1. University Technology Transfer and Commercialisation of Research: Some Evidence from International Best Practice Brian Harney CISC Seminar Programme 21st October, 2004

2. Technology Transfer Rationale Rhetoric of the Knowledge Economy
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

3. Technology Transfer Role of Universities Universities Industry
► Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
Universities
Industry
Government
Triple Helix and ‘Strategic role’ of Universities in Knowledge based Economies

4. 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

5. Theoretical Perspectives
Technology Transfer
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

6. Theoretical Perspectives
Technology Transfer
Thursby and Kemp
(2002)
Rogers et al.,
(2000)
Poltz et al.,
Siegel et al.,
Thursby et al., (2001)
Carlsson and Fridh
Friedman and
Silberman
(2003)
Sample Size
(Universities)
112
131
142
113 47
170 83
Years Analysed
1996
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 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 and Survey of TTO
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
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
Rationale
► Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer

7. 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

8. Technology Transfer Activities 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.
Rationale
Theoretical Perspectives
► TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer

9. Technology Transfer Activities Managing expectations
Rationale
Theoretical Perspectives
► TT Structure and Activities
Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer
Stakeholder
Actions
Primary Motive
Secondary Motive
Organisational Culture
University
Scientist
Discovery of
New
Knowledge
Recognition
within
the Scientific
Community
Financial gain and a
Desire to secure
additional
research funding
Scientific
TTO
Works with
faculty and
Firms/
entrepeneurs to
structure deal
Protect and
Market the
university’s IP
Facilitate technological
diffusion and secure
additional research
funding
Bureaucratic
Firm/
Entrepren
eur
Commercial
NewTechnology
Financial Gain
Maintain control of
Proprietary
technologies
Entrepreneurial

10. Technology Transfer Skill Set Ability to build networks
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’

11. Technology Transfer Means for TT 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;
Rationale
Theoretical Perspectives
TT Structure and Activities
► Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer

12. Technology Transfer Means for TT
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.
Rationale
Theoretical Perspectives
TT Structure and Activities
► Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer

13. Technology Transfer Means for TT
TT via licensing or enterprise development
Rationale
Theoretical Perspectives
TT Structure and Activities
► Means for TT
Conditions influencing University TT
Key Issues for University Technology Transfer

14. 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

15. Culture and Ethos for Commercialisation
Key Issues
Technology Transfer
Culture and Ethos for Commercialisation
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
Mechanisms for Technology
Transfer
Organisation
Structure
Staff/Resources
Activities
Strategic Tech Transfer
Evaluation
Mechanisms
Policies and Procedures
Researcher Commitment, Motivation, Awareness

16. Technology Transfer Key Issues
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer

17. Culture and Ethos for Commercialisation
Key Issues
Technology Transfer
Culture and Ethos for Commercialisation
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
Mechanisms for Technology
Transfer
Organisation
Structure
Staff/Resources
Activities
Strategic Tech Transfer
Evaluation
Mechanisms
Policies and Procedures
Researcher Commitment, Motivation, Awareness

18. Technology Transfer Key Issues Developing Technology Transfer Metrics
Need for 'local' metrics
Organic nature of university-industry interactions
Differences across disciplines
Resistance/lack of enthusiasm for evaluative metrics
Interdependence between university activities
Indirect impacts
Serendipity
Over 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
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer

19. Culture and Ethos for Commercialisation
Key Issues
Technology Transfer
Culture and Ethos for Commercialisation
Rationale
Theoretical Perspectives
TT Structure and Activities
Means for TT
Conditions influencing University TT
► Key Issues for University Technology Transfer
Mechanisms for Technology
Transfer
Organisation
Structure
Staff/Resources
Activities
Strategic Tech Transfer
Evaluation
Mechanisms
Policies and Procedures
Researcher Commitment, Motivation, Awareness

20. 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