Call for Proposals to Support Patent-Based Technology Transfer

June 8, 2020

TÜBİTAK has announced a call for proposals titled “Patent-Based Technology Transfer Support Call (Patent Licensing – 2020 – 1)” to facilitate the transfer of patented technologies developed in universities, research institutions, and Technology Development Zones (TDZs) to industry. Joint applications from at least one “Customer Organization” and at least one “Technology Provider Organization” will be accepted under this call. The call will support the expenses and costs of the Customer Organization related to the acquisition of patents or technologies protected by patents owned by the Technology Provider Organization through licensing or transfer methods, and the procurement of services from the Technology Provider Organization for the application of these technologies. The support payment will be made to the Customer Organization. The patents to be licensed or transferred by the Technology Provider Organization to the Customer Organization must have a minimum protection period of 10 years as of the project application date.

Introductory presentation: http://www.usimp.org.tr/uploads/Calistay/pdf/patent_lisans_destegi_usimp_sunu.pdf

Application period: June 15 – August 31, 2020 (17:00)

The deadline for pre-registration is Monday, August 17, 2020 (5:00 PM).

Announcement: https://www.tubitak.gov.tr/tr/duyuru/patent-tabanli-teknoloji-transferi-destekleme-cagrisi-patent-lisans-2020-1-acildi

Online application system: https://eteydeb.tubitak.gov.tr/

Definitions

Definition	Explanation
Client Organization	A capital company established in Türkiye that aims to produce and/or develop products/processes/services by acquiring technologies owned by Technology Provider Organizations and protected by national and/or international patents through licensing or transfer within the framework of a Technology Transfer Agreement.
Technologies Technology Transfer Agreement	The contract signed between the Technology Provider Organization and the Client Organization, submitted to TÜBİTAK as an annex to the project application, defines the project description, the responsibilities of the parties, the use or transfer of intellectual property rights, and the resolution of legal disputes, specifying the provisions regarding matters not regulated in the Innovation Support Program Implementation Principles Directive and related legislation.
Technology Provider Organization	The organization that transfers technologies protected by the patent(s) it owns to the client organization through licensing or assignment is a Higher Education Institution, Research Infrastructure, Public Institution, Public Research Center/Institute, Technology Transfer Office, or a Capital Company operating in a Technology Development Zone according to Law No. 4691.
Research Infrastructure	Law No. 6550 Established within the scope of and granted legal personality by the Research Infrastructures Board, these units are classified as advanced research laboratories, thematic research laboratories, and central research laboratories, containing qualified human resources trained within higher education institutions and machinery, equipment, hardware, and software based on modern technologies, where R&D activities are carried out.
Technology Transfer Office (TTO)	Published in the Official Gazette dated 07/12/2017 and numbered 30263 Regulation on Technology Transfer Offices of Higher Education Institutions a capital company operating in accordance with or a unit within the Technology Development Zone Management Company operating in accordance with the Technology Development Zones Law No. 4691
Project Outcomes Implementation Plan (PSUP)	The commitment includes the Client Organization's implementation program for the use of the outputs expected to be obtained at the end of the project. (for the template: https://www.tubitak.gov.tr/sites/default/files/21566/psup_200414.docx)

Who can apply?

A Customer Organization and one or more Technology Provider Organizations may jointly apply for the call.
- Client Organization: Capital Companies that meet the definition specified in the "Definitions" section.
- Technology Provider: Matches the definition specified in the "Definitions" section;
  - Higher Education Institutions
  - Research Infrastructures
  - Public Institutions
  - Public Research Centers/Institutes
  - Technology Transfer Offices
  - Capital companies operating in Technology Development Zones according to Law No. 4691
- There cannot be more than one Client Organization in the application.
- Multiple Technology Provider Organizations can be project partners.
- According to the Corporate Tax Law No. 5520 and the General Communiqué on Concealed Profit Distribution Through Transfer Pricing, published in the Official Gazette dated 18/11/2007 and numbered 26704, joint applications from entities classified as related parties will not be accepted.

Documents that must be submitted as an annex to the Project Proposal:

Technology Transfer Agreement
Project Outcomes Implementation Plan (PSUP)
Patent Registration Certificates for Patents to be Licensed or Transferred
Search Reports for patents to be licensed or transferred (for unregistered patents)
Valuation Reports for Patents to be Licensed or Transferred

Expected outcomes resulting from collaborations between the Customer Organization and the Technology Provider Organization(s):

Facilitating the transfer of technologies developed by Higher Education Institutions, Research Infrastructures, Public Institutions, Public Research Centers and Institutes, and Early Stage Technology Companies to industry in order to transform them into high value-added products, services, and processes.
Enabling companies operating in high-technology sectors to benefit from the knowledge and expertise of Higher Education Institutions, Research Infrastructures, Public Institutions, Public Research Centers and Institutes, and Early Stage Technology Companies.
Bringing together technologies resulting from research, development, and innovation projects carried out by different stakeholders with public resources, in order to develop holistic solutions needed by industry.
Ensuring the sustainability of Technology Transfer Offices

Supporting:

Indicator Budget

30 million TL

Project Budget Upper Limit

2 million TL

Maximum Support Amount that a Customer Organization can benefit from under this call.

2 million TL

Supported Expense Items and Support Rate

Within the scope of this call, expenses and costs related to the procurement of services by Customer Organizations from the Technology Provider Organization for the acquisition of technologies protected by patents owned by the Technology Provider Organization through licensing or transfer methods, as well as the procurement of training and consultancy services from the Technology Provider Organization for the implementation of the transferred technology, will be supported.

Upper Limit for Overall Support Rate: Program-based support payments will be made to the Client Organization.

Büyük Ölçekli Kuruluşlar: %60
KOBİ’ler: %75

Supported Expense Items

Services procured for patents licensed or transferred within the scope of the project (calculated separately for each patent)

Temel Destek Oranı: %25
Factors that increase the support rate:
- Müşteri kuruluşun KOBİ niteliğinde olması durumunda destek oranına %15 ilave edilir. (Destek süresi içerisinde Müşteri Kuruluşun KOBİ niteliğini yitirmesi durumunda, takip eden dönemlerde KOBİ niteliğine istinaden ilave destek sağlanmaz.)
- Customer Organization In the High Technology Sectors listed in Annex-1 operating or the licensed patent From the High Technology IPC Classes in Annex-1 birini içermesi durumlarında destek oranlarına %15 ilave edilir.
- EPO, JPO, KIPO, CNIPA veya USPTO nezdinde tescil edilmiş patentler için destek oranına %10 ilave edilir.
- Müşteri kuruluşun bir ya da daha fazla teknoloji sağlayıcı kuruluştan en az 2 patenti lisanslaması ya da devralması durumunda destek oranına %10 ilave edilir.

Expenses for training and consulting services that the Client Organization will receive from the Technology Provider Organization for the implementation of patents licensed or transferred within the scope of the project.

Büyük Ölçekli Kuruluşlar: %60
KOBİ’ler: %75

Support period: Azami 60 ay (Proje sözleşmesinde belirtilen destek süresi, toplam proje süresi 60 ayı geçmemek üzere bir defaya mahsus %25 oranında artırılabilir.)

Monitoring period:

Projects supported under this Call will be monitored during the period covering January 1 – December 31. The work carried out within the scope of the project, the progress of the project towards the foreseen objective, and the expenses related to the purchases made by the client organization from the Technology Provider organization in accordance with the Technology Transfer Agreement will be submitted to TÜBİTAK through Periodic Reports.
The Period Report and the Final Report, prepared during the last period of the project, are submitted by the end of the second month following the end date of the period. The following documents are required for the period report:
- Technical Report
- Certified Public Accountant Report
- Expense Forms
The periodic report will be evaluated by an on-site visit to the Client Organization by the observer(s) designated by TÜBİTAK.
The Period Report and Monitoring Report, jointly prepared by the organizations and submitted to TÜBİTAK by the Client Organization, will be reviewed by the Executive Board of the Technology Transfer Mechanisms Support Group.
If the Group Executive Board (GEB) assesses that the progress on the project is significantly behind the project results implementation plan, it may decide not to make support payments to the Technology Provider and Customer Organization under this Call for Proposals for the relevant period. If, in the following period, the Group Executive Board (GEB) assesses that the project activities are proceeding in accordance with the project results implementation plan, the unpaid support amounts from the previous period will be paid to the technology provider and customer organization.

Evaluation criteria:

Criteria

Sub-criteria

Technological and/or Technical Competence of the Project

Technology readiness level
Advantage(s) compared to competing technologies

Project Feasibility

Rota
Technological development plan
Customer Organization's absorption capacity

Project Impact

Scalability
The economic and social benefits of technology.

Points to consider:

The Technology Provider Organization must be the rights holder of the patents to be transferred or licensed to the Client Organization, except in the cases specified below. Project applications may also be submitted for patents in which the Client Organization is a partial rights holder. If the patent to be licensed or transferred under the project has more than one rights holder, all rights holders must be included jointly in the project application, except in the cases specified below.
- Technology Provider Organizations affiliated with Higher Education Institutions may apply to this Program for the purpose of licensing or transferring patents owned by the faculty members and students of their respective institutions. In this case, a copy of the agreement signed between the patent applicant and the Technology Provider Organization is also submitted to TÜBİTAK as an annex to the project application.
- If the university owns the rights to the patent for which a project application has been submitted for commercialization under this call, the university must be the project partner. For the independent inventions of faculty members, if there is a contract between the Technology Transfer Office (TTO) and the applicant, the TTO can be the project partner.
- Joint commercialization activities between the University and a company operating in the Technopark and holding a patent are also eligible for support, and the support rate will be increased for such licensing agreements.
Patents to be licensed or transferred from the Technology Provider to the Client Organization must have a minimum protection period of 10 years as of the project application date. Patents with a protection period of less than 10 years as of the project application date will not be supported by the Client Organization, even if they are licensed or transferred to the Client Organization under the Technology Transfer Agreement.
The amount to be transferred by TÜBİTAK to the Client Organization under the program will be calculated by taking into account both the fixed cost of the license (lump-sum) and the royalty values calculated based on sales during the period. Only payments made after the project start date specified in the contract can be considered for support.
An analysis regarding the valuation of patents to be licensed or transferred must be submitted as an annex to the project proposal. This analysis can be conducted by the Technology Provider Organization and/or the Client Organization, or the organizations may submit valuation reports obtained from third parties as an annex to the project proposal.
If the Group Executive Board (GEB) assesses that the progress on the project is significantly behind the Project Results Implementation Plan, it may decide not to make support payments to the Technology Provider and Client Organization under this Call for Proposals for the relevant period. If, in the following period, the Group Executive Board (GEB) assesses that the project activities are proceeding in accordance with the Project Results Implementation Plan, the unpaid support amounts from the previous period will be paid to the Technology Provider and Client Organization.
The fact that the patent is registered only in Türkiye or will only be used in Türkiye does not preclude the application.
It is preferable that the patents to be supported are registered. Applications can also be made with patents for which a Research Report has been received. If these patents are registered during the support period, the support amount related to the retroactive transfer/license fees, effective from the project start date, will be paid to the Client Organization.
- The Technology Provider and the Client Organization are responsible for completing the necessary registration procedures with the relevant patent office for patents transferred or licensed under the project. In the event that third parties suffer damages due to the failure to fulfill this obligation, the responsibility lies jointly with the Technology Provider and the Client Organization.
Since the aim of the call is to transform patented technologies that have not yet been commercialized into practical applications, licensing agreements submitted with the application will be preferred.
The program does not require that a patent, which is expected to be commercialized under this program, be a product resulting from support by public institutions such as TÜBİTAK or the Ministry of Industry and Technology.
The Client Organization may not transfer the patents it acquires within the scope of the supported project to another institution or organization, nor may it license them exclusively or non-exclusively to another organization during the project period.
TÜBİTAK is not responsible for the fulfillment of the provisions of the Technology Transfer Agreement or for resolving any disputes that may arise between the Technology Provider Organization and the Customer Organization, or between these organizations and other third parties.
According to Law No. 6769 on Industrial Property, the Technology Provider Organization is responsible for paying the share of the income derived from transferred or licensed patents to the inventors.
If the inventors of patents licensed or transferred within the scope of the project, or their first-degree relatives, are partners of the Client Organization, the Client Organization shall declare its expenses to TÜBİTAK by deducting the amount that the Technology Provider Organization will pay to the inventors.

Application and Evaluation Process:

The deadline for pre-registration is August 17, 2020.
Application period: June 15 – August 31, 2020
Missing documents must be completed within a maximum of 21 calendar days from the date the request for completion was made.

Panel Evaluation:
- Panelists do not visit applicants for evaluation and do not communicate with them during the evaluation process.
- As stated in the call for proposals, the project applicant may be invited to the panel to give a presentation and provide information about the project.
- In their project evaluation reports, panelists also state their questions regarding uncertainties, shortcomings, and deficiencies in the project, as well as other matters they and/or the panel deem necessary.
- The questions are sent to the applicant with the panelist's information kept confidential. The applicant must submit their answers to these questions to TÜBİTAK within a maximum of 10 days, using the information provided in the project proposal form. These answers are submitted to the panel for evaluation as an annex to the project proposal form. If the company fails to submit its answers within 10 days, the evaluation will be based on the project proposal form.