THE FUNCTION AT SOCIETY OF THE SPIN-OFFS ACADEMICS ACTING
AS A MECHANISM FOR TECHNOLOGY
TRANSFER
Lourenço Santos Dantas Gomes
Federal Technological University of Paraná - Brazil
E-mail: lourencodantas@hotmail.com
Pedro Paulo Andrade Junior
Federal Technological University of Paraná - Brazil
E-mail: pedropaulo@utfpr.edu.br
João Luiz Kovaleski
Federal Technological University of Paraná - Brazil
E-mail: kovaleski@utfpr.edu.br
Submission: 10/12/2012
Accept: 11/12/2012
Abstract:
This article aims to
present a theoretical review of the process of technology transfer between
universities and companies, focusing on the technology-based companies,
specifically academic spin-offs as one of the main tools for technology
transfer. It then made a presentation on the importance of factors such as
skilled human resources, encouraging the government as an agent, technological
innovation, and Innovation Act (2004) for the transferring. The methodological
approach of this paper is characterized as a basic research, qualitative,
exploratory and technical procedures as a literature search. The research
resulted in the realization that the technological development model based on
cooperation between universities and companies has been consolidated as one of
the strategies of technological and economic development of the country, as
seeking to bring differential factors of competitiveness in the market.
Key-words: Spin-Off,
Technology Transfer, Technology innovation, Knowledge transfer.
During a long time the relationship of technology
transfer between University-Company relied just in skilled labor from
university to a specific function at company, however, with the encouragement
of Brazilian government to technology innovation this relationship is
intensifying. A test is the regulation of Innovation Law.
Currently we live a society characterized by a
knowledge-based economy, or learning-based economy (JOHNSON and LUNDVALL,
2005), where technological development depends directly on the formation of
qualified human resources, however it is not only focused on production that
need this training, after technology development is focused on the company and
one of the main problems is the impact and influence that these new
technologies cause due to the culture of the environment in which it is
imposed. In this sense, claim that knowledge is a major, or even the main
resource for organizational environments that innovate and remain competitive.
Knowledge utilization is a large field of inquiry that
crosses disciplines and encompasses multiple theoretical backgrounds. Knowledge
transfer involves ‘the process through which one unit is affected by the
experience of another’ (ARGOTE and INGRAM, 2000: 151). Although some of the
work on knowledge transfer has focused on the evidence or knowledge, more
recent work expands the view to draw greater attention to the context and
process of knowledge transfer (FITZGERALD et al., 2002; RYCROFT-MALONE et al.,
2004a, 2004b).
Analyzing the global scenery, we can see that with the
technology advancement the market is becoming more competitive, causing
companies need a competitive advantage (differential competitive) to keep up in
market, this advantage can be achieved through the innovation in process and
services. This is a real economic and technology dispute that is hard to face
for some countries, mainly those in development like Brazil.
In this context, earn highlights the existence of
several mechanisms of knowledge transfer, like the firm creation from search
results, appointed academic spin-offs.
Almeida and Mello (2009) conducted a case study about the
spin-offs academics (SOA's) in 14 companies incubated or graduates in
technological incubators COPPE / UFRJ and Genesis Institute of PUC-Rio and
found that companies Spin-Offs have "higher productivity of labor, work,
for, among other things, perform R & D more intensively. Are less
economically vulnerable companies do not spin-offs and also more prepared for
the difficulties related to the management of the company.”
Due these facts, technology transfer and partnerships
between universities and companies have been growing in recent years, as
universities are the source of current scientific knowledge closer to reality
for most companies, and also generate a more natural partnership taking into
account they do not compete. Today universities extended their teaching
capabilities, through education of individuals to form organizations through
entrepreneurial education and incubation programs (ETZKOWITZ, 2009).
To Segatto-Mendes (2001)
'universities and companies
cooperation is an instrument of cooperative research between public and private business institutions
with research institutions and
universities, in a collective effort to develop new technological knowledge that will serve to expand the scientific knowledge and for development and improvement of new products.
This study aimed realize a literature review about
technology transfer from university to technology based companies focusing spin-offs, extending the argumentation
of their potentials.
This research is justified by
the fact that transfer of associated
technologies such as spin-offs
generate economic and social development
because, according to Araújo et al (2005): the creation of academic spin-offs generate high
added value; various jobs for
people with higher training; attracts investments
in the development of research that is highly
favorable to new technologies,
and to have a strong impact on the local economy. Some of these impacts are that economic activities as inputs of materials and production of technology-based
companies tend to be local.
There is growing attention internationally to the
importance of academic entrepreneurship via technology transfer (SIEGEL and PHAN,
2005). In different European countries, researchers have shown that there has
been a substantial increase in the creation of academic spin-offs (WRIGHT et
al., 2003; CLARYSSE and MORAY, 2005; MUSTAR et al., 2006).
Finally, most European universities were facing
increasing numbers of students while budgets stayed the same, putting enormous
pressure on research time and budgets. Together these elements induced the
belief that the commercialization of IP through licenses, and spin-offs in
particular, could generate a new revenue stream and lead to economic growth in
the region.
2. Methodology
From the point of view of
nature this research is classified as basic, to Silva and Menezes (2005) classifies
as a search when basic aims to generate knowledge
for the advancement of science without
practical application envisaged.
In relation to how to approach the
problem is qualitative research.
A qualitative study describes the complexity of a given problem, analyzes
the interaction of variables, understands and classifies dynamic processes (RICHARDSON, 1999).
According the aims this
research is classified as exploratory,
since according to Gil (1991),
the exploratory nature is most appropriate when you want to deepen their knowledge in a particular subject. This study is
classified as exploratory because you want to enhance the experience
on the issue of technology transfer.
From the point of view of technical
procedures constitutes a
literature search, according to Silva and Menezes (2005)
classifies as a research literature when drawn
from previously published material,
consisting mainly of books, journal articles and currently available material on the Internet.
3.1 The Technology Transfer
WIth the end of a standard of society completely
industrial, the society idea based on knowledge became strength. Facing this fact has encouraged increasingly actions that bring diferentials of Market to earn
competitive advantage by enterprises.
For so much Garnica
and Torkomian (2005)
emphasize that the structures oriented science and
technology that aims to produce knowledge and contribution to
innovative processes are increasingly
gaining importance. This
generates the need for companies to technology transfer, an agent with the
University employee.
It still Garnica
and Torkomian (2005)
who say that the
TT's can give
a variety of ways, as well as consulting, joint research, consulting,
joint research, SOA's, patent licensing and services.
The mechanisms of technology transfer can be direct or indirect. The first group publications, meetings
and events in general. In the second,
they are creating new businesses -
spin-offs, projects, cooperative R & D and licensing of patents (ROGERS, TAKEGAMI
and YIN, 2001).
The technology transfer is many important when we talk
about technology development. This is understood like a time that occur the
knowledge assimilation generated in a company by another, however we know that is not all of technology trade
brings a effective technology
transfer, so it’s necessary that the person who “receive the technology” can do
by yourself.
It Lima (2004) who says that there are difficulties in
the process of TT's, both between countries and between universities and
university-company. He said those failures occur when clearly the receiving
agent has enough skilled manpower to operate the technology in its production
process, or even when there is difficulty in transmitting knowledge between the
parties.
According Hruschka, Kovaleski
and Silva (2005),
the methodology of Technology Transfer
has as its only objective assigning to knowledge
that the receiver knows only play, but to acquire sufficient
autonomy to improve and modernize
their product, or even enable development of new products with the same level of technology. Then, even if TT is passed in prototype form, does not guarantee its production there is a transfer of skills.
According Hruschka, Kovaleski
and Silva (2005),
the methodology of Technology Transfer
has as its only objective assigning to knowledge
that the receiver knows only play, but to acquire sufficient
autonomy to improve and modernize
their product, or even enable development of new products with the same level of technology. Then, even if TT is passed
in prototype form, does not guarantee
its production there is a transfer of skills.
Most of the literature dealing with the issue of technology transfer from research institutions to the productive
sector, especially in Brazil, refers
to public universities as sources of
knowledge and technology from
which they originate and begins
the process of technology transfer
(GARNICA, WIZIACK and SANTOS, 2006). Historically,
most research and development in science and technology has a very strong relationship with the academic activities, especially regarding
public universities and are recognized
as centers of excellence in
research in the country (GARNICA
and TORKOMIAN, 2005).
According to Oliveira and
Caulliraux (2007) the relationship between universities and
business can take from the quality improvement or development of a new product / service of a company
unique even the
creation of new industries. This
relationship is a typical case
where prevailing cooperation, not competition. The "environment"
in which the actors act are different: firms
crave profit, market
share, universities aim the advancement and diffusion of knowledge.
For firms, leaves
"very expensive", while
business, undertake new knowledge, because the gains are very low compared to the investment needed for the necessary infrastructure. Investments in R
& D are justified when
no scale to commercialization of new
products / services and this explains why only large
firms have R
& D centers developed. It makes more sense in these cases "outsource"
research to universities, and insert supporting the development of this new product / service
in one of your programs (OLIVEIRA
and CAULLIRAUX, 2007).
This environment, anchored by the
increased market demand for development
of new products / services and
efforts by the
government to make universities
more autonomous and efficient, promotes collaboration
between universities and companies. However, there are major difficulties in the execution of this collaboration, due to the lack of collaborative vision
of both parties, which are not perceived by the parties, in most cases, the benefits that could be drawn from such relationship. Also, Oliveira and Caulliraux (2007) say it is
very different natures of institutions in terms of "business" and
even culturally.
The evolution of innovation systems, and the current conflict about which path should be taken in universities
and industry relations are
reflected in the different institutional
arrangements of university-industry-government
relations. First Lugas, one can distinguish a particular historical situation that may wish to label Triple
Helix I. In this configuration,
the state includes academy and industry guides
and the relationships between them.
The second model reflects the
relationship between the three organizations
show a strong separation of institutional spheres with boundaries dividing them and highly limited relations
between the spheres. Finally, Triple Helix III is
creating an infrastructure of
knowledge in terms of overlapping
institutional spheres, with each assuming the role
of the other and with hybrid organizations emerging at the interfaces (ETZKOWITZ and LEYDESDORFF, 2000).
Triple Helix I is seen as a
flawed development model. With very little room
for initiatives, innovation is
encouraged and not discouraged. Triple Helix II implies a policy of
laissez-faire, today
also called as shock
therapy to reduce the state's
role in Triple Helix I. One way or
another, most countries and regions are currently trying to reach some sort of Triple Helix III. The
common goal is to realize an innovative environment consisting of
university spin-offs academics, tri-lateral initiatives
for developing economies based on
knowledge, strategic alliances between firms (large
and small, operating in different areas
and with different levels of technology
), government laboratories, and academic research groups. These mechanisms are generally encouraged but not controlled by the government (ETZKOWITZ and LEYDESDORFF, 2000), can
be taken as an example of encouragement, Law No. 10.973,
of December 2, 2004 that includes in one of
its aspects the Constitution environment conducive to
strategic partnerships between universities, technological institutes and companies.
As already discussed above, markets are increasingly
competitive, which then brought the need for constant innovation to obtain a
differential. For this the government introduced Law No. 10.973, of December 2,
2004, entitled "Innovation Law" which presents favorable legal and
efficient development of science, technological and to encouraging innovation.
"Innovation is much more than a concept or practice is a necessity, a
position of need for action on the development of the country" (LACERDA,
2007).
This law also aims to increase the efficiency of the
productive sector of the country so that it can be qualified in terms of
technology for a competition not only internal but external too, may insert
goods and services based on international standards of quality, with higher
added value.
The Innovation Law revolves
around three main strands: Strand I -
Creation of enabling environment for
strategic partnerships between
universities, technological institutes and companies; Strand
II - Stimulus to participation of institutions of science and technology in
the innovation process; Strand III
- Encouraging innovation in the company.
The Strand I is
comprised of the stimuli: a) Structuring networks
and international research projects technological b) Shares of technological entrepreneurship and c) creation of incubators which of them generate
characterized as SOA's business and technology
parks.
It is noticed that this is biggest objective the
magnification that become more agile knowledge transfer from academia to the
productive sector. Accordingly, it is expected that the Law of Innovation will
be the "start" of a sequence of measures that aim and environments
conducive to innovation and partnerships between universities, research
centers, enterprises and government for the creation and propagation business
SOA.
3.3 The process of technology transfer through
spin-off
Over the years, the technology development configured
as a key element for companies to be able to achieve their goals, because they
generate lower costs, increase productivity and flexible production lines,
which makes their products more accessible to customers.
The diffusion of knowledge and technology transfer from universities to businesses can take various forms -
spin-offs involving academic staff, licensing, contract research,
consulting, mobility of students and researchers, among other modalities (WRIGHT et
al. 2008).
Almeida and Mello (2009) says that technology-based firms (NTBFs) play a key
role, considering the company's
future because high added value to its products
and services, besides having
a high rate of innovative projects.
In this context Nascent Technology Based Companies Source Academic (ENBT's
OA) or academic
spin-offs are those whose aim is to exploit the intellectual
property developed in academic institutions (SHANE, 2004 and O'SHEA,
2008).
The level of tacit knowledge involved in technology
developed also affects the propensity to create spin-offs. When the technology
requires further development which cannot be realized in academic laboratories
there is a greater tendency to create spin-offs involving the inventors to
follow this development. The stage of development of technology also impacts
this process, pre-established companies tend to look for technologies whose
value proposition is already clear and applicability. These companies usually
have an interest in making improvements on pre-existing, rather than creating
new products (RENAULT, 2010).
The time horizon of pre-established
companies is another
attribute that affects their
ability to exploit technologies at
an early stage, because the business
results can take years to emerge.
Technologies with applicability in multiple markets are more likely to generate spin-offs for their
exploitation, because the pre-established
companies tend to focus their resources on exploration
of markets where we already operate. The value perceived
by potential customers usually affects this process.
The technical advances of great relevance, strongly protected by intellectual
property instruments, also favor the process of creating spin-offs, as these
can be generated from a single knowledge asset that
gives them a competitive advantage
against companies pre-established (RENAULT, 2010).However,
the size and variety of market factors
are extremely relevant
in decision making, because in some
cases it may occur that the technology represents a radical innovation, where partnerships with existing companies that are more suitable
of an investment in a company source.
However, the size and variety of market factors are
extremely relevant in decision making, because in some cases it may occur that
the technology represents a radical innovation, where partnerships with
existing companies are more appropriate than an investment in a nascent
company.
The process of creating spin-offs focusing on specific
academic units, hardly being generalized to the university environment as a
whole. There are several causes for the variance in the propensity to create
spin-offs. These causes are not only related to the quality and relevance of
research, as well as organizational factors, contextual and historical
trajectory (RENAULT, 2010).
A central point in this analysis refers to political and
organizational culture of universities or academic units in these research
groups are located. Even in groups with a high rate of development of new
technologies, the process of creating spin-offs can be reduced by the absence
of an institutional policy of protection, licensing and enforcement of market
knowledge generated (RENAULT, 2010).
Moreover, even among units that
have policies of this nature, the
different approaches can produce quite
heterogeneous. Among these institutional
policies may include: exclusive
licensing; stake in
spin-offs created; permission to unpaid leave for teachers interested
in creating businesses; permission
for use of resources
(tangible and intangible) of the
university, participation by minority
inventors; access to funding sources in the form of seed capital.
Studies of Shane (2004) in about 1300 MIT
spin-offs bring evidence
that these points are important for
an institutional policy of creating
spin-offs of technological
base to succeed.
In today's society has valued knowledge as one of the
major factors that provide an effective technological development, directly
dependent on the formation of qualified human resources, the university then
becomes a source of current scientific knowledge.
There was purpose of the article, say what is the best
way to accomplish the transfer of technology, but leave the obvious role of
spin-offs in accomplishing this process, its relationship with the university
and the company, and also aiming to expand the discussion of their potential
through a theoretical review.
It is necessary to make
clear that the benefits generated
by the creation of spin-offs as high value-added jobs
for the population, attracting
investments in R & D, and as a consequence of
these cited a strong impact
on the local economy only happen if there is a joint action of government, universities and research institutes. Technology transfer should
not be seen
in a simple and
timely, but as a process where the
receiver needs a minimum
level of training
to identify, select,
negotiate and acquire
the necessary technology must be completely
assimilate the new
technology, not the
mere purchase and
limited sale (KOVALESKI
and MATOS, 2002), but that involves
a set of non-explicit knowledge. Indeed,
using the new
technology that is not the same master it
in the first case
occurs only one diffusion
techniques and production methods (BARBIERI, 1990).
For this growing innovation, knowledge transfer and
technology do not stop work is required with the head of the youth in general,
more specifically with the young academic life enabling them to be able to
identify several gaps in the market, the changes being versatile paradigms.
Much of the students, especially the culture of engineering has to seek
solution of problems only when they encounter one, and when they find a way
out, then stop searching, this prevents the development of the capacity to
innovate.
We also realize that the big challenge
is the technology development and its influence and impact on society that must be scientifically trained,
so there is this scientific
training should be unquestionably
a scientific education. One cannot think
technology alone product
and as a result, but
as design and creation, and so
it is necessary not only individuals trained to think
of it, but above all, education to
prepare them. (HRUSCHKA, KOVALESKI and
SILVA 2005)
The creation of spin-offs is an efficient transfer of
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