Does policy influence the commercialization route? Evidence from National Institutes of Health funded scientists

The purpose of this paper is to provide an empirical test of the commercialization route chosen by university scientists funded by the National Cancer Institute (NCI) at the NIH and how their chosen commercialization path is influenced by whether or not the university technology transfer office is involved. In particular, the paper identifies two routes for scientific commercialization. Scientists who select the TTO route by commercializing their research through assigning all patents to their university TTO account for 70% of NCI patenting scientists. Scientists who choose the backdoor route to commercialize their research, in that they do not assign patents to their university TTO, comprise 30% of patenting NCI scientists. The findings show a clear link between the commercialization mode and the commercialization route. Scientists choosing the backdoor route for commercialization, by not assigning patents to their university to commercialize research, tend to rely on the commercialization mode of starting a new firm. By contrast, scientists who select the TTO route by assigning their patents to the university tend to rely on the commercialization mode of licensing.     

Academics or entrepreneurs? Investigating role identity modification of university scientists involved in commercialization activity

Establishing the microfoundations of academic entrepreneurship requires closer scrutiny of a key actor contributing to this phenomenon—the university scientist. We investigate the sense-making that scientists engage in as part of their participation in technology transfer and postulate that this process involves a potential modification in their role identity. We analyzed more than 70 h of interview data at a premier U.S. public research university. We observe that scientists invoke rationales for involvement that are congruent with their academic role identity. They typically adopt a hybrid role identity that comprises a focal academic self and a secondary commercial persona. We delineate two mechanisms – delegating and buffering – that these individuals deploy to facilitate such salience in their hybrid role identity. Overall, these patterns suggest that university scientists take active steps to preserve their academic role identity even as they participate in technology transfer. Our findings clarify the social psychological processes underlying scientist involvement in commercialization activity, and offer fresh insights to the academic entrepreneurship, science policy and role identity literatures.     

Commercializing university research in transition economies: Technology transfer offices or direct industrial funding?

There is a paucity of knowledge on research commercialization by university scientists worldwide. The objective of this paper is to identify the role that Technology Transfer Offices (TTOs) and direct Industrial Funding play in university research commercialization in transition economies of Azerbaijan, Belarus and Kazakhstan during 2015–2017. We do this by developing a novel database and a multi-level model which explains how individual attributes, organizational and ecosystem characteristics explain the extent of knowledge commercialization.We apply the generalized Heckman approach to account for two selection biases, reducing the sample from 2602 to 272 scientists, and further use a mixed-method approach to analyse 27 face-to-face interviews with researchers and TTO managers. The results demonstrate that research commercialization is not associated with the existence and awareness of TTO or the establishment of commercialization contracts via TTO, but the direct industrial funding of university research. Taken together the findings have clear implications for scholars, scientific entrepreneurs, TTOs and investors who aim to exploit university knowledge in transition economies.     

The impact of entrepreneurial capacity, experience and organizational support on academic entrepreneurship

Although sources and determinants of academic entrepreneurship have begun to command the attention of policy-makers and researchers, there remain many unanswered questions about how individual and social factors shape the decisions of academics to engage in entrepreneurial activities. Using a large-scale panel of academics from a variety of UK universities from 2001 to 2009, this paper examines how an academics’ level of entrepreneurial capacity in terms of opportunity recognition capacity, and their prior entrepreneurial experience shape the likelihood of them being involved in starting up a new venture. In addition, we explore what role university Technology Transfer Offices (TTOs) play in stimulating venture creation. The results show that individual-level attributes and experience are the most important predictors of academic entrepreneurship. We also find that the social environment surrounding the academic also plays an influential role, but its role is much less pronounced than individual-level factors. Finally, we show that the activities of the TTO play only a marginal, indirect role, in driving academics to start new ventures. We explore the implications of this analysis for policy and organizational design for academic entrepreneurship.     

Assessing the impact of organizational practices on the relative productivity of university technology transfer offices: an exploratory study

We present quantitative and qualitative evidence on the relative productivity of university technology transfer offices (TTOs). Our empirical results suggest that TTO activity is characterized by constant returns to scale and that environmental and institutional factors explain some of the variation in performance. Productivity may also depend on organizational practices. Unfortunately, there are no quantitative measures available on such practices, so we rely on inductive, qualitative methods to identify them. Based on 55 interviews of 98 entrepreneurs, scientists, and administrators at five research universities, we conclude that the most critical organizational factors are faculty reward systems, TTO staffing/compensation practices, and cultural barriers between universities and firms.     

Does inventor ownership encourage university research-derived entrepreneurship? A six university comparison

This paper examines whether university ownership of inventions made by its personnel best serves the widely held social goals of encouraging technology commercialization and entrepreneurship. Using a hand-collected census of technology-based university spin-offs from six universities, one of which is the University of Waterloo and the only inventor ownership university in North America, we compare the number and type of spin-offs produced by these universities. We find suggestive evidence that inventor ownership universities can be more efficient in generating spin-offs on both per faculty and per R&D dollar expended perspective. We find that the field of computer sciences and electrical engineering generates a greater number of spin-offs than do our other two categories – the biomedical sciences, and the field of engineering and the physical sciences. In general, our results demonstrate that inventor ownership can be extremely productive of spin-offs. From these results, we suggest that governments seeking to encourage university invention commercialization and entrepreneurship should experiment with an inventor ownership system.     

Innovation speed: Transferring university technology to market

This study extends innovation speed theory by empirically linking the antecedents and outcomes of technology commercialization at universities. Assessing university technology transfer offices (UTTOs) in the U.S., we found that the faster UTTOs can commercialize patent-protected technologies, the greater their licensing revenues streams and the more new ventures they spin off. Furthermore, using commercialization time as a surrogate for innovation speed, we identify several determinants of speed. That is, UTTO resources and the competency in identifying licensees are related to commercialization time. Also, the participation of faculty-inventors in the licensing process is a critical determinant of commercialization time. Illustrating that innovation speed is an antecedent of performance as well as a desired outcome in and of itself, provides support for innovation speed theory.     

30 years after Bayh–Dole: Reassessing academic entrepreneurship

On the 30th anniversary of enactment of the Bayh–Dole Act in the U.S., we consider the rationale for academic entrepreneurship and describe the evolving role of universities in the commercialization of research. We also discuss and appraise the effects of legislative reform in several OECD countries relating to academic entrepreneurship. The article synthesizes papers from the special section and outlines an agenda for additional research on various aspects of academic entrepreneurship in terms of system, university and individual levels. We also consider measurement and methodological issues that must be addressed in additional research.     

A new industry creation and originality: Insight from the funding sources of university patents

Scientific breakthroughs coming from universities can contribute to the emergence of new industries, such as in the case of biotechnology. Obviously, not all research conducted in universities leads to a radical change from existing technological trajectories. Patents and patent dynamics have long been recognized as critical in understanding the emergence of new technologies and industries. Specifically, patent citations provide insight into the originality of a discovery that has received patent protection. Yet while a large body of literature addresses the impact of patent originality on various firm performance measures, we address the question of what conditions drive patent originality in the process of knowledge creation within the university. Using data on patented cancer research, we examine how research context – as reflected by the funding source for each scientist – is associated with patent originality. We find that when university scientists are partly funded by their own university, they have a higher propensity to generate more original patents. By contrast, university scientists funded either by industry or other non-university organizations have a lower propensity to generate more original patents. The significance of our findings in the cancer research setting call for further research on this question in other research fields.     

空气污染对科学家感知科学传播重要性的影响

国内外学者对科学家参与科学传播的意愿和行为进行了大量研究,但对科学家感知科学传播的重要性如何受到自然环境及个体心理特征的影响尚缺乏研究。本文基于压力转换理论,建立不同主动性人格的科学家如何应对空气污染的两个假设,并通过匹配官方公布的空气污染监测数据与基于问卷调查的科学家自我报告数据对假设进行检验。结果发现：面对空气污染时,强主动性的科学家会显著增强对科学传播重要性的感知,这种感知的改变是通过自我效能感增强实现的;而弱主动性的科学家在面对空气污染时,则不会改变对科学传播重要性的感知。该研究为理解外部环境压力下科学家如何对科学传播重要性做出判断提供了新的视角与证据。     

The effectiveness of university knowledge spillovers: Performance differences between university spinoffs and corporate spinoffs

While much prior research has focused upon how the Technology Transfer Offices (TTOs) and other contextual characteristics shape the level of university spinoffs (USO), there is little research on entrepreneurial potential among individual academics, and to the best of our knowledge, no comparative studies with other types of spinoffs exist to date. In this paper we focus on an important but neglected aspect of knowledge transfer from academic research involving the indirect flow to entrepreneurship by individuals with a university education background who become involved in new venture creation by means of corporate spinoffs (CSO) after gaining industrial experience, rather than leaving university employment to found a new venture as an academic spinoff. We argue that the commercial knowledge gained by industry experience is potentially more valuable for entrepreneurial performance compared to the academic knowledge gained by additional research experience at a university. This leads us to posit that the average performance of CSOs will be higher than comparable USOs, but the gains from founder‘s prior experiences will be relatively higher among USOs whose founders lack the corporate context. We investigate these propositions in a comparative study tracking the complete population of USOs and CSOs among the Swedish knowledge-intensive sectors between 1994 and 2002.     

The spill-over theory reversed: The impact of regional economies on the commercialization of university science

The concept of regional technology spill-overs created by university research is one of the most enduring theories within the economic geography and innovation management fields. This article introduces an alternative perspective on academic commercialization, arguing that the quality of a university's regional environment can significantly impact a university's success in commercializing science. Recent research on university technology transfer stresses the importance of personal contacts between academic and industry scientists in driving commercialization. The social structure of the regional economy in which a university is embedded will strongly influence the density of contacts linking university scientists with individuals in industry, and through doing so, impact the density of networks through which university knowledge can be commercialized. Social network analysis is used to examine the quality of social ties linking industry and university scientists within the San Francisco and Los Angeles California biotechnology industries over the 1980–2005 period. Results support the theory that the existence of strong social networks linking inventors heightens university commercialization output. Despite similar university research endowments, universities in San Francisco have dramatically commercialization outputs than San Francisco, which is correlated with the existence of cohesive inventor networks linking industry and university scientists in this region, but not Los Angeles. Moreover, longitudinal analysis shows that the commercialization output of San Francisco universities increased substantially starting in the early 1990s, the time period in which cohesive inventor networks emerged in the region.     

Assessing differences between university and federal laboratory postdoctoral scientists in technology transfer

While there are numerous studies of university technology transfer, there have been relatively few studies of technology transfer at federal labs. Moreover, studies of university technology transfer have focused on faculty, not post-doctoral scientists. They have also ignored identity and sensemaking theories in organizational behavior, which are relevant in the context of technology transfer. We fill these gaps by examining differences between university post-doctoral scientists and federal lab post-doctoral scientists, in terms of how they engage in technology transfer. Our qualitative analysis is based on extensive interviews of post-doctoral scientists and their supervisors/principal investigators (PIs) at two major research universities and four large federal labs. We find that federal lab scientists are more influenced by mission-driven research and their sense of public service, as compared to university scientists who are motivated more by curiosity-driven research. These motivational differences may constitute significant barriers to technology transfer in federal labs. As compared to their university counterparts, federal lab scientists appear to experience more cognitive dissonance in pursuing commercialization of their research and have more sophisticated resolution strategies for dealing with such dissonance. We also find that PIs at federal labs are not highly incentivized to engage in technology transfer. We discuss additional research needs, as well as the managerial and training implications of our findings.     

学术创业：研究综述与展望

    以1980至2020年发表的相关文献为基础,对学术创业的研究内容进行梳理,内容如下：（1）总结了已有研究中常用的学术创业概念和分类;（2）围绕学术创业主体,重点阐述了个体层面学术创业活动的研究成果;（3）对学术创业领域常用的理论及其适用问题进行了诠释;（4）从社会经济和基础科学两个方面介绍了学术创业的影响;（5）提出学术创业的研究展望,即关注数智经济阶段学术创业类型的变化、拓展学术创业研究的理论视角、扩充学术创业的研究主题以及在进一步完善国内学术创业研究体系的同时,深化中国制度背景下学术创业问题的探索,如儒家文化环境中的学术创业动机,不同地区/省份的学术创业差异等。通过对已有研究的梳理,为中国学术创业的研究和发展提供了参考。     

Reconsidering the Bayh-Dole Act and the Current University Invention Ownership Model

The Bayh-Dole Act of 1980 provided U.S. universities with the right to commercialize employees’ inventions made while engaged in government-funded research. This paper argues that the current university invention ownership model, in which universities maintain de jure ownership of inventions, is not optimal either in terms of economic efficiency or for advancing the social interest of rapidly commercializing technology and encouraging entrepreneurship. We argue that this model is plagued by ineffective incentives, information asymmetries, and contradictory motivations for the university, the inventors, potential licensees, and university technology licensing offices (TLOs). These structural uncertainties can lead to delays in licensing, misaligned incentives among parties, and obstacles to the flow of scientific information and the materials necessary for scientific progress. The institutional arrangements within which TLOs are embedded have encouraged some of them to become revenue maximizers, rather than facilitators of technology dissemination for the good of the entire society.We suggest two alternative invention commercialization models as superior alternatives. The first alternative is to vest ownership with the inventor, who could choose the commercialization path for the invention. For this privilege the inventor would provide the university an ownership stake in any returns to the invention. The inventor would be free to contract with the university TLO or any other entity that might assist in commercialization. The second alternative is to make all inventions immediately publicly available through a public domain strategy or, through a requirement that all inventions be licensed non-exclusively. Both alternatives would address the current dysfunctional arrangements in university technology commercialization.     

Assessing the relative performance of U.K. university technology transfer offices: parametric and non-parametric evidence

We present evidence on the relative performance of U.K. university technology transfer offices (TTOs) using data envelopment analysis (DEA) and stochastic frontier estimation (SFE). U.K. TTOs are found to exhibit low-levels of absolute efficiency. There also appear to be decreasing returns to scale, implying that TTOs may need to be reconfigured into smaller units. The development of regionally-based sector focused TTOs is also advised. Consistent with qualitative evidence from U.S. TTOs, we find that there is a need to upgrade the business skills and capabilities of U.K. TTO managers and licensing officers.     

Performance of Spanish universities in technology transfer: An empirical analysis

This paper investigates the performance of universities in the transfer of technology using a unique university-level dataset for Spain. The results suggest that universities with established policies and procedures for the management of technology transfer perform better. Universities with large and experienced technology transfer offices (TTOs) generate higher volumes of contract research, but the TTO characteristics appear to matter less for university performance in terms of licensing and creation of spin-offs. Furthermore, universities with a science park perform better than those without, which suggests that the agglomeration of knowledge close to universities has a positive effect on universities’ technology transfer performance.     

Intellectual property coordinators' cohorts: A study into the imprints in university technology transfer

The primary aim of Technology Transfer Offices (TTOs) is to enhance technology transfers, resulting in the commercialization of science. Technology transfer has typically been analyzed at the individual level of the core research staff or with the focus on the TTO as a whole, overlooking the fact that the university technology transfer is administered by intellectual property (IP) coordinators. This paper focuses on exposing a potentially crucial factor in technology transfer; the effects of cohorts based on imprinting. The imprinting theory implies that imprints are persistent and manifest themselves in the core activities of the IP coordinators' cohorts in the long term. We bring to light the effects of IP coordinators' cohorts on patenting and licensing, and test a conceptual model of inter-cohort variability. We analyze the patenting and licensing data of 18,393 patent cases and 845 licensed cases, handled by 63 IP coordinators. In combination with human resource data, we show that in the technology transfer process, IP coordinators’' cohorts matter. Using discriminant analysis, we demonstrate that some aspects of technology transfer activities are more typical for one cohort than the others. Variations between cohorts suggest that they are influenced by the prevailing practices inside the TTO at the time of hiring. Cohort patterns are also distinct in the two key technology transfer activities (patenting and licensing). Regression analysis shows that cohort effects remain resistant to erosion even when faced with subsequent changes as captured by organizational and individual time-period effects.     

Inside multi-disciplinary science and engineering research centers: The impact of organizational climate on invention disclosures and patents

Much past research on commercialization activities by university scientists and engineers has focused on the role of resources in the extra-organizational commercialization environment, such as the availability of venture capital funding. By contrast, our theoretical and empirical interest was in intra-organizational dynamics impacting the context in which scientists and engineers work. Drawing upon organizational psychology literature on the construct of organizational climate, we posited that researchers working in an intra-organizational climate that supports commercialization and encourages intra-organizational boundary-spanning will be more likely to produce invention disclosures and patents. Our data from 218 respondents at 21 engineering research centers was both multi-method (i.e., qualitative data from interviews, longitudinal archival data, and survey data) and multi-level. Our results showed that an organizational climate characterized by support for commercialization predicted invention disclosures one year later and an organizational climate characterized by boundary-spanning predicted patent awards two years later.     

From the ivory tower to the startup garage: Organizational context and commercialization processes

An impressive literature documents how individual-level factors correlate with entrepreneurship and commercialization behaviors. We have far less insight, however, into how different organizational contexts may, in fact, play a dominant role in shaping these individuals and their behaviors. In this paper, I leverage a unique case of commercialization in which a largely overlapping team attempted to commercialize a technology in two different organizational contexts – first, in a university and later in a startup firm. By detailing the contextual features in each organizational environment and by linking these features to the participants’ differing approaches and attitudes toward commercialization, I extend the current literature through a demonstration of how organizational context shapes not only the initial decision to become an entrepreneur, but also the specific ways in which individuals interpret and act upon an entrepreneurial mission. More generally, I contribute to the literature on the commercialization of university research by highlighting some of the challenges inherent in adapting a context optimized for exploration to the task of exploitation.