defined as plagiarism in this policy.

Research misconduct does not include honest errors or differences of opinion.

It is also the responsibility of the research community to report suspected incidents of research misconduct.

Policies

Policy on Alleged Misconduct in Research

Non-Retaliation Policy

Reporting Research Concerns

All concerns related to human research, animal research, conflict of interest, research misconduct, research financial accounting, research safety or other research compliance matters should be reported by calling Research Integrity & Compliance at 860-679-2230, Office of University Compliance at 860-486-2530, or the specific area.

Concerns can also be reported anonymously through the REPORTLINE by calling a toll-free number at (888) 685-2637 or via the REPORTLINE website. The REPORTLINE is available 24 hours a day, 365 days a year operated by a private (non-UConn) company. You may contact the hotline to report a concern without giving your name. You will be able to re-contact the REPORTLINE to track your report to provide further information at a later date or to obtain general updates about the status of your concern.

The University welcomes and encourages good-faith reporting. As such, individuals who submit a report or participate in a compliance investigation in good faith are provided protection from retaliation per the University’s Non-Retaliation Policy.

Additional information on reporting concerns can be found at the Office of University Compliance website..pdf

Resources

The following is a list of videos on research misconduct and integrity from the US Office of Research Integrity.

The Lab, Avoiding Research Misconduct – In this interactive movie, you can choose an alter-ego and become a graduate student, post doc, PI or RIO, and make decisions facing you in a case of data falsification. Decisions that can have long-term consequences on your career. The movie addresses topics such as avoiding research misconduct, mentorship, data stewardship, authorship, and more. The movie has versions in English, Spanish and Chinese.

The Research Clinic – In this movie, you can become a PI, a clinical research coordinator, a research assistant, or an institutional review board (IRB) chair, and make decisions that protect research subjects and avoid research misconduct.

• UConn Available Technologies
• Internal Funding Support
• Connecticut Innovations
• UConn Innovation Fund
• Technology Incubation Program
• Entrepreneurship at UConn

Open Source – External Resources & Tools

General Information

What is Open Source?

Open Source Licenses

Overview of Standard/Popular Licenses

• z.umn.edu/stdOSS
• opensource.org/licenses

Generally Accepted Licenses

Open Source License Selection

Choosing an Appropriate License

License Differentiator – Interactive License Selection Tool

Tabular Comparison of License Terms

Software Licenses in Plain English

License Compatibility

• z.umn.edu/stdOSS  (scroll to bottom section)
• dwheeler.com/essays/floss-license-slide.pdf

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A startup is a new business entity formed to commercialize one or more related intellectual properties. Forming a startup business is an alternative to licensing the IP to an established business.  There are several factors you should consider to determine if a startup is viable path. Examples include:

• Idea-Team-Plan Trifecta.  A successful start-up evolves around three key ingredients:  (1) a new idea, supported by initial data, (2) an experienced team to develop and deliver technical and business goals, and (3) a business plan that serves as a road map.
• Not every great idea needs to be a company.  Consider alternative paths, such as partnership, co-development, licensing, and more.
• Execution Risk.  While having a new idea is necessary for creating a startup, it is not sufficient for its success. It requires focused team-work, and willingness to take in advice and to pivot when necessary.
• Competition and Collaboration.  Two key elements to be fully aware of and respond to with a dynamic approach.
• Funding.  How much capital is required to deliver various milestones, what sources to pursue, and Return on Investment (ROI)?
• Market Size and Dynamic.  Is the market large enough and is it a stable, shrinking or expanding market?
• Revenue and Exit.  What is the revenue projection and potential key opportunities for exit?

TCS Venture Development can help to determine if a startup company is viable, and will advise on other key issues relating to starting a company. The choice to establish a new company for commercializing intellectual property is a joint decision made by TCS and the inventors. If a new business startup is chosen as the preferred commercialization path, TCS can assist you and the other founders in meeting investors, consultants and entrepreneurs and accessing other resources at UConn to advise you in founding the company. It is advisable for inventors to have agreements regarding their roles with the startup reviewed by their own counsel to ensure that all personal ramifications – including taxation and liabilities – are clearly understood.

The general process for the selection of potential technologies for a university startup includes a review of inventions based on criteria such as:

• Technology novelty, supported with initial data
• The market size
• The technology can be adequately protected through patents, copyright or trademark to create barriers that make market entry difficult for competitors.
• The technology is scalable.
• The estimate of the net present value of the return (less the costs of getting the business going) is much greater than the value that can be obtained by executing a typical license with an existing company.
• Is a prototype/proof of concept available?
• Do the inventors have a reasonable understanding of what is required to build a business, and what their roles may be?
• Does the business model have a visible path to profitability?
• Are the initial management and financing needs reasonably clear?

TCS Assistance:

• Early stage involvement. TCS Venture Development staff is actively involved in the early stages of the company formation and work with their network of professionals to develop a business plan and find initial management, space and other critical elements. In some cases, the advisors and Executives In Residence (EIRs) may take on interim management roles to facilitate the accomplishments of key milestones, such as drafting a business plan, meeting with venture capital firms or angel investors to obtain funding and assisting with a liquidity event.
• Business/financing assistance.  TCS Venture Development staff can provide business help and/or financing advice.  We have several programs for assisting in market research, business planning and the set-up of new companies including a business incubator that offers space and business services and the Business School’s Innovation Accelerator where MBA students and faculty undertake semester-long projects.
• Connections with industry partners.  TCS Venture Development helps to connect researchers and industry partners.  We strive to connect external entrepreneurs and businesses with collaborators within a university or to identify resources that will help them advance their technologies and business interests. Many opportunities to create mutually beneficial projects between university researchers and regional tech entrepreneurs can be initiated thanks to this ability to efficiently connect.
  • TCS serves in a liaison role.  External businesses and entrepreneurs are invited to contact TCS Venture Development staff and discuss their initiatives, needs, goals and objectives. TCS works with these clients to understand the key issues and to determine if there are opportunities to develop mutually beneficial working relationships and projects. Venture Development staff can provide business help and/or financing advice.
  • Establishes projects that advance businesses toward commercial success.  These projects are selected to align with UConn research interests, such that as early-stage companies achieve success, they are well positioned to strengthen their collaborations with UConn researchers. These projects are also selected based on the ability to generate positive economic development outcomes in the region. Typical engagements include market research projects on behalf of small firms who are applying for SBIR grants that, if successful, will lead to opportunities to engage UConn researchers and their graduate students on larger development programs. UConn faculty who are interested in reaching out to small technology businesses in the state are encouraged to contact TCS.
• Incubator program. UConn’s Technology Incubation Program (“TIP”) is part of TCS.  TIP offers new companies that have a technology linkage or synergistic relationship with UConn the ability to be located on campus and access resources that could be otherwise unattainable for a fledgling company. TCS supports the incubation process offering lab and office facilities on campus, business-planning resources, and access to faculty experts, expensive instrumentation and specialized equipment. In some cases TCS clients are working with UConn technology and others have their own intellectual property.  TIP provides the following services to startup companies:
  • Investment Network – Access to various sources of capital available within CT and other locations, through direct introduction, office-hours with investors and public and private events.
  • Library and Computer Network – Access to UConn Libraries, the largest public research collection in the state. The University of Connecticut Libraries provide users with intellectual content that fulfills their academic and research needs through electronic and physical access.
  • Equipment/Instrumentation – Some of the departments and faculty have large and expensive specialized items of equipment. TCS’s incubator helps negotiate agreements between the relevant faculty and the company, given that time is available on the instrument and client employees have been properly trained.
  • Business Support – Through a network of service providers and advisors, TIP provides a variety of business consultants including accountants, lawyers and subject matter experts to help with issues important to startup companies. TCS staff can support business plan development and financial planning. TCS organizes educational and networking events to promote collaboration among faculty and company scientists, to provide exposure to experienced entrepreneurs and entrepreneurial resources, and to assist through connections with advisors and mentors. Through the School of Business, TIP can arrange access to knowledgeable faculty and students able to conduct business development projects for emerging companies. Learn about our TIP program.

For additional resources to help you start your business, see our Startup Guidebook.

Once a faculty discovery has been patented, that’s not the end of the line!  The next step is to find an industry partner who would like to license the technology.

Marketing a technology:

TCS uses many sources and strategies to identify potential licensees and market inventions. Sometimes existing relationships of the inventors, TCS and other researchers are useful in marketing an invention. Market research can also assist in identifying prospective licensees. In addition, we also examine other complimentary technologies and agreements to assist our efforts. Faculty publications and presentations are often excellent marketing tools as well.

Licensees can be identified in many ways. First, the inventors are often aware of the commercial companies who would be interested in the work. Industry-specific marketing efforts, including trade show participation, affiliations and market research carried out by TCS, also seek to identify potential licensees. Additionally, issued patents listed by the USPTO can provide names of companies who currently have patents similar in nature; often these can prove to be potential licensees.

How you can help:

Your active involvement can dramatically improve the chances of matching an invention to an outside company. Studies have shown that 70% of licensees were known to the inventors. Thus research and consulting relationships are often a valuable source for licensees. Your research and consulting relationships are often helpful in both identifying potential licensees and technology champions within companies. Once interested companies are identified, the inventor is the best person to describe the details of the invention and its technical advantages. The most successful technology transfer results are obtained when the inventor and TCS Licensing Director work together as a team to market and promote use of the technology.

Working with industry:

Marketing technology to a potential licensee will usually require that a Confidentiality Agreement be established.  The OVPR can negotiate these agreements for you and has the legal authority from the University to do so. Confidentiality Agreements, named Non-Disclosure Agreements (NDAs) or Confidential Disclosure Agreements (CDAs), are agreements between UConn and an outside entity (company, person). These are used to facilitate discussions of information that the parties wish to keep out of the public view. For companies, sharing of their business needs can lead to developing solutions with UConn personnel; however, they may not want such needs to be known to their competitors. For UConn, maintaining confidentiality can preserve patent rights to inventions. Many university offices and the programs of OVPR can provide NDAs/CDAs and can ensure proper agreements are put in place.

Once their evaluation is completed, the potential partner may want to discuss the terms of a license. TCS will negotiate the terms of the license with input from the inventor regarding valuation, and other obligations, that occur in such legally binding agreements. Other terms that are included in a license include exclusivity versus non-exclusivity, world-wide rights versus rights in only some territories, all fields of use versus restricted fields of use, and many other considerations. On occasion, we will sign an option agreement, which gives a company the right to evaluate the technology for a limited time prior to making a decision about licensing (usually 6 months – 1 year). The TCS is experienced in negotiating contracts and is the designated legal authority from the University to do so. If a potential partner asks what kinds of terms the University would want in a license, please refer them to TCS.

Agreement Management:

TCS tracks the progress of the licensee towards milestones and goals established in the signed agreement. Licenses usually state that technology progress reports must be submitted regularly until a product hits the market. Some companies will fund research and development of the technology at UConn in the inventor’s lab. Others may offer a consulting position to the inventor as they develop a product at the licensee’s facilities. TCS usually continues to manage the patents, if there are any, and will sometimes need to handle patent interferences, patent infringement or deal with arbitration or litigation surrounding a technology or a license. Once a product is offered for sale, then TCS requires quarterly reports and royalty payments from the licensee, although specific terms vary from license to license. Payouts are made according to the royalty sharing policy after UConn has recouped its out-of-pocket expenses, primarily the cost of obtaining patent protection.

License Back Policy:

If TCS decides not to pursue a patent on a technology, the inventors have the option to license back the technology. The license back is a legal agreement that enables the Inventor(s) to patent and commercialize technology developed at the University.

Royalty Sharing Policy: 

Inventor contribution percentages refer to the share of net royalty income that is split amongst the inventors; the standard disposition is equal sharing. However, it is up to the inventors to propose and agree on a different formula and communicate that agreement to TCS. This is accomplished by filling out the back of the Invention Disclosure Form. Invention-related income is allocated based on the university’s Royalty Sharing Policy.

If you have any questions please contact us!

Gregory Gallo, Director, Technology Transfer

Donna Cyr, Director of Licensing, Physical Sciences & Engineering

Lindsay Sanford, Director of Licensing, Engineering

Amit Kumar, Director of Licensing, Business Development

or call us at 860.679.3992