A Koan

The innovateur was compelled to visit first the City of Clowns.  The clowns took the innovation from the innovateur. The clowns were not funny, and they were not helpful, and they were not innovative.  The innovateur watched smoke rise from a chimney.

Commentary

The visit may build character in the innovateur.  It may test the strength of the invention (if it can survive alone in the City of Clowns, it must be potent stuff!)

It is hard to say, however, that as a matter of national innovation policy it is a good thing to send all innovation first to the City of Clowns.   But in the bozonet, this makes perfect sense.   It is called a university IP Policy, and its purpose is to mandate administrative control over any innovation that looks like it might be money-making.   The innovateur has brought a gift.  It is nothing new to the clowns, though it may be prized by the innovateur.

We might note that there is a fine line between receiving something as a gift and taking something and calling it a gift.  Avarice remains avarice, even if it is “not about the money” and even if it is embedded in “institutional policy” and even if “geez, everybody does it”.

The smoke from the chimney does not represent anything.  It is smoke.  Watching it, in one’s mind’s eye, in the place of the innovateur, one thinks of all the things that must go on as usual, that nothing is particularly perturbed in the City of Clowns, and there must be some sense of irony or loss that the innovateur must work against to come to a realization.

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Bozonet Theory Review

Let’s review some basic bozonet theory.

Transmission Congestion

produces imitative practice

When an organization, profession, or activity takes in rapidly a number of new practitioners without a formal course of training, and requires expertise of these practitioners, and these new practitioners come to outnumber the established practitioners, a set of network effects are created. Because there are not enough established practitioners to go around, the new practitioners have to learn by afar, by imitation, or from books, or by going to special courses set up for them, or from each other, or the school of hard knocks. The effect is that they are likely to imitate appearances, accept rationalizations and simplifications as truth, and substitute heuristics for experience. This is the problem of transmission congestion for both expertise and ethos.
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The Dark Lesson

There is a dark lesson in the Stanford v. Roche situation. For two years, university patent administrators have led an all-out attack on research inventors, have distorted Bayh-Dole, and demonstrated they form a monoculture of inventor-loathing, bureaucracy-creating political operators. It’s nothing pretty. No public discussion, no minority views, no candid briefings.

The attack claimed that research personnel were selfish, gullible, and inept, and the folks that would protect the public are the brave, orderly, and expert technology transfer professionals, armed with policies that take title to inventions as expeditiously as possible. They argued that Congress intended as federal innovation policy that every invention made with federal funding would pass through the greasy thumbs of bureaucrats. As a result, they argued, Congress stripped university inventors of all rights to inventions made with federal funds, to keep these inventions safely out of the personal control of inventors, for the public benefit.

It is a dream. A paradise of bureaukleptimania. It would be really funny if the argument was made by a person in a bird suit: “And another thing, har, har, har, ur, the whole goal of university inventions is to ensure that the university has a position to shakedown anyone who tries to benefit from federally funded research. Ha! Har, har!”

Well, we don’t have folks available in bird suits to shoot a video for you, so you will have to imagine it. As I write this, university general counsels are drafting language to “tighten” employment agreements to include a present assignment of future inventions. This, because they think the lesson of Stanford v. Roche is that Stanford didn’t have the right patent agreement in place. They get the law wrong, the facts of the case wrong, the decision wrong. What can one expect? Yes, they will get the lesson wrong, too.

The lesson they should get: strengthen university openness, build collaborations without getting up tight on losing monopoly positions, make resources available to support innovation, and work within the constraints and consequences of your research community. Innovation should be more important than process, more important than university monetary interests. Innovation is wild, outlandish, disorderly, and unpredictable. So quit trying to control it. It is not working for you guys. You need to figure new ways to do things.

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100% Bayh-Dole

There’s talk that the Stanford v. Roche decision somehow forces a change in university practice from using promises to assign in patent agreements to present assignments of future inventions.

This is nonsense. The same loons who could not read Bayh-Dole cannot read court decisions either. No surprises here. I am not being any more gracious to these folks now than I was last week or two years ago.

The Supreme Court made clear that Bayh-Dole does not vest title to inventions with universities. Universities have to get that title the old fashioned way, by written assignment. No surprises here, either, except for the loons, who must be shocked. Continue reading

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Seven Claims about Bayh-Dole

Let’s look at some of the claims made about Bayh-Dole.

1.  Bayh-Dole is about commercialization. Only a little tiny bit.  Get over it.

No, really.  Look at the objectives of the Act, at 35 USC 200.  The primary emphasis is on practical application, with a host of affiliated activity, including collaboration between universities and industry, support for small companies, job creation, protection of the public from non-use or misuse of inventions, and encouragement of competition.  Commercialization is one element in the list, not central, not all important, not all consuming of the others.  Continue reading

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Harmonizing with the Wrong Thing

Which is more important, to harmonize US patent law with that of other countries, or to keep it consistent with the insights expressed in the US Constitution, which supports progress through the personal rights of inventors?

The Constitution allows the federal government to

To promote the Progress of Science and useful Arts, by securing for limited Times to Authors and Inventors the exclusive Right to their respective Writings and Discoveries.

This clause stands as a fundamental reservation of rights for inventors.  Continue reading

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Some of my favorite quotes

From the Opinion:

The Act’s disposition of rights—like much of the rest of the Bayh-Dole Act—serves to clarify the order of priority of rights between the Federal Government and a federal contractor in a federally funded invention thatalready belongs to the contractor. Nothing more.

It would be noteworthy enough for Congress to supplant one of the fundamental precepts of patent law and deprive inventors of rights in their own inventions. To do so under such unusual terms would be truly surprising. We are confident that if Congress had intended such a sea change in intellectual property rights it would have said so clearly—not obliquely through an ambiguous definition of “subject invention” and an idiosyncratic use of the word “retain.”

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Supreme Court rules on Bayh-Dole

From the Syllabus:

Held: The Bayh-Dole Act does not automatically vest title to federally funded inventions in federal contractors or authorize contractors to unilaterally take title to such inventions.

University faculty leadership now need to use this opportunity to reform patent management practices on campus.  End the compulsory policies claiming authority from Bayh-Dole, end the rampant fixation on commercialization to the exclusion of practical application, collaboration, and broad public access, end the use of public funds for organizations such as AUTM, which has led the attack on faculty inventors and on the Bayh-Dole Act itself.

Now it is up to the faculty to take the lead on research IP, on technology transfer, innovation, and impact in the community.   Time to form a task force on each campus to examine IP policy and rescind compulsory language, recall “training” materials that would lead one to believe university ownership is inevitable or desirable or in the public interest, and foreground the importance faculty, staff, and students have in leading the developing of innovative ideas arising in research.

There is a role for institutional resources.  It does not have to come with compulsory claims or a misreading of Bayh-Dole or ignoring the standard patent rights clause that the university agrees to in each federal funding agreement.  Those resources, and any management role for the university, and any benefit to the university, comes about by request of the inventors and research team, through mutually acceptable arrangements decided by negotiation based on the circumstances that present, and without any claim to conflict of interest or public loss if inventors pursue development without university involvement.

Research!  Freedom!  Innovation!

There’s your basic university IP policy.  Time for a sea change to revitalize American university research innovation.

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Is invent-for-hire coming to the US? Please, no.

Section 118 of title 35, United States Code, is amended to read as follows:

§ 118. Filing by other than inventor

A person to whom the inventor has assigned or is under an obligation to assign the invention may make an application for patent. A person who otherwise shows sufficient proprietary interest in the matter may make an application for patent on behalf of and as agent for the inventor on proof of the pertinent facts and a showing that such action is appropriate to preserve the rights of the parties. If the Director grants a patent on an application filed under this section by a person other than the inventor, the patent shall be granted to the real party in interest and upon such notice to the inventor as the Director considers to be sufficient.

There’s your invent for hire provision in the patent reform legislation that’s pending (my bold in the text).

Here’s the current 118:

Whenever an inventor refuses to execute an application for patent, or cannot be found or reached after diligent effort, a person to whom the inventor has assigned or agreed in writing to assign the invention or who otherwise shows sufficient proprietary interest in the matter justifying such action, may make application for patent on behalf of and as agent for the inventor on proof of the pertinent facts and a showing that such action is necessary to preserve the rights of the parties or to prevent irreparable damage; and the Director may grant a patent to such inventor upon such notice to him as the Director deems sufficient, and on compliance with such regulations as he prescribes.

In my heart, I don’t want invent for hire.  Aside from the questions of Constitutionality (and the unwillingness on the part of the folks proposing the changes to address the concepts underlying the Constitutional position),  I want all the bother and degrees of freedom and fussing and negotiation and uncertainty that comes with inventors having a say and employers and other putative assignees having to deal with it.   I think the bother is good for innovation, good for research, and good for organizations that have an interest in patents.  The bother is especially good for universities, where it is more like a virtue, a reminder that the business of the university is not to transmogrify research insights into banal corporate duties, nor service to the public into money-grubbing.

Meanwhile, David Boundy makes super arguments against the current “reforms”.    Universities, apparently, care about Roche but don’t care about reform.  Talk about being pound foolish.  But, ah!, it all comes clear–the universities in seeking to emulate a certain simplification of the corporate world have made a clean break with inventors, with the idea of individual leadership, and with the notion of freedom as a vital adjunct of innovation.

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University "Commercialization" and "Commercialization Programs"

I argue that while new products on the market is a primary measure of commercialization, the critical metric for a university commercialization program is the number of unlicensed inventions that the university has claimed.   Every unlicensed invention acts to suppress innovation everywhere the invention could be practiced in research, used internal to companies, or used in the broader DIY community.

The effort to create new commercial products is honorable.  Tasking university administrators with doing so under a compulsory ownership policy is not.

*****

Commercialization is one of the two main branches of innovation econometrics (the other is adoption or practical application).  These two branches represent differing attitudes toward innovation, and suggest quite different approaches for those who are given the task of facilitating innovation.  Commercialization suggests products for sale, while practical application suggests do-it-yourself uses, standards, libraries of resources, commons, platforms, and testbeds.

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