University Technology Transfer and Commercialisation of Research: Some Evidence from International...
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Transcript of University Technology Transfer and Commercialisation of Research: Some Evidence from International...
University Technology Transfer and Commercialisation of Research:
Some Evidence from International Best Practice
Brian Harney
CISC Seminar Programme21st October, 2004
Technology Transfer Rationale
► Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
- Rhetoric of the Knowledge Economy
- Impetus for Increased Emphasis on Research
Commercialisation
- Business Demands for Research excellence
Technology Transfer Role of Universities
► Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
Universities
GovernmentIndustry
Triple Helix and ‘Strategic role’ of Universities in Knowledge based Economies
Technology Transfer Dispelling Myths
► Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
• Technology Transfer is not new phenomenon
• Technology Transfer is not a major source of revenue
• Technology Transfer activities compliment not
cannibalize
Technology TransferTheoretical Perspectives
Rationale
► Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
- Defining Technology Transfer
- Rational Linear Model vs Relationship Perspective
- Diversity of models and channels for TT
- Technology Transfer Process
Technology Transfer Theoretical Perspectives
Rationale
► Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
Thursby and Kemp(2002)
Rogers et al.,
(2000)
Poltz et al.,(2000)
Siegel et al.,(2002)
Thursby et al., (2001)
Carlsson and Fridh
(2002)
Friedman and Silberman
(2003)
Sample Size(Universities)
112 131 142 113 47 170 83
Years Analysed
1991-96 1996 1991-98 1991-96 1994-96 1991-95 1997-99
Measurement of effectiveness
Licenses executed; industry sponsored research; patent applications; invention disclosures;Royalties received
Scale based on invention disclosures; patent applications; licenses; license income; start-ups
Patent applications 1991-98 in Biotechnology;Total University Patents
No of license agreements and license revenues
Licenses executed; royalties received; number of patents; amount of sponsored research
TT modeled as a sequence of events, focus on number of patents and licenses
Invention disclosures, licenses, start-us; royalty income licenses with equity
Primary Data Sources
AUTM AUTM and NSF
AUTM, UPSTO
AUTM AUTM and Survey of TTO
AUTM and Survey of TTO
AUTM
Key Results Faculty quality important, Private more efficient than public, medical school less efficient
Significant and positive are faculty quality, no of Staff, Federal research funding
Significant and positive are faculty quality, no of Staff, Federal research funding
Universities in States with higher levels of R&D are less inefficient, Older TTOs are better
Significant and Positive are invention disclosures, no of staff, medical school, not significant is faculty quality
Research expenditures, invention disclosures, years TTO operating is important
Importance of rewards for faculty involvement, location, mission, and experience of TTO staff
Technology Transfer Structure
Rationale
Theoretical Perspectives
► TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
• Technology transfer structures at universities are complex and path dependent.
• Organisational factors and structure can affect technology transfer outcomes
• In terms of generic organisation structure the most effective for TT seems to be the Matrix Structure
• Most TTO offices do not operate as stand alone entities but rather leverage networks/associations
Technology Transfer Activities
Rationale
Theoretical Perspectives
► TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
Main Activities
- Dealing with disclosure of inventions
- Record keeping and management
- Evaluation and marketing
- Patent prosecution
- Negotiation and drafting of license agreements
- Management of active licenses
• A strategic focus for university-business collaboration
• Training faculty in patenting and in the innovation
process.
• The one of the key responsibilities of an ILOs is as the
guardian of the university intellectual property.
Technology Transfer Activities
Rationale
Theoretical Perspectives
► TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
Managing expectations
Stakeholder
Actions Primary Motive Secondary Motive Organisational Culture
UniversityScientist
Discovery ofNewKnowledge
Recognition within the ScientificCommunity
Financial gain and aDesire to secureadditionalresearch funding
Scientific
TTO Works withfaculty andFirms/entrepeneurs tostructure deal
Protect andMarket the university’sIP
Facilitate technologicaldiffusion and secureadditional researchfunding
Bureaucratic
Firm/Entrepreneur
CommercialNewTechnology
Financial Gain Maintain control ofProprietary technologies
Entrepreneurial
Technology Transfer Skill Set
Rationale
Theoretical Perspectives
► TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
- Ability to build networks
- Capacity for brokerage
- A wider vision about the university and the
economy
- Ability to marrying market niches and gaps
- Strategic skills in identifying university research
strengths,
- Legal and intellectual property skills,
- Skills in company formation.
- Industry Experience
- Cold Calls and ‘getting the deal done’
Technology Transfer Means for TT
Rationale
Theoretical Perspectives
TT Structure and Activities
► Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
• Facilitating factors
– Clarity in the frameworks and procedures of exploitation and commercialisation policy;
– Transparency in decision-making concerning exploitation and commercialisation activity;
– Good information and contact provision to academic personnel regarding intellectual property and commercialisation procedures;
– Streamlined decision-making procedures;
Technology Transfer Means for TT
Rationale
Theoretical Perspectives
TT Structure and Activities
► Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
The probability of patenting is greater when:
• A technology is clearly patentable
• A technology has favourable cost-benefit considerations (good commercial prospects or a potential buyer is already interested in the technology)
• A potential buyer offers to patent collaboratively,
• The OTT is approached and even persuaded by a faculty inventor.
• The key question regarding licensing is which areas of university research are most likely to lead to licensing potential and how universities best organise their licensing activities and they should assess the expected revenue.
Technology Transfer Means for TT
Rationale
Theoretical Perspectives
TT Structure and Activities
► Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
• TT via licensing or enterprise development
Technology Transfer Conditions
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
► Conditions influencing University TT
Key Issues for University Technology Transfer
• Condition for technology transfer and research commercialisation identified
– Marco conditions
– Mirco- level factors
• Types of barriers to commercialisation of research
– Institutional
– Operational Barriers
– Cultural Barriers
Technology Transfer Key Issues
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
Mechanisms for
TechnologyTransfer
OrganisationStructure
Staff/Resources
Activities Strategic Tech
Transfer
EvaluationMechanisms
Policies and Procedures
Researcher Commitment, Motivation, Awareness
Culture and Ethos for Commercialisation
Technology Transfer Key Issues
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
A Co-operative Model of ILOs
Shared Services Could Include
University based Services
Licensing negotiation
Market Research for New Technologies
IP Marketing
IP Management
Spin Out Creation
Legal Expertise
Raising Awareness of IP issues
Negotiating Collaborative Research Contracts
Reach-out to business
Consultancy contracts
Local contact
Source: Adopted from Lambert (2003:56).
Technology Transfer Key Issues
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
Mechanisms for
TechnologyTransfer
OrganisationStructure
Staff/Resources
Activities Strategic Tech
Transfer
EvaluationMechanisms
Policies and Procedures
Researcher Commitment, Motivation, Awareness
Culture and Ethos for Commercialisation
Technology Transfer Key Issues
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
• Developing Technology Transfer Metrics
Need for 'local' metricsOrganic nature of university-industry interactionsDifferences across disciplinesResistance/lack of enthusiasm for evaluative metricsInterdependence between university activitiesIndirect impacts SerendipityOver emphasis on efficiency versus effectiveness
•The true impact of industrial liaison offices on technology transfer process is difficult to measure quantitatively (Fassin, 2000:40)
•Indicators should facilitate better management by university administrators
Technology Transfer Key Issues
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
Mechanisms for
TechnologyTransfer
OrganisationStructure
Staff/Resources
Activities Strategic Tech
Transfer
EvaluationMechanisms
Policies and Procedures
Researcher Commitment, Motivation, Awareness
Culture and Ethos for Commercialisation
Technology Transfer Concluding Points
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
• Culture and ethos of commercialisation
• Commitment, Motivation, Awareness
•Varieties of Excellence