Arizona State University

As confirmed by an email from Arizona Science and Technology Enterprises (AzTE), up to 2014 (the final year of the Ouellette & Tutt study), Arizona State University (ASU) awarded one-half of the first $10k of net license income to the inventor, and one-third thereafter, unless a separate agreement is negotiated. ASU also awarded another one-third of all net license income for the inventor's lab. The university appears to have charged a 15% administration fee before these royalties are calculated, except between 2001 and 2003.

In 2014, ASU revised its royalty sharing policy: ASU revises royalty policy giving more proceeds to researchers.

Summary

Institution	Start	End	Flat	$0-10k	$10-50k	$50-100k	$100-300k	$300-500k	$0.5-1M	>$1M	Fee	Lab	More
Arizona State University	1993	2000	No	0.50	0.33	0.33	0.33	0.33	0.33	0.33	0.15	Yes	No
Arizona State University	2001	2003	No	0.50	0.33	0.33	0.33	0.33	0.33	0.33	0	Yes	No
Arizona State University	2004	2014	No	0.50	0.33	0.33	0.33	0.33	0.33	0.33	0.15	Yes	No

Policy Excerpts

Current IP Audit

Arizona State University Annual Intellectual Property Royalties Audited Report for the Year Ended June 30, 2007

Effective November 1, 2003, the University entered into a management services and affiliation agreement with AzTE to provide technology transfer services for the University. Pursuant to the management agreement between AzTE and the University, AzTE collects a 15% management fee on royalties received by AzTE or the University starting November 1, 2003.

Each of the eligible recipients (principal inventors, principal inventors' laboratories, and either the Office of Research and Economic Affairs of the University, the CCR Technology Transfer Account or other third parties) receives a share of the net royalties available for distribution. Royalty funds are typically distributed in equal shares [i.e., one-third to each party]. Distributions in other than equal share amounts may occur in the following situations:

• Situations involving the first $10,000 of net royalty revenue where 50% of the first $10,000 of net royalty revenue, after recovery of legal fees, is distributed to the inventor, one-third of the net royalty revenue is distributed to the inventor's laboratory, and the remainder net royalty revenue is distributed to the University or the CCR Technology Transfer Account.

2003 IP Audit

Arizona State University Schedule of Intellectual Property Royalties Year Ended June 30, 2003

For the year ended June 30, 2003, each of the eligible recipients (principal inventors, principal inventors’ laboratories, and either the Office or the CRI Technology Transfer Account) received a share of the net royalties available for distribution. The actual royalty distributions occurred during the fiscal year, or soon after for royalties received near fiscal year end. In most cases, the distribution was an equal share (i.e., one-third), except for:

• Cases involving the first $10,000 of royalty revenue where 50 percent of the first $10,000 of royalty revenues, after recovery of legal fees, is distributed to the inventor, one-third of the net royalty revenue is distributed to the inventor’s laboratory, and the remainder is distributed to the Office or the CRI Technology Transfer Account...

2001 IP Audit

Arizona State University Report on Audit of Schedule of Intellectual Property Royalties Year Ended June 30, 2001

Through December 31, 2000, the University collected a 15 percent administrative fee to help recover the cost of operating its Office of Technology Collaboration and Licensing (Office). Effective January 1, 2001, the Office no longer collected this fee.

For the year ended June 30, 2001, each of the eligible recipients (principal inventors, principal inventors’ laboratories, and either the Office or the bio-medical/bio-technical competitive grant program) received a share of the net royalties available for distribution. In most cases, the distribution was an equal share (i.e., one-third), except for:

• Cases involving the first $10,000 of royalty revenue where 50 percent of the first $10,000 of royalty revenues, after recovery of administrative and legal fees, is distributed to the inventor, one-third of the net royalty revenue is distributed to the inventor’s laboratory, and the remainder is distributed to the Office or the Competitive Grant Program...