Example Case Study for RTTP Application
(C) 2014 Kosuke Kato, All Rights Reserved
A Case Study on the Management of Industry-Academia Projects for
an Innovative XX Technology Being Developed at XX University
First Name Last Name
Position, Affiliation, Institution
Japan
1. Sourcing Technology
In MONTH YEAR, I began supporting the principle investigator (PI) of an innovative XX
technology being developed at XX University. This technology was sourced because
XXXX. This XX technology was a platform technology that could be used for applications
such A, B, and C. The PI was committed to commercialization of his/her technology as YY.
The initial status of this technology is described below:
Marketing: Market needs, market size, and market trends were not clear.
Competitive advantage: the PI assumed that the benefits of this technology were XXX.
However, this assumption had not been validated.
IP: A basic patent (P1) had already been applied for via the PCT.
Technology Development: A prototype for TECHNOLOGY had already been
developed and demonstrated at the PI’s lab. SPEC was about AAA. The PI assumed that
BBB was needed to convincingly demonstrate this technology to potential customers and
licensees (e.g., at trade shows).
Budget: A government grant for FY YEAR– YEAR of ¥****** ($ ***** at 1 $ =
~¥100 yen) for technology development and ¥***** for marketing had already been
received. This budget was enough for developing AA but not enough for BB.
Organization of the R&D team: Only the PI’s lab was involved; a company partner
willing to commit to commercializing the technology had not been found.
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Example Case Study for RTTP Application
(C) 2014 Kosuke Kato, All Rights Reserved
2. Market Research
In MONTH YEAR, I proposed that the PI should market his technology by XXX. I made
this proposal because one of my advisors at AA had told me that BBB is one of the most
effective ways of marketing XXX technologies. Consequently, the PI’s technology was
CCC, we attracted market interest through direct interviews with NUMBERS potential
customers.
The major findings of this market research were as follows:

FIND ING A

FIND ING B

FIND ING C
.....
My major roles in this market research were the following:
I wrote a grant proposal for AAA. This grant enabled the PI to BBB.
I conducted CCC, enabling us to identify potential customers to interview.
I designed DDD, enabling our team to conduct EEE.
I arranged FFF, enabling our team to GGG.
3. Supporting Intellectual Property Management and Licensing Negotiation
In MONTH YEAR, only a few days before HHH the PI created an important algorithm (P2)
for III that can meet the needs of end-users in the target market segment. We sent this and
related inventions to the PCT along with the commitment of a governmental funding agency.
Two deals, JJJ agreement and KKK agreement, were concluded with a LLL company
(Company C1) at the beginning of FY YEAR. An MMM company (Company C2) also
expressed interest in licensing two of the patents in FY YEAR; we negotiated with this
company under an NDA. Company C2 informed us that it would like to start selling the
product at the beginning of FY YEAR, after completing product development.
My major roles in supporting the PI and my colleague (the IP manager) in charge of IP
management and licensing were as follows:

DIFFICULT PROBLEM CAUSED. SOLUTION I PROVIDED.
I proposed an idea that effectively broadened the claim of the patent. For example, …
I helped the PI draft a roadmap of the PI’s patent portfolio containing NNN patent
applications. I also helped the IP and the IP manager write a strategy for gaining the
commitment of a government funding agency.
I developed OOO ....
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Example Case Study for RTTP Application
(C) 2014 Kosuke Kato, All Rights Reserved
With the IP manager, I conducted licensing negotiations with the international
company. I felt that the basics of the IP valuation methods I learned in the AUTM Valuation
Course and the AUTM Professional Development Course in Hamamatsu helped me
negotiate with the company effectively. More specifically, PPPP....
4. Management of Sponsored Research with Companies and other Universities
On the basis of the PI’s patent portfolio, the PI’s R&D projects expanded. The following
NNN projects were recently initiated:
In MONTH YEAR: The government sponsored a research project with Japanese
company C3 to develop QQQQ. The government awarded this project about ¥XXXX.
In MONTH YEAR: The government sponsored a research project with RRR, SSS, and
TTT. The government awarded this project about ¥YYYY.
My major roles in managing these sponsored research projects were the following:
 I helped .... CONTRIBUTION A
 CONTRIBUTION B
 CONTRIBUTION C
.....
5. Outcome
XXXX ....
Start selling, Sales Volume, License income, Satisfaction of the PI. etc.
Applicant’s Supervisor:
NAME
POSITION
AFFILIATION
Signed:
[Insert Your Supervisor's sign here]
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