Knowledge Exchange and Technology Transfer

Licensing of technologies and other kinds of outputs to the private sector is a crucial mechanism to provide access to knowledge products from universities and public research institutes. This statement considers all types of licenses (exclusive and non-exclusive) across all types of IP, including patents, trademarks, utility models, industrial designs, and plant varieties.

This concerns whether the university/PRI generates income from commercialization of its knowledge products, including licensing income/royalties, etc. Revenue from marketing is considered an indicator of success in achieving the third mission.

There are cases where universities/PRIs may license technologies/inventions for social use (i.e., pro bono) and not receive any income from such licenses. This is common in cases where such technologies/devices are used for non-commercial purposes including teaching and research or where the beneficiaries are disadvantaged (e.g., small scale farmers) or when the university/PRI in question views this donation as part of its corporate social responsibility (CSR).

A start-up is a new firm/company while a spin-off is an independent company created from an existing parent company. In this case, the start-up/spin-off will emerge from the university and use a technology/invention originated from the university/PRI as the basis of its operations. Start-ups/spin-offs are viewed as vehicles through which universities exploit their technologies/devices, especially in cases where the market for such products/services do not already exist.

This shows the level of involvement of staff in the setting up and ownership of new start-ups and spin-offs. Often the start-ups/spin-offs exploit technologies, skills, and knowledge of university staff. In many cases, staff directly involved in the creation of these technologies (e.g., the inventors) are listed as founders/directors of the new companies. This enhances both the prestige (hence motivation) as well as the economic status of the staff involved and may act as encouragement for others.

Some of the projects conducted by students could have commercial potential, and with the right support framework and an entrepreneurial spirit, some of the students could form their own companies either before or soon after their graduation. This will require institutional support, mentorship, and networks from both within the university and the private sector. The role of incubation becomes handy in supporting such entrepreneurial students.

It is typical for university/PRI staff to get involved in creating technologies/inventions that are freely available for public use and legal sharing (creative commons) or be involved in collective innovation where many players come together to solve societal problems through new ideas, technologies, etc. (social change). In many cases (not necessarily all) social enterprises (mostly non-profit) has been used to achieve such goals. In such cases, university staff and students “donate” their time, skills, and expertise in the service of the common good. Besides commercialization (where the university obtains some income from the sale of its IP), social innovation/enterprise (giving freely without any profit motive) presents another impact pathway for university/PRI research outputs.

Collaborative projects involving academic partners are common. This statement concerns joint R&D projects involving academics with their non-traditional partners (these could be industry players, farmers, etc.). Such partners should be actively engaged in the execution of the R&D projects (from conception to actual implementation). Donors and funders of research, therefore, do not qualify as non-academic partners. People consulted as part of agenda-setting/defining the research agenda but not involved in the actual research also do not qualify.

Even when joint R&D involve private sector actors, often such projects are funded either from donor funds or public money. The extent of private sector funding to research is reasonably uncommon in developing countries. This statement considers whether, and the extent to which some of these joint projects have been funded by the private sector, irrespective of the amounts of such funding. In other words, the emphasis is on the likelihood and frequency rather than the value/volume of such financing.

This is mainly about the trend in joint projects with non-academic partners. It concerns whether there has been a downward/upward or constant trend in such projects.

Postgraduate research presents an opportunity for faculty and students to address problems in industry and other stakeholder groups. This concerns whether the concerns/demands routinely inform such projects of the private sector.

This concerns whether, when postgraduate students focus on problems of the private sector, they (private sector) meets part of the costs of such research projects. Cost-sharing is both a sign of commitment/support as well as an appreciation of the value/quality of the support received.

Contract research and consultancies are an avenue for academics and researchers to contribute knowledge to the private sector. This concerns the extent to which the private sector is the main client in such consultancies. It doesn’t matter who pays for such consultancies so long as the private sector is the primary/designated clients/consumer of the research outputs. The funding, therefore, may come from NGOs/Donors/Public sector, but it suffices that the private sector is the intended users/beneficiaries of such research/consultancies. This may be a reflection of how actively the university/PRI is involved with its immediate stakeholder communities.