Knowledge Transfer from Public Research Organisations : Study for STOA

1. Knowledge Transfer from Public Research Organisations: Study for STOA Paula Knee Erik Arnold Technopolis 29 February 2012

2. The Study • The study was conducted in two phases: • First examining the role of Technology Transfer Office (TTOs) in innovation and, after an initial literature review, widening to encompass knowledge transfer from PROs more broadly • The study covered PROs i.e. universities and public research institutes • Method: to review knowledge transfer in theory and practice – via literature review and detailed case studies of individual PROs – 19 in Europe and 3 in USA. Cross-section of PROs by geographic location, size / innovativeness of economy, size of institution, research-intensity • Interviewed head of Knowledge Transfer Office (KTO), senior staff member responsible for knowledge transfer (vice rector level) and academics

3. Role of Businesses and PROs in Innovation Businesses • Businesses are at the centre of innovation • Innovation is a complex process interactions and feedbacks between market opportunities, technological capabilities and internal learning processes • They take innovation inputs from a range of internal and external sources • External sources, in the first instance, are suppliers and customers • PROs are another, but generally, lesser used source of inputs PROs • Social role of PROs is to produce knowledge and make it widely available to society • Historically this has been through providing skilled graduates (teaching) and creating and disseminating new knowledge (research) • In recent time a more pro-active approach to the interaction of PROs with society – particularly businesses in pursuit of economic and social impact – the third or knowledge transfer mission for PROs

4. Sectoral Patterns of Innovation • Different sectors innovate in different ways – relying on suppliers and customers and other external sources to different extents and with different objectives for their innovation activities - products/ process/service innovation • Some sectors are more predisposed to work with PROs than others: • Those in science-based sectors will seek inputs from the research-base (e.g. pharmaceuticals, electronics) • Are able to absorb knowledge from the research-base • Tend to rely on patents to protect innovations • Other sectors interact with PROs in different ways, making use of different knowledge transfer mechanisms • Furthermore, the science-base sectors interact with PROs in a variety of ways, over and above the transfer of formal IP

5. The Journey from Technology to Knowledge Transfer • Early third mission policy was directed at technology transfer – involving the transfer of formal IP • Over time policy-makers and PROs themselves have recognised that PROs interact with businesses in a variety of different ways and in most cases formal IP is not the mechanism used, and that very few PROs could generate income from this activity • The focus has shifted from: Technology Transfer Knowledge Transfer Knowledge Exchange

6. KT Mechanisms

7. The Current Role of KTOs in Innovation • A complex role mediating and stimulating a wide range of KT interactions in support of a wider innovation system • Therefore KTOs are responsible for a range of KT mechanisms • The mission of most KTOs is not to generate IP-based income for the PRO, but to ensure knowledge flows to where it can be put to best use • Most KTOs are the responsibility of the vice-rector (or equivalent) for Research or relatively new senior post of vice-rector for innovation/ enterprise/ knowledge transfer • Majority (63%) of KTOs studied are structured as internal support functions

8. Development and Implementation of a KT Mission • PHASE 1: Government-level • Formal political support / requirement for KT • Removal of legal/regulatory barriers to KT • Strong policy support for KT • PHASE 2: PRO-level • Establishment of KT strategies, policies, processes and governance structures • Creation of KTO, recruitment of professional KT staff • PHASE 3: PRO-level • Consolidation of KT mission • Embedding a KT culture • Recognising &rewarding KT activities among academic & KT staff • Embedding the PRO in innovation networks

9. Policy Recommendations (1) Public policy needs to: • Recognise thepublic good role of PROs and ensure that policy interventions relating to knowledge transfer do not focus solely on the protection and exploitation of PRO-generated IP • Ensure this third mission is incorporated into relevant legislation in countries where a legislative basis for such policy shifts is required • Ensure that PROs are obliged to have knowledge transfer (or ‘third’) missions and that this mission is embedded in PRO institutional strategies. • Eliminate remaining legal and structural barriersto PRO knowledge transfer activities • A third mission, as required by public policy, must have appropriate funding. No one funding method suits all jurisdictions but the route to funding should be clear • Publications. Therefore the impact of full open access for publicly funded research outputs should be reviewed with a view to moving in this direction

10. Policy Recommendations (2) At the level of PROs • Roll out the extended KTO model in smaller and often more regional universities as well as in the leading institutions • Academic career structures need to align with the three PRO missions of teaching, research and knowledge transfer • Knowledge transfer professionals need to be recognised and rewarded appropriately • PROs should organise the KTO function so that it is the shared responsibility of the senior university research manager or a specialist KT/innovation manager • PROs should ensure their KT activities not only ‘sell’ IP and licensing but also the wider range of ‘soft’ cooperations possible – and that this balance will depend on the type of PRO • Especially smaller and more regional PROs should explore opportunities to pool their KT activities

11. Policy Recommendations (3) Stimulating ‘demand’ -enabling businesses to interact with PROs • To bring businesses into networks with PROs • To deepen relationships and help businesses remain in the networks

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