Institutional settings of a triple helix: Industry - R&D institution – University cooperation for effective technology transfer – An Indian Experience Subrata Banerjee Scientist G Department of Scientific and Industrial Research Government of India

Transformation processes in university- industry-R&D relations in recent years Institutional spheres of university, industry, and R&D, in addition to performing their traditional functions, each is assuming the roles of the others Closer interaction among government, industry and academia, forming a triple helix, is playing an increasingly important role in S&T Triple Helix is mainly of a collaborative nature Triple Helix : Cooperation for effective Tech. transfer

S&T Infrastructure Science & Technology Policy involving setting up of chain of R&D labs all over India Major Scientific Agencies : oDRDO – 50 laboratories oDOS – 8 laboratories oICAR – 70 laboratories oDAE – 15 laboratories oCSIR – 39 laboratories oDST – 20 Scientific Institutions oICMR – 25 laboratories Industry DSIR operates schemes recognizing R&D units of industry 1205 recognized R&D units and over 500 recognized SIROs as on March, TRIPLE HELIX – INDIAN SCENARIO

Sector-wise break up of Industry Sector-wise break up of SIROs TRIPLE HELIX – INDIAN SCENARIO Agricultural Sciences - 40 Medical Sciences Natural & Applied Sciences Social Sciences Universities/Colleges - 20 Chemical & Allied Industries Electrical & Electronic Industries Mechanical Engineering Industries Processing Industries Agro & Food Processing Industries & Others - 90

TRIPLE HELIX – INDIAN SCENARIO Academia – Strong Academia Base 250,000 S&T Personnel each year 310 university level institutions 7 Indian Institute of Technology (IIT) 6 Indian Institute of Management (IIM) Prestigious Indian Institute of Science 15 National Institutes of Technology colleges for imparting specialized education in different disciplines (AICTE)

Investment on R&D and Innovation in India National Expenditure on R&D increased from Rs. 89,136.1 million in 1967 to Rs. 129,015.4 million in National Expenditure on R&D increased from Rs. 89,136.1 million in 1967 to Rs. 129,015.4 million in National Investment on R&D activities – Rs. 180,000 million in and Rs. 216,390 million in National Investment on R&D activities – Rs. 180,000 million in and Rs. 216,390 million in In , 84.1% R&D expenditure incurred by 12 scientific agencies including CSIR, DRDO, DAE, DBT, DST, DOS, DOD, ICAR, ICMR, MICT, MNES In , 84.1% R&D expenditure incurred by 12 scientific agencies including CSIR, DRDO, DAE, DBT, DST, DOS, DOD, ICAR, ICMR, MICT, MNES Total investment on R&D by industrial sector increased from Rs. 4,505.6 million in to Rs. 52,000 million in Total investment on R&D by industrial sector increased from Rs. 4,505.6 million in to Rs. 52,000 million in

Technology Transfer – Overview and Initiatives in India Technology Transfer – form of technology diffusion Emphasizing contractual relationships Assignment of the Knowledge content of technology Dissemination of tacit and codified knowledge Technology Transfer through Foreign Direct Investment (FDI) Firms transfer technology through Joint Ventures with local corporations R&D institutions in both private and government sector have developed new technologies which are tested and then available for transfers for commercialization OVERVIEW INITIATIVES

INITATIVES IN INDIA Considerable importance to Science and Technology : o Thrust on S&T reinforced in the Technology Policy Statement (TPS) of Govt. of India announced in January, 1983 o Thrust on S&T, R&D and innovations further reinforced through the S&T Policy, 2003 Initiatives taken by Ministry of Science & Technology, Govt. of India : To facilitate commercialization of R&D Output Institution based Programmes and Support measures to plug existing gaps : Fiscal Incentive and Support Measures for Industrial R&D and Innovation Centres Technology Development and Demonstration Programme (TDDP)

INITATIVES IN INDIA Drug Development Programme and Pharmaceuticals Research and Development Support Fund (PRDSF) New Millennium India Technology Leadership Initiative (NMITLI) Small Business Innovation Research Initiative (SBIRI) Entrepreneurship Development Cell (EDC) Science & Technology Entrepreneurs Park (STEP) Technology Business Incubator (TBI)

Fiscal Incentives & Measures for Industrial R&D Centres Government taking several measures towards promoting industrial research to establish workable linkages between national labs, educational institutions and industry ACTION UNDERWAY- Income Tax relief on R&D expenditure as per Income-Tax Act Weighted tax deduction U/s 35 (2AA) of IT Act 1961 for sponsored research programmes Weighted tax deduction U/s 35 (2AB) of IT Act 1961 on in-house R&D expenditure in chemicals, drugs, pharmaceuticals etc

Fiscal Incentives & Measures for Industrial R&D Centres Accelerated depreciation allowance under Rule 5(2) of IT Rules on new plant & machinery set up based on indigenous technology Customs duty exemption on goods imported by recognized in house R&D units in Govt. funded R&D projects Customs duty exemption as specified goods and pharmaceutical standards imported by R&D Units Excise waiver for 3 years on good designed and developed by wholly Indian owned company 10 years tax holiday to commercial R&D companies approved by the Prescribed Authority (Secretary, DSIR) after 31 March 2000 and before 1 April 2004 Financial support for R&D Projects

Technology Development and Demonstration Programmes Catalyzing and supporting activities relating to technology absorption, adaptation and demonstration including capital goods development by involving industry and R&D organizations and academia Innovative technologies are up-scaled from the proof of concept stage to pilot/pre- commercial stage by the industrial R&D units

Promoting collaborative R&D in drugs and pharmaceuticals sector involving industries and institutions Pharmaceuticals Research and Development Support Fund (PRDSF) with an initial corpus of Rs.1500 million (US $ 35 million) in January, The fund will be used for supporting Pharma R&D projects by extending soft 3% interest. Drug Develop Prog. & Pharma. Research & Devp Support (PRDSF)

To enable Indian Industry to attain a global leadership position in a few selected niche areas by leveraging innovation-centric scientific and technological developments in different disciplines Financial support is provided as a grant to public institutions and as a loan with an interest rate of 3% to private sector companies New Millennium India Technology Leadership Initiative (NMITLI

To boost public-private partnership efforts in the country Support to high risk, pre-proof of concept research and late stage development in small and medium companies To support private industries and to get them involved in development of such products and processes which have high societal relevance Small Business Innovation Research Initiative (SBIRI)

Creating entrepreneurial culture in S&T institutions to foster techno-entrepreneurship for generation of wealth and employment by S&T persons The EDCs are established in academic institutions having requisite expertise and infrastructure Entrepreneurship Development Cell

To create an atmosphere for innovation and entrepreneurship for active interaction between academics & industries, for sharing ideas, knowledge, experience and facilities for the development of new products and services and their rapid transfer to the end users Science & Technology Entrepreneurs Park

Technology and Business Incubators To bolster economic development by stimulating growth of technology and knowledge based enterprises and generation of value added employment Helps in incubating knowledge based start- ups into sustainable businesses by providing specialized guidance, critical support services, innovative financing and networking support within a well equipped work space

Key Issues in Triplex Helix Cooperation: To increase the flow flexibility of university researchers –To Modify the current personnel policies to improve the flexibility –To design a suitable compensation system To establish an incentive system to encourage university-industry cooperation –To design a suitable promotional system to encourage university researchers to conduct industry-oriented research –The current recruiting system to be modified to allow industrial experts to become an academic faculty member Levels of Triple Helix Cooperation & Key Issues

Proposed cooperation in Indian context Liaison Cells Different ways by which universities and industries can help each other are summarized below : The universities can: Set up Liaison Cells that have adequate data bases on facilities and expertise available in universities, as well as the features of industries in the region Provide material characterization, testing and certification facilities Keep the industries informed about new developments Provide consultancy services like the development of computer software, conduct of surveys, and solving of problems Help industries to induct and maintain modern technology Provide training programmes for technicians, scientists and engineers

Proposed cooperation in Indian context The industries can: Support research programmes of applied nature Make available sophisticated and costly instruments to universities for research Provide financial assistance for the infrastructure development of the university Participate in teaching programmes Assist in the development of courses useful to industries Provide facilities for on-job training to students Assist teaching programmes by giving endowments

Measures : oEncourage university-technology partnerships oInvest in Entrepreneurial Support Organizations oEnable Private-Sector Investment in the new Technologies and Technology based Companies oRemove Legal Barriers to University – Industry Technology Transfer oMonitor Programmes and Policies affecting Technology Transfer MEASURES TO PROMOTE TECHNOLOGY TRANSFER

CONCLUSION Academia, Public and Private research and development institutes, Industry and government are getting closely involved Industrial Development requires education, training and Technology Development and Transfer Industry, R&D institutions and University cooperation helps faster technology transfer and absorption In triple helix situation, industry, university and R&D institutions in performing their traditional functions, each assumes the role of the other.

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