The role of Technology Transfer Offices in research driven universities: it’s

7.2 The role of Technology Transfer Offices in research driven universities: it’s

raised by the European Paradox² . Based on that, nowadays it is well known and extensively documented that TTO operations should be understood from the perspective of uncertainty and non-linearity characteristics of the innovation process (Debackere, 2012). Besides that, in the last years the majority of European universities have economical stringency imposed by the governments which creates new expectations in the TTO function, namely, in the management of intellectual property portfolio and in the exploitation and commercialization of scientific discoveries. Taking this into account and considering also the role of the universities in the regional development context, the TTO has now a larger scope including the relations with small and medium enterprises (SME), as well as the entrepreneurship promotion and the support in the creation of new spin-off companies.

7.2.1 TTO Organization

Nowadays the TTO activities has a considerable weight in the so called third mission of the universities due to the multidisciplinary demands from society as well as to the necessary synergies across its core mission (education and research). Taking this into account and considering the reality of each university, it is reckless to indicate one common formula that will fit all the scenarios and resources available in each institution. Nevertheless, based on the best practices of UATEC (Technology Transfer Unit of the University of Aveiro), a TTO organization should have, at least, the following offices:

Marketing Office - This office should be responsible for the entire communication of the TTO, following the rules and the communication strategy of the university. Being the main target of the potential TTO digital citizens (the so-called Z Generation), forcibly the way of its communication should be laid in the social platforms (Facebook, Linkedin, Instagram, etc) and in a modern and actualized web page. The organization of events, such as training courses, workshops and conferences should also be their responsibility as well as all the TTO front office and the internal intermediation with other TTO offices.

Intellectual Property Office - This office should manage all the assets related to intellectual property (IP) that belongs to the university. The management of invention disclosures, the drafting of patents and relations with IP attorneys, the registration of intellectual property rights (IPR) in the national offices and the control of intellectual property portfolio are their main tasks.

Licensing Office - The technological screening activities, the drafting of technological offers, the scouting and valuation of IPR, the market search of potential licensees, the negotiation of license contracts as well as the management of pos-license process are some of the more important activities that the licensing office should perform.

Entrepreneurship Office - This office is responsible for one of the most important tasks that TTO nowadays should provide to the academia, i.e., induce in each student, professor or researcher an entrepreneurial culture/mindset. To do so, this office should promote and organize entrepreneurship events, such as: workshops, courses, acceleration programs, bootcamps, business idea contests, etc. The supporting of students, researchers and faculty members that are willing to explore commercially the knowledge generated in university, should be made by these staff through business consulting and business development activities. The management of business idea disclosures, the development of mentors and proof-of-concept programs, as well as the

2 European Commission Green Paper 1995

support in seeking funding and giving guidance in the negotiation process with investors, are some of the knowledge valorization activities provided by this office.

Liaison Office - The promotion and management of the links with companies should be supervised by this office, in order to guarantee that the university’s public goods, that could be available on the market, are made at fare prices and according to the free competition laws. The management of consulting services, collaborative research and research and development (R&D) funding applications are some of the activities provided by this office.

7.2.2 TTO Critical Success Factors

The key role of people, namely TTO staff, professors and researchers, are one of the main critical factors guarantee the success on a TTO. In fact, the absence of the existence of one well recognized technology transfer career, in the majority of universities, is one of the biggest barriers for the maintenance of a stable and organized TTO team. Campbell (2007) mentioned that there is no rule for the type of background that TTO staff need, since most of it could be learned on the job or by specific training. Despite this, in a research-intensive university, the specialization and professionalization of the TTO staff is fundamental to achieve the best performance of TTO in order to serve business and academic community in the valorization of the scientific discoveries.

Besides that, an efficient services administration, namely at the juridical and financial level is crucial for the maintenance and accomplishment of the contracts with companies. Nevertheless, the TTO staff should understand very well the academic environment and its modus operandi, in order to give their insights and experience with the business environment enabling the promotion of knowledge transfer to society. As mentioned before, it is crucial that the research driven universities give a clear message to academia as well as to the companies that the TTO has the necessary autonomy and freedom to operate in its name, in order to protect the status of professors and researchers in the negotiation processes with companies. In fact, the management of TTO staff in negotiation process will avoid any conflict of interest as well as will protect the image and the position of the faculty members in the future relationships with companies.

Other very important key role in the success of a TTO is the involvement of professors and researchers in the technology transfer processes. Indeed, they are one of the most important triggers in the relation with companies. From the perspective of TTO staff, as well as from the leadership of universities, they should not be seen only as suppliers of knowledge or technologies, but they should be seen as one of the main valorization agents. In order to ensure their constant involvement, internal incentives at economic and career levels should be created, i.e., the universities should have clear regulations that defines their rights and obligations as well as an evaluation system that take in consideration all the technology transfer activities developed by them. Besides that, special attention should be given to the definition of code-of-conduct in order to avoid any conflict of interest in the relations of professors and researchers in license contracts or spin-offs creation.

Another critical success factor already mentioned above is related with the juridical and financial autonomy of TTO, since the majority of European universities are public funding. The creation of some legal framework (like company or non-profit association) or a clear statement from the leadership of universities, given governance and function autonomy to the TTO, is mandatory to facilitate the transfer of research results financed by public funds to the market. The TTO autonomy should be promoted according to the structure and process that best fit the interest of universities.

The democratization of TTO activities through the promotion and implementation of a transversal structure should be one of the most important critical success factors for the new TTO

generation, i.e., the central TTO should create smaller infrastructures in departments, schools and research units that will “replicate” some of their upstream functions and activities in order to develop innovation-drive joint research platforms where researchers from universities and companies work together in co-creation, co-developing and co-transferring activities.

7.2.3 TTO Internal Network

Taking into consideration that the resources available for a TTO are finite and scarce, mainly at human resources level, it is suitable to define new strategies and operational plans in order to overlap this strong need, as well as to turn the TTO more inclusive and integrated in the activities of education and research in universities. We report some practical measures implemented by UATEC that could be seen as a starting point of an internal technology transfer network creation. This network starts with the implementation of the UATEC Pivots, UATEC Technological Platforms and UATEC Mentors Club (MentAll).

The UATEC Pivots were created in order to potentiate the relation between the TTO and the Departments, Schools and Research Units through the appointment of one (professor, researcher or technician) representative member. The UATEC Pivots has the responsibility to be the intermediary and facilitator of the process related with Intellectual Property Office, Entrepreneurship Office and Liaison Office. This win-win 4 year mandate relation is normally materialized by the continual training provided by UATEC staff to Pivots in technology transfer, for one hand, and for the other, Pivots will give training to the TTO internal network members about competences, services and research results developed in his department, school or research unit.

UATEC Technological Platforms were virtual structures that had a supra department and supra research unit mandate to transfer knowledge of excellence and the technological means developed at the university to business sectors. The Technological Platforms falls within the university commitment to coordinate internal skills addressed to key sectors of the national economy, with the purpose of giving an articulated and multidisciplinary answers to the needs and challenges of companies.

The MentAll, is the trademark created to UATEC Mentors Club. This mentors club has the main purpose to support the Entrepreneurship Office in the relations with entrepreneurs. The support of entrepreneurs in the definition of business model, the market search, proof-of-concept needs, identification of business experts as well as the identification of funding schemes are some of the tasks that mentors will provide to entrepreneurs in the process of validating ideas and creating Startups.

The positive results of creation and management of the internal technology transfer network allows the recognition of the UATEC trademark inside the academia since the majority of students, professors and researchers are daily involved in their mission and they are also recognized as being innovative and contributing to innovation in companies. Besides that, the relations with companies increases, showing a better and a more confident industry cooperation, that are translated in bigger and longer collaborative research projects.

7.2.4 Conclusion

Research driven universities with high performance in scientific production has an advantage position in the relationship with companies, since the market has the ability to recognize the best scientific outputs (know-how, research results, discoveries, inventions, etc.). However, in our opinion, if these universities desire to empower their third mission, they should provide

autonomy to the TTO and generate conditions to their interconnectivity with the functions and missions of education and research areas.

The creation of TTO internal network were the first step provided by University of Aveiro in the direction of new TTO generation, allowing the implementation of transversal structure model by the dynamization/creation of TTO centers in some departments and research units. In fact, all the diligences, top down or spontaneously generated in the departments or research units, taken in order to implement the TTO centers, will provide the necessary mechanisms, incentives and recognition to the researchers that will promote collaborations with companies, reinforcing the mission, procedures and rules endogenization of the central TTO in the valorization of the scientific results in the society. The integration of the TTO managers in the TTO internal network, also potentiated better results and performance in the TTO indicators, such as the number and the value of collaborative research contracts, services contracts, inventions disclosure and patents, license contracts and spin-off creation.

References

Campbell, A.F. (2007). How to set up a Technology Transfer Office: Experiences from Europe. In Intellectual Property Management in Health and Agricultural Innovation: A Handbook of Best Practices. Chapter 6.3,559-566.

Debackere, K. (2012). The TTO, a university engine transforming science into innovation. In Advice paper from League of European Research Universities. N.º 10, 1-15.

Debackere, K. and Veugelers, R. (2005). The role of academic technology transfer organizations in improving industry-science links. In Research Policy, Vol. 34, 321 -342.

Young, T. A. (2007). Establishing a Technology Transfer Office. In Intellectual Property Management in Health and Agricultural Innovation: A Handbook of Best Practices.

Chapter 6.2, 545-558.

OECD (2011), Technology Transfer Offices. In Innovation Policy Platform.