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08 May 2018

IntellectualProperty,Commercialisa5on,Legalguff…

ANNAGROCHOLSKYDIRECTOR,COMMERCIALISATIONANDINNOVATION

MACQUARIEUNIVERSITY

So,youareacompany?

Butfirst–abitaboutme:

•  MaterialsScien5st•  RegisteredTradeMarksAQorney•  MastersofLaw(IP)•  Crea5veProblemFacilitator•  Graduate–AustralianIns5tuteofCompanyDirectors•  RegisteredTechnologyTransferProfessional

(only30inAU/NZ)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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Whattobemindfulof?

MARKETPRODUCT/SERVICE END USERS

Minimal Viable Product.Tested and validated?

Competitors? Who etc.?

Competitive Advantage?How to launch, when…?

Intellectual Property:Ownership (staff/consultants)ConfidentialityRegistered IP:

Trade marks and brandingPatentsDesigns etc.

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Themostcommonissues…

•  AdomainnameorabusinessnameisnotatrademarkandgivesnoformalIPprotec5on

•  Patentop/onsarediminishedorevenlosttotallyifyouhavespokentopeopleaboutyouridea.Filefirst!

•  Brandlaunchedthentrademarkisrefusedregistra/on;lossof$$$andreputa5on.

•  Brandnottrademarked-youaretappedontheshoulder…

•  Productservicesarenotwhatthecustomerneeds/wants…

•  Compe55veadvantagelost(notthinkingofMKIIetc.)

•  Ownership…OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Commercialisa5on

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Turningideas

Intoreality

Thatpeoplewant/need

Andarewillingtopayfor

Theconceptofinnova/on(andhavingaviablebusiness)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Questions I ask:

Is there a need for this OR would this benefitthe community if this was developed?

Who should we partner with?

If so, should IP be formally protected?

How can we get this made/developed etc.

Should a start up be considered?

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

O;enacombina/onofIPiscommercialisedtogetherinabundle…

Besttokeepyourworkasconfiden5alasyoucan.

-  compe55veadvantage-  abilitytopatent(hastobenew)-  tokeepop5onsopen…

EnterintoConfiden,alityAgreementsiftalkingto3rdpar,es!

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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o  Useinhousebyyourselfonly

Commercialisa/oncanbe:

o  Rightsgrantedto3rdpar5esbyformalagreement:•  License(getaroyaltystream)

•  FulllicenseorbyFIELD/TERRITORY(i.e.partlicense)•  Exclusiveornon-exclusive

•  Selloffforalumpsum•  Combina5on(licensethensaleatatriggerpoint)

A‘deal’canbeanythingthatyoucannego3ateandputintowordstoformalisealegalagreement.

o  Both–yourselfandbya3rdparty

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Commercialisa5onatMacquarieUniversityORGANISATIONCHART

OfficeofCommercialisa/onandInnova/on

MainCommercialisa/onChannel

Teamof5-6ledby

AnnaGrocholsky

Paten5ng/IPPartneringContracts

AccessMQ

Contrac/ngservicesCommercialprojects

DVC-ResearchProfSakkiePretorius

“Largerscale”corporatepartnerships

Handlesmostlygrantsbutalsonurtures

partnershipsandsetsupcontracts.

ResearchOffice

OfficeofCorporateEngagement

NewMQincubator

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

WhatisIP?

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WhatisIntellectualProperty?

• Patents• RegisteredDesigns• RegisteredTradeMarks

• PlantBreedersRights

Formallyregistered

Notregistered

• Copyright• Confiden5alInforma5on&KnowHow

• TradeSecrets

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

ExamplesofIPthatisnotformallyregistered?

Manuals

Musicscores

Ar5s5cworksinc.artwork,designs,logos

Know-how

Sojwarecode

Businessmethods

Names–domainnames,businessnames…

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

WhoownsyourIP?

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StaffandEmploymentagreements-DoyouowncreatedIP?(seemsagivenhoweverisitclearlystated)

Contractoragreements-  Whoownswhat?-  When?

Collabora/ons-  Whoownswhat?-  When?

Purchaseandsupplyagreements-  Whoownswhat?-  When?

Lookatthefineprint–haveappropriateagreementsinplace.If/whensomethingissuccessful,peoplewillcomeoutofthewoodwork.

Confiden/ality-  Formally?-  Isitenforceable?-  MaybebeQertolimitdisclosure

Conflictsofinterest-  Realorperceived-  Mi5gated?-  Isalltransparent?

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

So,again,Iask.Areyouacompany?

Itemstoaskyourself…

Source:theMacquarieUniversitySpin-Out/Start-UpChecklist(www.mq.edu.au/innova3on)

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SPINOFF/STARTUPCHECKLISTProjectName:LeadResearcher:AllTeamMembers:Departments/Facul/es:Date:OCIRef:AgreementsRequired(asapplicable):☐Duediligence,ConflictofInterestforms☐OutsideEarningsform☐IPAgreements(Assignmentsandlicence)☐FoundersAgreement☐ShareholdersAgreement☐Rentand/orfacilityagreement(ifnotincludedinthelicence)☐AgreementastosupportthatMacquarieUniversitywillgiveForexample,teachingrelief,outsideearningsapprovalforaspecific5meperiod☐ResearchAgreementsifthestartup/spinoffisconduc5ngresearchatMacquarieUniversity

Source:theMacquarieUniversitySpin-Out/Start-UpChecklist(www.mq.edu.au/innova3on)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

WhoamIworkingwith?Howdotheyhelpmewithmyidea?

FoundersAgreementCollabora5onAgreement

AgreementtoassigntheIPtothebusiness

Communica5onbetweenfounders

Valuingfounderscontribu5ons

Shareinequity

Disputeresolu5on

FutureplanningOFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

HowwillIstructuremybusinessformyidea?

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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*Unless they are a company director and have breached one of their director’s duties **An Australian Company Number (ACN) acts as a unique identifier for companies and is issued by ASIC upon incorporation. An Australian Business Number (ABN) is used to facilitate dealings with government departments and agencies and is issued by the ATO to all entities who carry on an enterprise in Australia. It is registered on the Australian Business Register.

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

TradeMarks

xxxTM–foranapplica5onN.B.canbeusedevenwithoutregistra5on

®–onlyusedonceregistered

Doesnothavetobeonthemarkitself–withindocumenta5onetc.i.e.withintheannualreport,oronthebackinthefineprintofabrochureetc.

Upfront;youneedtoknow!

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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Whataretrademarks?Trademarksarenames,words,logos,shapes,colours,scentsorcombina5onsofthesewhichdis5nguishgoodsorservicesofonepersonfromthoseofanother.Beingabletobedis5nguishedisthemainrequirementforregistra5on.

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Trademarkswillnotberegisterediftheyaredeemed:

•  Offensive

•  Na5onallyorinterna5onallycommonlyunderstood i.e. ANZAC

•  Overlapsomeoneelse’s‘mark’orknownbrandthroughreputa5on/establisheduse

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Markswhichhavegeographicalreferences,aresimplydescrip/onsofthegoodsandservices,commonsurnamesorwhichconsistofcommonlyusedwordsorcommonlyusedlogosmaybedifficulttoregister.However,ifitcanbeshownthatthetrademarkhasbeenusedtosuchanextentthatitdoesdis5nguishthegoodsorservicesoftheapplicant,registra5onmaybeobtained.

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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Therightsgiventotrademarkowners…

Atrademarkregistra5ongivesitsownertheexclusiverighttousethemarkintheclassesregisteredin(goodsandservices).Trademarkownerscanstopotherpeoplefromusingsubstan5allyiden5calordecep5velysimilarbrandswithinthesameclassofgoodsorservices.Theregistra5ontermisforatenyearperiodfromthedateonwhichtheapplica5onwasfiled.Marksarerenewablein10yearblocksuponpaymentoftheofficialfee.

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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TRADE MARK APPLICATION PROCESS

Application

Registration (Certificate issued. Reg for 10 years)

[from the 7th mth after lodgement]

[5 months from lodgement]

Acceptance

Advertisement of Acceptance

(in the Official Journal of Trade Marks)

[5 months from lodgement]

Renewal (Fee every 10 years)

Examination

Opposition (2 month period where

another person may oppose registration of the

trade mark.)

Report Issued (Explaining deficiencies)

Applicant Response

Rejection

Rejection

Reconsideration

Hearing

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Ifyoudon’tuseityoucanloseit!ThereisauseprovisionintheTMActthatifyoudonotusethemarkfor3yearsitcouldbeques5onedandul5matelyremovedfromtheregister.

Interna/onal(Madridsystem)Interna5onalapplica5onscanbeappliedfortakingpriorityfromanAUmarkwithin6monthsoflodgement.

Ittakesaminimumof7½monthstohaveamarkregisteredThisistoaccommodatefortheinterna5onal6monthconven5onperiodthathastopassbeforeamarkisregistered.

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Designs

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OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

DesignsRegistra/onsareprotec/onofaspecificdesignprovideditisbothnewanddis/nc/ve

•  Registra5onini5allyprotectsyourdesignforfiveyearsfromthedatetheapplica5onwasfiled.

•  Thedesignregistra5oncanberenewedforafurtherfiveyears.Ifyoudonotrenewyourregistra5onitwillcease.

Youdon'tneedadesignforartwork,whichisautoma5callyprotectedbycopyright.Youdoneedadesignifyourartworkisappliedtoaproduct,whichgivesthatproductauniquelook.

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Patents

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Whatisapatent?

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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Thewholepatentapplica5onandgrantedpatent(thewholedocument)is‘priorart’ifyouareseekingtoobtainapatentyourself

Theclaimsofagrantedpatentareconsideredinlegalac5on Alsotocheckthatyoucandowhatyouaredoing i.e.FreedomtoOperatesearch

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

Whatcanbepatented?

“Tobeissued,theinven3ondescribedjusthastobenovel,non-obvious,anduseful.”USPTO

Youareexperts-youverywellcouldthinkwhatyouaredoingisobvious;maybenot

Hierarchy(goldenegg)ofpatentsarecomposi5ons,pre-cursors,plauorms.e.g.aformula5onthatcouldbeabrick,a5le,awalletc.oramandatorycomponent

Aninven5oncanbeasmallcomponentoranimprovementofaknownthing…

Asynergyofknownthings...

Anewuse…

Sojwareifnewinfunc5on

Businessmethods

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

PCT Contracting States and Two-letter Codes (152 on 1 August 2017)

1 Extension of European patent possible.2 May only be designated for a regional patent (the “national route” via the PCT has been closed).3 Validation of European patent possible for international applications filed on or after 1 March 2015.4 Validation of European patent possible for international applications filed on or after 1 November 2015.Where a State can be designated for a regional patent, the two-letter code for the regional patent concerned is indicated in parenthe-ses (AP = ARIPO patent, EA = Eurasian patent, EP = European patent, OA = OAPI patent).Important: This list includes all States that have adhered to the PCT by the date shown in the heading. Any State indicated in bolditalics has adhered to the PCT but will only become bound by the PCT on the date shown in parentheses; it will not be considered tohave been designated in international applications filed before that date.Note that even though the filing of a request constitutes under PCT Rule 4.9(a) the designation of all Contracting States bound by thePCT on the international filing date, for the grant of every kind of protection available and, where applicable, for the grant of bothregional and national patents, applicants should always use the latest version of the e-filing software used to generate the request form,or the latest versions of the request form (PCT/RO/101) and demand form (PCT/IPEA/401) (the latest versions are dated 1 July 2015and 1 July 2016, respectively). The request and demand forms can be printed from the website, in editable PDF format, at:http://www.wipo.int/pct/en/forms/, or obtained from receiving Offices or the International Bureau, or, in the case of the demand form, alsofrom International Preliminary Examining Authorities. Where possible, applicants are encouraged to use ePCT-Filing in order to benefit fromthe most up-to-date PCT data.

AE United ArabEmirates

AG Antigua and BarbudaAL Albania (EP)AM Armenia (EA)AO AngolaAT Austria (EP)AU AustraliaAZ Azerbaijan (EA)BA Bosnia and

Herzegovina1

BB BarbadosBE Belgium (EP)2

BF Burkina Faso (OA)2

BG Bulgaria (EP)BH BahrainBJ Benin (OA)2

BN Brunei DarussalamBR BrazilBW Botswana (AP)BY Belarus (EA)BZ BelizeCA CanadaCF Central African

Republic (OA)2

CG Congo (OA)2

CH Switzerland (EP)CI Côte d’Ivoire (OA)2

CL ChileCM Cameroon (OA)2

CN ChinaCO ColombiaCR Costa Rica

CU CubaCY Cyprus (EP)2

CZ Czechia (EP)DE Germany (EP)DJ DjiboutiDK Denmark (EP)DM DominicaDO Dominican RepublicDZ AlgeriaEC EcuadorEE Estonia (EP)EG EgyptES Spain (EP)FI Finland (EP)FR France (EP)2

GA Gabon (OA)2

GB United Kingdom (EP)GD GrenadaGE GeorgiaGH Ghana (AP)GM Gambia (AP)GN Guinea (OA)2

GQ Equatorial Guinea (OA)2

GR Greece (EP)2

GT GuatemalaGW Guinea-Bissau (OA)2

HN HondurasHR Croatia (EP)HU Hungary (EP)ID IndonesiaIE Ireland (EP)2

IL IsraelIN India

IR Iran (IslamicRepublic of)

IS Iceland (EP)IT Italy (EP)2

JO JordanJP JapanKE Kenya (AP)KG Kyrgyzstan (EA)KH CambodiaKM Comoros (OA)2

KN Saint Kitts andNevis

KP DemocraticPeople’s Republic ofKorea

KR Republic of KoreaKW KuwaitKZ Kazakhstan (EA)LA Lao People’s Demo-

cratic RepublicLC Saint LuciaLI Liechtenstein (EP)LK Sri LankaLR Liberia (AP)LS Lesotho (AP)LT Lithuania (EP)2

LU Luxembourg (EP)LV Latvia (EP)2

LY LibyaMA Morocco3

MC Monaco (EP)2

MD Republic ofMoldova4

ME Montenegro1

MG MadagascarMK The former

Yugoslav Republicof Macedonia (EP)

ML Mali (OA)2

MN MongoliaMR Mauritania (OA)2

MT Malta (EP)2

MW Malawi (AP)MX MexicoMY MalaysiaMZ Mozambique (AP)NA Namibia (AP)NE Niger (OA)2

NG NigeriaNI NicaraguaNL Netherlands (EP)2

NO Norway (EP)NZ New ZealandOM OmanPA PanamaPE PeruPG Papua New GuineaPH PhilippinesPL Poland (EP)PT Portugal (EP)QA QatarRO Romania (EP)RS Serbia (EP)RU Russian

Federation (EA)RW Rwanda (AP)SA Saudi ArabiaSC Seychelles

SD Sudan (AP)SE Sweden (EP)SG SingaporeSI Slovenia (EP)2

SK Slovakia (EP)SL Sierra Leone (AP)SM San Marino (EP)SN Senegal (OA)2

ST Sao Tome andPrincipe (AP)

SV El SalvadorSY Syrian Arab RepublicSZ Swaziland (AP)2

TD Chad (OA)2

TG Togo (OA)2

TH ThailandTJ Tajikistan (EA)TM Turkmenistan (EA)TN TunisiaTR Turkey (EP)TT Trinidad and TobagoTZ United Republic of

Tanzania (AP)UA UkraineUG Uganda (AP)US United States of

AmericaUZ UzbekistanVC Saint Vincent and

the GrenadinesVN Viet NamZA South AfricaZM Zambia (AP)ZW Zimbabwe (AP)

StrategicPlan

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Itisimportanttohavealiveandac/vestrategicplan.

ToprotectIP???Tocommercialise????

•  5mewindowofsales/compe55veadvantage•  whatprotec5onisthereagainstcompe55on•  marketsize•  $$$ofincome,royal5esoraoneoffsale•  ……

TradeMarks–preQystandardandcostaffec5veDesigns–canbeacostaffec5vemethodofprotec5onforaspecificdesignPatents–aharderdecision

Eachstrategyneedstobeassessedcasebycase.

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

LEANCANVAS

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

LEANCANVAS(SOCIAL)

OFFICE OF COMMERCIALISATION AND INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

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Whototalkto?

Contact:AnnaGrocholsky

TheOfficeofCommercialisa/on&Innova/onPh:98504599anna.grocholsky@mq.edu.au

Thefirststep:Fileaninven/ondisclosure

TheUniversitypromotesandsupportsimpactviaPartnerships&Commercialisa5on

http://www.mq.edu.au/innovationhttp://www.mq.edu.au/commercialisation

IPPolicy;(royaltysplit50:50)

Researchteam&

University

Facilitatestheprocessthrough:1)  Fundingtheini5alpaten5ngprocess(subjecttoapproval)2)  Arrangingnon-disclosureagreements3)  Assis5nginmarke5ng4)  Nego5a5ngcommercialpartnerships

WhototalktoexternaltoMacquarieUniversity?

OFFICE OF COMMERCIALISATION & INNOVATION | DEPUTY VICE-CHANCELLOR (RESEARCH)

www.ipta.org.au

Commericalisation and IP consultants

Trade mark and Patent attorneys

Legal services

Incubators and accelerators

www.business.gov.au

www.nswbusinesschamber.com.au

People who have done it before

www.asic.gov.au

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AnnaGrocholskyDirector,Commercialisa5onand

Innova5onMacquarieUniversity

anna.grocholsky@mq.edu.au

0437463317C5Clevel3,room371

17Wally’sWalk