Knowledge, Technology Transfer and the Third Mission of Universities : A mixed method approach investigating innovation ecosystems, collaboration projects and technology transfer offices

Sammendrag Målet med med denne avhandlingen er å kunne gi mer og bedre innsikt i den kunnskap- og teknologioverføring som skjer i universiteter og andre offentlige forskningsinstitusjoner innenfor innovasjonsøkosystemer. Bakgrunnen for dette er at offentlig finansiering i forskning i stor grad er politisert, og at universitetene forventes i økende grad å tilbakeføre verdi fra forskning til samfunnet. Dette blir omtalt som det tredje samfunnsoppdraget i tillegg til de to andre, forskning og undervisning. Universiteter over hele verden har tilgang til et kunnskapsoverføringskontor (KTO) eller til et mer spesialisert teknologioverføringskontor (TTO) for å hjelpe dem med å utføre det tredje samfunnsoppdraget. Disse kontorene kan organiseres enten internt eller eksternt. Tradisjonelt har innovasjon og kommersialisering basert på forskning blitt sett på som en lineær prosess drevet av økonomisk vekst i samfunnet eller av økonomiske motivasjoner hos de enkelte forskere. Disse lineære prosessene gjenspeiles også i statlige finansieringsordninger samt i universitetenes strategier og støttefunksjoner. I det siste er det imidlertid påpekt i forskningslitteraturen at universitetenes tredje samfunnsoppdrag synes å være i en overgang fra en mer økonomisk begrunnet aktivitet til en aktivitet nærmere fundert i bærekraft og generelle forbedringer i samfunnet. Denne overgangen er delvis begrunnet med de mange globale utfordringene vi opplever i dag, som klimaendringer, en aldrende befolkning, epidemier og miljøtrusler. I avhandlingen er forholdet mellom kunnskap og teknologioverføring fra universiteter, industrifinansierte forskningsprosjekter, etablering av innovasjons- og kommersialiseringsprosjekter og involvering av TTO-aktører undersøkt. Videre er dette forholdet sett i lys av aktørenes rolle i innovasjonsøkosystemet. Forskningen har vært tverrfaglig og spenner over fagområdene innovasjonsstudier og økonomisk geografi. PhD kandidaten arbeider selv i en TTO og med oppgaver innenfor kunnskap og teknologioverføring. Et underkapittel i avhandlingen er derfor viet refleksjoner over hvordan dette kan påvirke forskningen i både positiv og kanskje også i mer negativ retning. Hovedfunnene i avhandlingen kan kort oppsummeres som følger: Universiteter, TTOer og eksterne samarbeidspartnere tilhører naturlig ulike typer økosystemer, henholdsvis innenfor innovasjon, kunnskap og ulike næringer eller verdikjeder. Disse økoystemene har ulike sett av verdier og logikker. Når aktører fra flere økosystemer samarbeider i prosjekter, må de krysse grensene til andre økosystemer enn sitt eget. Dette skaper både konflikt og læring. Med et søkelys på prosjekter innenfor det tredje samfunnsoppdraget til universiteter gir denne avhandlingen derfor en innsikt i både mekanismer for samarbeid, om hvordan kunnskap og teknologioverføring faktisk foregår mellom aktørene, samt at dynamikk mellom de ulike økosystemene utforskes i både tid og rom. Motivasjonen for å gå i gang med et innovasjons og kommersialisering prosjekt ser ut til å å være mer basert på et sosialt engasjement enn økonomiske motiver. Dette gjelder ikke bare for forskere, men er også uttrykt fra andre involverte aktører, som instituttledere, TTO ansatte samt eksterne samarbeidspartnere i prosjektene. Det er antatt at disse funnene på mange måter gjenspeiler den endringen man i dag generelt ser for det tredje samfunnsoppdraget, mot mer sosiale og bærekraftig aktiviteter, og dermed også en del av en tredje generasjons innovasjonspolitikk. Universiteter, sammen med andre forskningsorganisasjoner og statlige finansieringsinstitusjoner, synes imidlertid fortsatt å agere etter prinsippene i andre generasjons innovasjonspolitikk og muligens til og med fra første generasjon. Med andre ord, de vurderer fortsatt innovasjon og kommersialisering som lineære prosesser (første generasjons innovasjonspolitikk) og favoriserer økonomiske belønninger (andre generasjons innovasjonspolitikk). Dette medfører også at TTOene sine oppgaver ofte begrenses til det kommersielle med et motiv om mest mulig økonomisk gevinst. Spørsmålet reises om universitetets overgang mot en tredje generasjons innovasjonspolitikk ikke også bør gjenspeiles i en endring i roller og oppgaver til de tilhørende TTOene Oppgaven avsluttes med noen råd til beslutningstakere og de som arbeider innenfor feltet kunnskap og teknologioverføring. Råd gis først til dem som arbeider med policy om å påse at den prosessen som i dag pågår rundt organiseringen av kunnskaps- og teknologioverføringsprosesser i Norge, bedre reflekterer den tredje generasjonspolitikken. Som en følge av dette bør kunnskaps- og teknologioverføring betraktes mer som et samfunnsoppdrag enn som en ren økonomisk aktivitet og dermed også reflekteres i finansieringsordningene til TTOene. Det må også da vurderes å utrede om ikke rollen og oppgavene til TTOene bør være mer i tråd med de bredere definerte KTOene. Den spesielle kompetansen TTOer har på immaterielle rettigheter og forretningsmodellering for innovative forskningsideer, må imidlertid opprettholdes og videreutvikles. Til slutt i avhandlingen uttrykkes et håp om at (norske) TTOer både kan omfavne og utnytte de endringer og muligheter som nå synes å komme og ikke holde seg til "business as usual".Abstract The overall research objective of this thesis is to provide insights into the field of knowledge and technology transfer in relation to public research organisations in innovation ecosystems Public funding and investments in research impact have become highly politicised, and universities are increasingly expected to provide value from their research activities to society through a third mission in addition to research and education. Universities worldwide have set up or have access to a knowledge transfer office (KTO) or to a more specialised technology transfer office (TTO) to help them to execute their third mission activities. These offices can be organised either internally or externally. Traditionally, innovation and commercialisation based on research has been viewed as a linear process that is driven by economic growth in society, as well as by the monetary-related motivations of individual researchers. This is also reflected in governmental funding instruments and university supportive structures for third mission activities. However, recent, the literature has revealed that the third mission of universities is now in transition from a monetary-driven policy structure towards a more socially engaged and sustainability-driven mission. This transition is partly driven by the many global challenges we are facing today, such as climate change, an aging population, and diseases and environmental threats. In this thesis the relationship between knowledge and technology transfer from universities, industry-funded research projects, the establishment of innovation and commercialisation projects, and the involvement of TTO actors have been at the core of the research. The research has been interdisciplinary, spanning the fields of innovation studies and economic geography. One section is devoted to describing the authors position as a professional within the field of knowledge and technology transfer including reflections upon how this might have influenced the research. The main findings from the research for this thesis can be briefly summarised as follows: Universities, TTOs, and external collaborative partners are embedded in different types of ecosystems with different logics of actions, like innovation, knowledge, and business ecosystems. When collaborating through third mission activities, the actors span the boundaries of these ecosystems. This crossing creates both conflict and learning. Through the focus on third mission links, this thesis gives valuable insights into the mechanisms for collaboration, knowledge and technology transfer as well as dynamics among the various ecosystems in both time and space. The nature of and motivations for third mission activities seem to reflect social engagement more than economic rewards. This is the case not only for researchers but also for other involved actors, such as department leaders and TTO executives, as well as external collaborative partners. It is argued that these findings in many ways reflect the transition of third mission activities from more monetary-driven and commercial-oriented second-generation innovation policy actions towards more diverse and mission-oriented third-generation innovation policy actions. When supporting innovation and commercialisation activities based on research, universities seem, along with other research organisations and government funding institutions, still left behind in the second generation of innovation policy and possibly even in the first generation. In other words, they are still considering innovation and commercialisation as linear processes and are favouring economic rewards. They are also considering the role of TTOs as taking part of commercial activities alone. The third mission of universities are, however, in a transition towards the third generation of innovation policy. The question remains as to whether this should correspondingly be reflected in a change in the roles and missions of TTOs. The thesis ends with some offers of advice to policymakers and practitioners within the field of knowledge and technology transfer. Some advice towards Norwegian policymakers is given to push the process of transitioning research-based knowledge and technology transfer processes to reflect the third innovation generation policy in a better way. Following this, knowledge and technology transfer should be considered more as a social mission than as an economic activity and consequently, the mission should be reflected in the funding schemes of TTOs. Finally, consideration should be given to initiating a shift in the perception of the roles and tasks for the TTOs in Norway towards the more broadly defined KTOs. The special competencies TTOs have on intellectual property rights and business model development for innovative research ideas, must however be maintained and further developed. Finally, a hope is expressed that (Norwegian) TTOs can embrace and exploit the coming opportunities and will not stick to ‘business as usual’.Doktorgradsavhandlin

Indicators of university–industry knowledge transfer performance and their implication for universities: evidence from the United Kingdom

The issue of what indicators are most appropriate in order to measure the performance of universities in knowledge transfer (KT) activities remains relatively under-investigated. The main aim of this paper is to identify and discuss the limitations to the current measurements of university-industry KT performance, and propose some directions for improvement. We argue that university-industry KT can unfold in many ways and impact many stakeholders, and that, especially in highly differentiated university systems, choosing indicators focused on a narrow range of activities and impacts might limit the ability of universities to accurately represent their KT performance. Therefore, KT indicators should include a variety of activities and reflect a variety of impacts, so as to allow comparability between different institutions and avoid the creation of undesirable behavioural incentives. To illustrate these issues empirically, we discuss the case of the United Kingdom’s Higher Education –Business and Community Interaction (HE-BCI) survey

Higher education systems and industrial innovation: Final report of contract n° SOE 1-1054 - Project n° 1297 funded under the Targeted Socio-economic research (TSER) Programme-directorate general Science, Research and Development - Directorate F European Commission

Co-ordinator of project SESI : Eric Verdier - LEST (France). Partners : Alice Lam - CBS (United Kingdom) ; Christoph Buechtemann – CRIS (Germany) ; Helena Lopes - DINAMIA (Portugal) ; Lorenz Lassnigg - IHS (Austria) ; Jean-Michel Plassard - LIRHE (France)356 p.The objective of the research was to gather empirical evidence about efficient ways of organising the linkages and interfaces between higher education institutions (including research units) and private sector firms in order to spur industrial innovation. One of the project's principal aims was to combine two dimensions which are often considered separately : firstly, the construction of the competences and the professionalities of the actors involved in innovation, and, secondly, transfers of knowledge from higher education to firms and vice versa. Five European countries (Austria, France, Germany, Portugal, UK) were selected in order to provide, at least by way of an initial hypothesis, national systems that were sufficiently disparate from the point of view of the resources "offered" to companies, be it in terms of institutions, organisations or actors. It was essential to include the United States. Indeed, the relations between higher education and companies which have evolved in that country are undoubtedly an international point of reference Three sectors were chosen in each country as being representative of the new challenges emerging for the relationship between higher education and industry in key sectors where generic technologies are tending to develop, albeit in different ways. The investigations within more than 40 firms form the empirical basis of this project. The main results could be summarized as follows :1.The type of skills and competence profiles required of R&D workers are now more demanding in multiple dimensions, particularly in the combination of technical disciplinary expertise with a broad range of business, management and social skills. Emerging evidence suggests that firms are developing 'extended internal labour markets' (EILMs ) through closer links with key universities. The social networks embedded in such EILMs facilitate training and rapid transmission of evolving (uncodified) knowledge. 2. The sample of multinational firms we have selected enables us to take stock of the moves towards industrial rationalization taken by firms seeking to develop their technological globalization strategies by exploiting a diversity of cognitive resources. Preparation for the recruitment and integration of young graduates play crucial roles in the absorption of knowledge. 3. We found six coherent types of science industry relations that we describe precisely. These results further confirm the criticality of research agendas compatibility, favouring two different ways of collaborating associating an industrial partner and an academic one. 4. The analysis identifies four main types of intermediate actors : those actors who are the medium for an economic relationship between the firm and the HERS; the "gatekeepers", who work for a firm or a HERS ; the hybrid actors have been through the process of aligning the practices, rules and values of their "home" system (industry or academia) with those of their partner ; those who are involved in the trilateral network but are independent or on the road to being independent of the partners. 5. Labour-market entry of graduates is one of the factors which allows us to introduce all the signalling/human capital/network problematics and relate it to the emergence of an new form of labour market which combines the mechanisms of the internal and external markets. In spite of this diversity of practices, however, we maintain the hypothesis that it is possible to identify dominant forms of these relations which differ from one country to another. 6. Nevertheless the report insists on the increasing human capital mobility in high tech sectors and supply some evidence of an emerging European innovation systems. 7. Considering a US-Germany comparison, we infer that in IPR matters, German public research institutes – representative of the European continental situation - are facing a dilemma: they need to provide more pre-development type services for industry, involving stricter IPR claims from corporate partners and they also need to retain IPR in core areas of expertise in order to prevent a "bleeding out" and remain a partner for industry in the future.Finally the report provides different policy formulations and recommendations. We underline that for firms, the main objective is to resolve the problems posed by the transition from knowledge to competences. With an OLM of PhD level, the firms, especially very small ones, enable to have easier access to a suitably trained workforce. By promoting the circulation of knowledge, these markets help to reduce the previous conceptual gaps and to promote the creation of greater absorptive capacities at firms, as well as sustaining the spirit of mutual trust and reciprocity in which these networks were founded.At the national level, the lessons learned by public policy makers will be dealt with them in the generalfollowing order :- The United Kingdom, where the policies and regulations are typically market oriented is undergoing a process of specialization.- In France and Germany, where the relations between Science and Industry are facing fairly similar challenges, the scenario tends to alternated between radical change and a process of accommodation.- Austria and Portugal, which have rather different technological and industrial structures, but are both facing the special challenge of adapting the small scale national systems of innovation to the European Union and world-wide competition in general

Higher education systems and industrial innovation: Final report of contract n° SOE 1-1054 - Project n° 1297 funded under the Targeted Socio-economic research (TSER) Programme-directorate general Science, Research and Development - Directorate F European Commission

Co-ordinator of project SESI : Eric Verdier - LEST (France). Partners : Alice Lam - CBS (United Kingdom) ; Christoph Buechtemann – CRIS (Germany) ; Helena Lopes - DINAMIA (Portugal) ; Lorenz Lassnigg - IHS (Austria) ; Jean-Michel Plassard - LIRHE (France)356 p.The objective of the research was to gather empirical evidence about efficient ways of organising the linkages and interfaces between higher education institutions (including research units) and private sector firms in order to spur industrial innovation. One of the project's principal aims was to combine two dimensions which are often considered separately : firstly, the construction of the competences and the professionalities of the actors involved in innovation, and, secondly, transfers of knowledge from higher education to firms and vice versa. Five European countries (Austria, France, Germany, Portugal, UK) were selected in order to provide, at least by way of an initial hypothesis, national systems that were sufficiently disparate from the point of view of the resources "offered" to companies, be it in terms of institutions, organisations or actors. It was essential to include the United States. Indeed, the relations between higher education and companies which have evolved in that country are undoubtedly an international point of reference Three sectors were chosen in each country as being representative of the new challenges emerging for the relationship between higher education and industry in key sectors where generic technologies are tending to develop, albeit in different ways. The investigations within more than 40 firms form the empirical basis of this project. The main results could be summarized as follows :1.The type of skills and competence profiles required of R&D workers are now more demanding in multiple dimensions, particularly in the combination of technical disciplinary expertise with a broad range of business, management and social skills. Emerging evidence suggests that firms are developing 'extended internal labour markets' (EILMs ) through closer links with key universities. The social networks embedded in such EILMs facilitate training and rapid transmission of evolving (uncodified) knowledge. 2. The sample of multinational firms we have selected enables us to take stock of the moves towards industrial rationalization taken by firms seeking to develop their technological globalization strategies by exploiting a diversity of cognitive resources. Preparation for the recruitment and integration of young graduates play crucial roles in the absorption of knowledge. 3. We found six coherent types of science industry relations that we describe precisely. These results further confirm the criticality of research agendas compatibility, favouring two different ways of collaborating associating an industrial partner and an academic one. 4. The analysis identifies four main types of intermediate actors : those actors who are the medium for an economic relationship between the firm and the HERS; the "gatekeepers", who work for a firm or a HERS ; the hybrid actors have been through the process of aligning the practices, rules and values of their "home" system (industry or academia) with those of their partner ; those who are involved in the trilateral network but are independent or on the road to being independent of the partners. 5. Labour-market entry of graduates is one of the factors which allows us to introduce all the signalling/human capital/network problematics and relate it to the emergence of an new form of labour market which combines the mechanisms of the internal and external markets. In spite of this diversity of practices, however, we maintain the hypothesis that it is possible to identify dominant forms of these relations which differ from one country to another. 6. Nevertheless the report insists on the increasing human capital mobility in high tech sectors and supply some evidence of an emerging European innovation systems. 7. Considering a US-Germany comparison, we infer that in IPR matters, German public research institutes – representative of the European continental situation - are facing a dilemma: they need to provide more pre-development type services for industry, involving stricter IPR claims from corporate partners and they also need to retain IPR in core areas of expertise in order to prevent a "bleeding out" and remain a partner for industry in the future.Finally the report provides different policy formulations and recommendations. We underline that for firms, the main objective is to resolve the problems posed by the transition from knowledge to competences. With an OLM of PhD level, the firms, especially very small ones, enable to have easier access to a suitably trained workforce. By promoting the circulation of knowledge, these markets help to reduce the previous conceptual gaps and to promote the creation of greater absorptive capacities at firms, as well as sustaining the spirit of mutual trust and reciprocity in which these networks were founded.At the national level, the lessons learned by public policy makers will be dealt with them in the generalfollowing order :- The United Kingdom, where the policies and regulations are typically market oriented is undergoing a process of specialization.- In France and Germany, where the relations between Science and Industry are facing fairly similar challenges, the scenario tends to alternated between radical change and a process of accommodation.- Austria and Portugal, which have rather different technological and industrial structures, but are both facing the special challenge of adapting the small scale national systems of innovation to the European Union and world-wide competition in general

Harnessing Public Research for Innovation in the 21st Century

Universities and public research institutes play a key role in enabling the application of scientific breakthroughs and innovations in the marketplace. This book, available also as Open Access, suggests the most effective policies to support the transfer of knowledge to firms in order to boost economic growth and foster innovation

Spatial transformation

SPATIAL TRANSFORMATION Spatial transformation / Abassiharofteh, Milad (Rights reserved) ( -