1. Extra - DIME workshop September 29-30, 2006 1 Laurent Bach, Nicolas Carayol, Patrick Llerena BETA- L. Pasteur University of Strasbourg and CNRS (UMR 7522) *pllerena@cournot.u-strasbg.fr Assessing the performance of French University transfert offices: preliminary results

2. Extra - DIME workshop September 29-30, 2006 2 Presentation of the survey content First main results and remarks: -on research contracts and patents -Performance indicators and their interpretation Presentation of ongoing work: SFE estimation OUTLINES

3. Extra - DIME workshop September 29-30, 2006 3 STUDY ON UNIVERSITY TT : Presentation Performed : 2005-2006 BETA Univ. L. Pasteur + French TTOs network CURIE On the behalf of university presidents (CPU) and the French Ministry of Education, Higher Education and Research (MENESR) survey by e-questionnaire filled out by universities' TTOs - General organisation and functionning of TTOs (status, expend. and resources, policy, forms of contracts, personal, etc) - Measurement of activities of TTOs situation as end 2004 + time-based variables 2000-2004 first of a regular evaluation sent to all universities (88, incl. INP) + 11 members of CURIE; base : 2003 Ministry data The study on TT activities of universities

4. Extra - DIME workshop September 29-30, 2006 4 STUDY ON UNIVERSITY TT : Main results Sample and representativity : 74 answers (66 univ. + 3 INP + 5 others) Rate of return : 74.7 % 78% of the universities + INP between 71% and 100% according to the type of universities between 8 and 10 out of the 10 Top universities (18 out of Top 20) according to Ministry data on research-oriented resources, number of teacher-researchers, industrial contracts, IPR revenues sample mean ≈ poulation mean for those criteria Not 100% answers on 100% questions => following results on sub- sample of respondants (not detailed here) First results of the study

5. Extra - DIME workshop September 29-30, 2006 5 STUDY ON UNIVERSITY TT : Main results Creation of TT activities : more than 50% of univ. since 1999 (law on innovation), some very old ones Size of TTOs : 263 Full-Time Equivalent; 3.9 FTE per university; 1.2 TTOs staff for 100 teacher-researchers (exl. PROS staff of university labs) Total 2004 expenditures 9.049 million €; 148 K€ per university; 2% of 2003 research-oriented resources Organisation : in 86% of the case TTOs = department or internal service from the university (1/5 : the 1999 born SAIC) 31 universities have at least two TTOs (2nd = very often external entity) 54% of the TTOs employees are civil servants Head : engineer (57% of univ), half have experience in private business.

6. Extra - DIME workshop September 29-30, 2006 6 STUDY ON UNIVERSITY TT : Main results Research contracts and services : 2000-2004 : 766.8 M€ Average per university per year : 2.6 M€ (research contracts = 10 x service contracts) / 73 contracts Results on "outputs"

7. Extra - DIME workshop September 29-30, 2006 7 STUDY ON UNIVERSITY TT : Main results

8. Extra - DIME workshop September 29-30, 2006 8 STUDY ON UNIVERSITY TT : Main results Patent (applying – French priority/EPO) : 2000-2004 : 1104 patents = 3.3 patent per university per year (≈ 20% of univ.: no patent) Patent (ownership – French + extension) End 2004 : 464 patents = 9.9 patents per university 58% fully owned - 240 are extensions (European patent or national ones)

9. Extra - DIME workshop September 29-30, 2006 9 asymetric distribution of performance STUDY ON UNIVERSITY TT : Main results

10. Extra - DIME workshop September 29-30, 2006 10 STUDY ON UNIVERSITY TT : Main results Licensing 2000-2004 : 351 licenses awarded (1.1 license per year per university 50% on patent and related know-how 30% awarded to less than 3 years old university spin-off Revenues from license 2000-2004 : 22.1 M€ ((90% on patent & related know-how) ) average : 0.2 M€ per university per year Other results on creation of firms, spin-off shareholding, "entrepreneurship" of civil servants, etc End 2004 : 243 "active" licenses (5.2 per university) 126 licenses are generating money (2.7 per univiversity)

11. Extra - DIME workshop September 29-30, 2006 11 STUDY ON UNIVERSITY TT : Main results

12. Extra - DIME workshop September 29-30, 2006 12 Performance indicators : some results and remarks per year on 2000-2004 ("flow" data) : number of patent claims number of copyright on software number of licenses awarded per year income from licenses per year (€) amount of industrial contracts (€) 2004 ("stock data") number of patents owned number of current licenses number of licenses generating incomes TT performance indicators from the study :

13. Extra - DIME workshop September 29-30, 2006 13 patent indicators : what about patent claim property regime ? - 1 Performance indicators : some results and remarks Performance as effectiveness : coverage of indicators 2000-2004 : on 1091 patent claims, 79% (859 patents) full or co-ownership ownershipwaived

14. Extra - DIME workshop September 29-30, 2006 14 patent indicators : what about patent claim property regime ? - 2 Performance indicators : some results and remarks Performance as effectiveness : coverage of indicators

15. Extra - DIME workshop September 29-30, 2006 15 patent indicators : what about patent claim property regime ? - 3 Performance indicators : some results and remarks Performance as effectiveness : coverage of indicators

16. Extra - DIME workshop September 29-30, 2006 16 Contracting activities indicators : what about distribution according to the different sources ? - 1 Performance indicators : some results and remarks Performance as effectiveness : coverage of indicators

17. Extra - DIME workshop September 29-30, 2006 17 Contracting activities indicators : what about distribution according to the different sources ? - 2 Performance indicators : some results and remarks Performance as effectiveness : coverage of indicators Performance indicators : industrial contracts compared to research-oriented resources : decreasing share ? distribution of different resources ? Crowding out or in effects ? In terms of funding ? Of activities ?

18. Extra - DIME workshop September 29-30, 2006 18 Performance indicators : some results and remarks Towards a first measurement of a "TT chain-link "

19. Extra - DIME workshop September 29-30, 2006 19 Performance indicators : some results and remarks "average university" is far behind "frontier university" Top universities perform differently on different activities

20. Extra - DIME workshop September 29-30, 2006 20 Two articles on TTO performance: on UK (Chapple, Locket, Siegel and Wright (R.P, 2005) and on US data (Siegel, Waldman and Link (R.P. 2003)). We tried to start with, an estimation using very similar technics, the SFE We add some new variables (more appropriate to the french case) SFE (stochastic frontier estimation): first trials

22. Extra - DIME workshop September 29-30, 2006 22 SFE (stochastic frontier estimation): first trials

23. Extra - DIME workshop September 29-30, 2006 23 Number of licences: very similar results 1. on production: (+) staff TTO; research income (UK-U)/subv (F) Legal exp.: (-) US/UK; (+) F : institutional particularities 2. on inefficiency: (-) MedicalSchool; (-) LocPub spending, (+) internal R&D Lic. Income: poor results (in both cases) (+) Staff TTO more important in F. Number of patents + additional variables: 1. on production: (+) staff TTO; legal exp. and dummy for Sc Uni. and INP 2. on inefficiency: (-) LocPub spending, (+) internal R&D Lic. Income + additional variables: poor results on prod: (+) Staff TTO and legal exp OR dummy on inefficiency: emergence of Agex ie the age of TT activities SFE (stochastic frontier estimation): first trials

24. Extra - DIME workshop September 29-30, 2006 24 THANK YOU FOR YOUR ATTENTION

27. SFE (stochastic frontier estimation): first trials

32. Extra - DIME workshop September 29-30, 2006 32 patent indicators : what about patent claim property regime ? - 4 Performance indicators : some results and remarks Performance as effectiveness : coverage of indicators LOLF ‘performance’ indicators : Are the incentives and governance structure right ? What about the effectiveness of both ? In particular in terms of technology transfer to firms ?

33. Extra - DIME workshop September 29-30, 2006 33 The LOLF LOLF : Loi Organique sur la Loi de Finance Public Budgeting procedures / Parliementary level Adopted 2001 - first implemented 2005 for 2006 budget Objectives : control of public money /actions multi-year strategic planning more flexibility of funds allocation Gvtal action : very broad missions->programmes->actions Performance targets and related evaluation system : objectives / performance indicators Budget year N+1 voted by Parliament depending on evaluation of success in year N (+ 5 years horizon)

34. Extra - DIME workshop September 29-30, 2006 34 Performance indicators : some results and remarks Towards a first measurement of a "TT chain-link " 2000-2004, one license => 119 K€ as revenue As for 2004 one patent owned => 0.34 license 42% of the licenses are generating revenues, ie one patent => 0.14 license generating revenues revenue : 78 K€ per license = 11 K€ per patent owned