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STC 383 KNOWLEDGE & TECHNOLOGY TRANSFER AND ADOPTION aka: Knowledge, Innovation &Technology Transfer, Diffusion and Adoption. Theory and Practice. STC 383 Session 1 Agenda. Detailed Introduction to STC 383 Definitions of KTT Introduction to Modeling

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STC 383KNOWLEDGE & TECHNOLOGY TRANSFER AND ADOPTIONaka: Knowledge, Innovation &Technology Transfer, Diffusion and Adoption

Theory and Practice

stc 383 session 1 agenda
STC 383 Session 1 Agenda
  • Detailed Introduction to STC 383
  • Definitions of KTT
  • Introduction to Modeling
  • Discussion of R&D as a precursor to KTT and of Sourcing R&D for innovation initiatives.
  • 2 Breaks ~ 2:45 and 4:15
stc 383 teaching team
STC 383 Teaching Team
  • Dr. David Gibson, Director, Research Programs, Fellow, IC2; MSSTC Faculty; world traveler, boating and lighthouses, practices yoga, dancing and music, plays the guitar, and dear pet, Helen
  • Ms. Meg Wilson, IC2 Fellow; MSSTC Faculty, globe traveler, weaver, gardener, gourmet cook. Perfect spouse, Fred Chriswell.
  • Darius Mahdjoubi, UT Austin Ph.D. Candidate, (Topic: Atlas of Innovation). P.E. ; MSSTC TA Member, Association of Professional Engineers Ontario. Hobbies: Travel, Swimming, Mountain Climbing, Classic Music, Cartography.
course overview
Course Overview

STC 383 will introduce you to

  • state-of-the-art theory and practice on knowledge and technology transfer (KTT) and adoption,
  • focused on transfer and adoption of knowledge & technology across organizational boundaries,
  • including business, academia, and government at regional, national, and international levels of analysis.
course overview1
Course Overview

STC 383 will introduce

  • established and innovative models;
  • concepts and best practices of innovation and knowledge management;
  • organization behavior;
  • governmental policies; and
  • communication theory

as all pertain to knowledge & technology

transfer, adoption, and diffusion.

course overview2
Course Overview

Course efforts will focus on analyzing the

barriers, challenges, facilitators and metrics on

knowledge/technology transfer and adoption


  • Intrapreneurship, entrepreneurship, spin-outs and spin-ins.
  • Industry, government, and academic organizations including R&D consortia, national labs and university research centers
  • Regional and global implications of knowledge/technology transfer and application in the digital age
stc 383 sessions
STC 383 Sessions

# 1: Overview & Introduction to R&D (Wilson)

# 2: KTT Modeling: Critical Success Factors (Gibson)

# 3: KTT and Marco Issues: The Context of Innovation (Gibson)

# 4: Innovation Policies: Public and Private (Wilson)

stc 383 sessions1
STC 383 Sessions

# 5: KTT Support Structures: Incubators and Benchmarking (Wilson & Gibson)

# 6: KTT and Global Perspectives (Gibson)

# 7: University Research Commercialization Processes (Wilson)

# 8: Consortial And National Laboratory Commercialization Processes (Wilson)

# 9: Indirect Policies’ Affect on KTT and Course Wrap-up (Wilson)

assignments and grading
Overall Class Participation (including Blackboard discussions& critiques, chats, teamwork, and other contributions to class success)

Critique of Readings #1

Critique of Readings #2

Individual KTT Model

Team KTT Model

Analysis of Direct Government Policy

Ideal Path Analysis

Final KTT Model









Assignments and Grading
assignments and due dates
Assignments and Due Dates
  • Individual KTT Model June 24
  • Critique of Readings # July 8
  • Team KTT Model July 11
  • Analysis of Direct Government Policy* Aug 22
  • Critique of Readings #2 Aug 28
  • Ideal Path Analysis Sept 16
  • Final KTT Model Sept 16
first assigment looming
First Assigment Looming...
  • Individual KTT Model: This model should be developed as a power point or word document, identifying key elements of your own work or professional experience with a KTT effort and should include a brief ranked list of barriers, challenges and facilitators.
  • Syllabus: READ IT & Use It
  • Filenames: crucial
  • Team assignments: STC383 [team name] [assignment name]. Example: STC383 GroupW final KTT model
  • Individual assignments: STC383 [last name] [assignment name]. Example: STC383 Wilson Individual KTT model
  • Filenames: Use em!
  • Evaluations: Do em!
  • Assignments: Email em!
  • New Info: Post em!
  • Questions: Ask em!
  • Suggestions: Make em!
  • Late Assignment (points)*: Lose em!
keys to class success
Keys to Class Success
  • Active Participation – in class and online
  • Active blackboard use for class integration
  • Sharing knowledge and experiences
  • Creative Modeling
  • Knowledge Integration
integrated courses
Integrated Courses
  • The courses of MSSTC are integrated: They are interwoven to elucidate the deep and broad concept of “commercialization of technological innovation.”
  • The courses of MSSTC - unlike conventional academic programs such as MBA or MS - are not parallel courses with substantial overlaps and holes.

How might we model this difference?

mba courses





















Total: 20 courses, 4 semesters (2 years)

MBA Courses
msstc courses













Total: 12 courses, 3 Trimesters (1 year)

MSSTC Courses

1st Trimester

2st Trimester

3st Trimester




msstc students need to be able to
MSSTC Students Need to be able to:
  • become familiar with the integrated process of commercialization of technological innovation.
  • analyze and develop “models” to explore, explain and organize the integrated process of commercialization of technological innovation.
  • work in team-organization that are needed for the integrated process.
  • analyze “cases” proper for the integrated process.
you need to be able to
You Need to be able to:
  • develop strategies that nurture the integrated process of technology commercialization and share and integrate this vision in internal reports (strategies).
  • develop, as external reports (business plans) that let you acquire the support needed for the development of a technology commercialization.
  • develop presentations (elevator pitch, VC presentation) to secure the financial and administrative support needed for the development of a technology commercialization.
models and integration
Models and Integration
  • Developing shared views is essential for the team- members to transcend geographic zones, professional backgrounds and modes of learning and to follow the path of integrate courses.
  • Proper models play a key role in creating and developing shared views and in sustaining the integration inside teams, companies, courses, etc!
modeling fundamentals
Modeling Fundamentals

Models can show:

  • Actors, stakeholders, key players
  • Actions, reactions, process flows
  • Timing & Relationships between and among actors, factors and actions.
the commercialization process
The Commercialization Process

Source: Vijay Jolly. Commercializing New Technologies

jolly s model of technology commercialization








Jolly’s Model of Technology Commercialization

Sub-Processes: Building the Value of a New Technology

Venture Analysis

Tech Assessment

Business Plan

3. Incubate

to define



the dual




Sustain commercialization


Mobilize Interest

and endorse-ment



complimentary assets for delivery


Mobilize resource




Mobilize market





Bridges: Mobilizing the Stakeholders

Source: Jolly, Vijay. 1997. From Mind to Market.

a global challenge
A Global Challenge










two basic forms of technology transfer to commercial applications
Two Basic Forms of Technology Transfer to Commercial Applications

private sector

federal labs



private sector

federal labs




process application



corporate labs




spin-out technologies


what do we mean by all of this
What do we mean by all of this…
  • What do you think knowledge is?
  • What do you think innovation is?
  • What do you think R&D is?
  • What do you think technology is?

Darius’ View of Knowledge, Innovation and Technology










Creativity and Human Innovation

components of knowledge webster leif edvinsson and michael s malone intellectual capital 1997
Components of Knowledge?(Webster& Leif Edvinsson and Michael S. Malone, Intellectual Capital, 1997)



  • factual information used as a basis for reasoning,and calculation
  • the communication or reception of knowledge or intelligence
  • knowledge obtained from investigation, study, or instruction
  • intelligence, news

Definitions/Concepts to Think About and to Discuss


  • the fact or condition of knowing something with familiarity gained through experience or association
  • acquaintance or understanding of science, art, or technique
  • the fact or condition of being aware of something
views on innovation and knowledge
Views on Innovation and Knowledge

Innovation is the ability to build on previous knowledge and generate new knowledge.

Leif Edvinnson

Successful innovation depends on converting knowledge flows into goods and services.

Debra Amidon

Knowledge creation is the key source of innovation in any company.

George von Krogh


Definitions/Concepts to Think About and to Discuss


  • technical language
  • applied science
  • a technical method of achieving a practical purpose
  • totality of the means employed to provide objects necessary for human sustenance and comfort

Human Capital

The combined knowledge, skill, innovativeness, and ability of the company’s individual employees to meet the task at hand - including company values, culture, philosophy.

Human capital cannot be owned by the company

“Wetware”/tacit knowledge/intangibles/ know-how


Structural Capital

The hardware, software, databases, organizational structure, patents, trademarks, and everything else of organizational capability that supports employee productivity;

Customer capital and relationships

Everything left in the office when the employees go home

(unlike Human Capital) can be owned and traded

Codified knowledge.


Intellectual Capital

Human brainpower, brand names, intellectual property that is protected, trademarks,

Assets often/traditionally valued as zero on the balance sheet

Human + Structural = Intellectual Capital Capital Capital

(Leif Edvinsson and Michael S. Malone, Intellectual Capital, 1997)

the knowledge based economy




(Human capital or wetware)

The Knowledge-Based Economy


• books

• discs

• goods

• talent

• skills

• know-how


Technology Transfer

the adoption of knowledge (commercialization and processes)

A (the?) new source of wealth is information/knowledge applied to work to create value

Walter Wriston, The Twilight of Sovereignty, 1992

technology transfer was is
Technology Transfer: Was & Is ?
  • Prime the R&D pump.
  • Over the wall.
  • Part of a serial process (linear, sequential, ordered).
  • Involves a deliverable product—the more fully formed the better.
  • Expert to user—technology marketing.
  • Trickle out over time.

Technology Transfer Perspectives

Joint Venture

Technology Integration

Product Launch


Prototype Development

Investment of

Time and Resources

Product Licensing

IP Protection

Seminars, workshops, conferences

Trade shows, Invention Fairs

Most Passive

Most Active



Knowledge Capture and Protection





commercialization utilization deployment application

Technology Transfer:

Commercialization Utilization Deployment Application

The Adoption of Knowledge

Other Relevant Labels

  • Management of Innovation
  • Diffusion of Innovation
  • Management of Technology
  • Knowledge Management
technology transfer definitions
Technology Transfer Definitions...

"The business transactions or processes, such as patent licenses or start-up companies, by which innovations are moved from one place (such as a university), development stage or application to another place (such as a company) for a commercial purpose. (We include defense conversion as a special case under this definition.)”

Michael Odza, Celebrating ten years of assisting tech transfer professionals via Technology Access Report and Intellectual Property Advice (for researchers)

another definition
Another Definition...

"Technology transfer - the dissemination of all the information necessary so that one party may duplicate the work of another party. The information is of two types, technical (engineering, scientific, standards) and the second is procedural (legal, non-disclosure agreements, patent rights, licensing).” Andy Gluck


Technology transfer is an umbrella term that encompasses the range of processes from most passive to most active: info transfer (what universities do so well); intellectual property protection (allows for legal transfers); technology development; lassoing resources; technology integration; and technology adoption through to the sale of new or innovative products or processes based on a new application of scientific knowledge or technology (and increasingly on innovative business structures). Meg Wilson on former Pax Website


Technology Transfer: The range of processes, from knowledge transfer to product or process commercialization, that facilitate the development and adoption of knowledge and technology.

Meg Wilson on former Pax Website

perpetual tension
Perpetual Tension...
  • Vannevar Bush believed that “Basic research leads to new knowledge. It provides scientific capital. It creates the fund from which the practical applications of knowledge must be drawn…”
  • He also cited a “perverse law” that “applied research invariably drives out the pure”. *

* Lost at the Frontier, US Science and Technology Policy Adrift, Deborah Shapley & Rustum Roy, ISI Press, 1985, pgs 14 – 15.

science policy foundation and features
Science Policy Foundation and Features


Lost at the Frontier: U.S. Science and Technology Policy Adrift, Deborah Shapley/ Rustum Roy

TechnologicalFruit Tree

ContemporaryBasic ScienceFloweringTree

Applied Science and Engineering

$ $ $

$ $ $

Skilled Labor

On the ShelfScience

Regional Planning


Venture Capital

Public Support

r d definitions
R&D Definitions
  • Basic Research Objective:
    • Government/Academic: “to gain more comprehensive knowledge or understanding of the subject under study, without specific applications in mind
    • Private Sector: “research that advances scientific knowledge but does not have specific immediate commercial objectives…may be in fields of …commercial interest.
r d definitions1
R&D Definitions
  • Applied Research
    • General: Gaining “the knowledge or understanding to meet a specific, recognized need”.
    • In Industry: “includes investigations oriented to discovering new scientific knowledge that has specific commercial objectives with respect to products, processes, or services”
r d definitions2
R&D Definitions
  • Development
    • “the systematic use of the knowledge or understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including the design and development of prototypes and processes”.
r d is the key
R&D is the Key
  • R&D is the key precursor to technology knowledge, developments and commercialization.
  • The source, sponsor, purpose, documentation and R&D processes affect commercialization paths and thus need to be acknowledged and better yet, be understood.
so what who cares
So What? Who Cares?


1. Your government spends of dollars on R&D. So, you might care about that because they:

  • Are funding research in an area of your expertise and you need to keep up with the latest technology
  • Are funding your competitor to do that research putting you at a disadvantage
  • Have an open competition for performance of the R&D and you might want to get funded to do that work (supports your agenda and gives you new funding)
more reasons
More Reasons...
  • You ...
    • Are pumping millions of dollars into a new area of R&D and it suggests a new market opportunity to you…!
    • Have developed a hot new technology and the government allows you to license needed integration components
    • Need to procure services or R&D efforts or components/equipment and you could get into the government procurement business or find R&D partners.
final reasons
Final Reasons...

2. Your government might provide tax credits for R&D – goes to your bottom line

3. Your government may regulate private R&D (e.g. medical and pharmaceutical research) and you must operate under those regulations

4. Other governments may regulate that R&D differently (e.g. less stringently) and it may provide you an opportunity to conduct R&D less expensively and at lower risk initially or, conversely, may inhibit your ability to enter a market if the policy barriers are high.

understanding how to unlock r d resources
Understanding How to Unlock R&D Resources
  • For any of this to happen, you need to:
    • Understand the Context, Players and Programs
    • Understand the Processes
    • Understand the Information Resources
taking advantage of r d resources
Taking Advantage of R&D Resources
  • You also need to understand those factors as they relate to:
    • National, state/provincial, and local funding & research organizations
    • Agency/national mission-oriented R&D
    • University research structures, roles and funding
    • Private R&D investments and the role they play in national economies
    • R&D as a measure of competitiveness and economic health
    • The relationship between R&D and innovation (or lack thereof…)

Sourcing R&D....


Understanding How to Unlock R&D Resources

  • For any of this to happen, you need to:
    • Understand the Context, Players and Programs
    • Understand the Processes
    • Understand the Information Resources
1800 to 1940 characterization
1800 to ~ 1940 Characterization
  • Creation of the US University Land Grant System (Ag & Engineering – Morrill Act, 1862), and the general proliferation of universities in the US -- few academic institutions had any kind of scientific program until late in the 19th century.
  • Dominance in Science and R&D by European universities
  • Independent inventors -- Angel funding (e.g. Tesla)
  • Development of Corporate R&D Labs (e.g. Westinghouse, Bell, Edison) – there were 4 in the US in 1890 and 1030 by 1930
  • Industrial funding of individual inventors anduniversities
r d and science policy the context
R&D And Science POLICY: the CONTEXT
  • Primary NEW 20th Century Player:
  • WHY:
  • World War II
  • Then the cold war
  • Space Race
1940 present characterized by dramatic changes
1940-present Characterized by Dramatic Changes
  • Government funding – grew phenomenally into today’s multi $Billion enterprise
  • University R&D: industrially funded Research Centers were supplemented (sometimes supplanted) by government sponsored Scientific Centers of Excellence and support of individual principal investigators (PIs)
changes in 70 90s
Changes in ‘70-90s
  • Industry funding surged into the 70’s, 80’s and 90’s. The mainstay players, manufacturers, declined in their R&D investment while information-related technologies more than made up their decline in recent years.
changes in 70s and 80 s
Changes in 70s and 80’s
  • The 1970-1990’s have seen an inventor/ entrepreneur resurgence and a major shift from general manufacturing-based businesses to technology service, information and advanced manufacturing businesses.
  • We also see an explosion of innovative R&D support structures such as science & R&D parks and technology incubators.
privatization policy impacts
Privatization Policy Impacts
  • Federal Governments in many countries have been THE primary source of R&D
    • Centralized government
    • Government owned industries and utilities

Privatization in the 80s and 90s has led to an explosion of industrial research and increase in overall research in many developing and emerging market countries

global trends 80s 90s
Global Trends 80s-90s
  • Privatization promotes industry R&D
  • Cooperative Research programs in EU (now funding the 5th Framework) -- consortial research expands worldwide
  • Japan R&D enterprise expanded significantly.
  • South Korea builds an R&D infrastructure from scratch in 40 years
  • Technopolis development becomes a conscious policy, globally
private sector growth
Private Sector Growth
  • European Research Council endorsed EU target, recommending that businesses help increase R&D to equal 3% of GDP in each member State by 2010.
private sector perspectives
Private Sector Perspectives
  • Corporate R&D labs now a vestigial part of former R&D empires.
  • R&D moved to divisional responsibility -- R&D seen as a tax on Divisions...
  • Outsourcing an increasing strategy for conduct of R&D
  • Joint ventures now common
what is the prospect for the 2000s
What is the prospect for the 2000s?
  • Continued erosion of public investments in R&D?
  • Less basic R&D through companies – more attention to applied research?
  • Universities become the bastions of basic R&D – controversy explodes over their role in R&D
  • Private sector horns in on key R&D areas formerly conducted wholly by public/university sources…
  • R&D still seen as an engine to economic development (rightly or wrongly…)
  • New ethical issues arising to change landscape

Understanding How to Unlock R&D Resources

  • For any of this to happen, you need to:
    • Understand the Context, Players and Programs
    • Understand the Processes
    • Understand the Information Resources
r d as a of gdp
R&D as a % of GDP

* Australian Ministry for Industry Science and Resources claims Australia has world’s 3rd highest ratio, 1999

NSF National Patterns in R&D Resources, 1998, Science Indicators, 1998

industrial r d spending flows of u s and foreign affiliates by world region 1998
Industrial R&D spending flows of U.S. and foreign affiliates, by world region: 1998
selected us industry sectors
Selected US Industry Sectors

1996 Constant $Billions


Understanding How to Unlock R&D Resources

  • For any of this to happen, you need to:
    • Understand the Context, Players and Programs
    • Understand the Processes
    • Understand the Information Resources
r d sources indicators
R&D Sources/Indicators
  • Data Sources: NSF, OECD, UN, World Bank, country-by-country
  • Indicators: Ph.D. production, publications, patents filed, patents granted, educational science competitions, workforce data
  • OTHER Sources and Indicators?
r d programs
R&D Programs
  • Agencies: NSF, DOD, EPA, NIH, etc.
  • Private Sector: Industry Roadmaps, special R&D, Consortial R&D
  • Programs: SBIR, ATP, Homeland Security, DARPA grants, EPCORE
  • Processes: Grants & Contracts, appropriations & program White Papers and Congressional Studies, R&D procurement, SBIR/STTR partnering, state-level R&D (e.g. Texas’ ARP and ATP programs)
session theses wrap up
Session Theses: Wrap Up
  • Modeling Concept and Practice
    • Modeling integrates the two
    • Modeling is a key methodology of the program
  • KTT definitions are not static, nor understood uniformally
  • R&D is the precursor to technology and tracking it allows for more effective R&D prospecting, forecasting, and sourcing – which can lead to new and/or better KTT!