1、Incentives in Technology TransferA guide to encourage,recognize and reward researchers and professionalsIncentives in Technology TransferA guide to encourage,recognize and reward researchers and professionalsThis work is licensed under Creative Commons Attribution 4.0 International.The user is allow

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3、content.Suggested citation:World Intellectual Property Organization(WIPO)(2024).Incentives in Technology Transfer:A guide to encourage,recognize and reward researchers and professionals.Geneva:WIPO.DOI 10.34667/tind.48658Adaptation/translation/derivatives should not carry any official emblem or logo

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9、erence to others of a similar nature that are not mentioned.WIPO,2024First published 2024World Intellectual Property Organization 34,chemin des Colombettes,P.O.Box 18 CH-1211 Geneva 20,Switzerlandwipo.intISBN:978-92-805-3566-2(print)ISBN:978-92-805-3567-9(online)Attribution 4.0 International(CC BY 4

10、.0)Cover:Getty Images,sanjeri/Mihai ZahariaWIPO Publication No.2002EN 3Table of ContentsForeword 5Endorsements 6Acknowledgments 8About the reviewers 9Acronyms 11Terminology 12Introduction 151Context17Therationaleforincentivesprograms17The role of universities in the modern innovation ecosystem 17Cha

11、nnels to bring research to market 18The power of incentives 18How to group incentives 19Challengesofincentivesprograms19Some caveats 19The interrelation between metrics and incentives for technology transfer 202Settingupanincentivesprogramforresearchers22Motivations and drivers,inhibitors and barrie

12、rs 22Motivations and drivers 22Inhibitors and barriers 24Template questionnaire 26WIPO survey on incentives for researchers and TTPs 26Non-financial incentives for researchers 26Recognition 27Flexible employment conditions 30Entrepreneurship support for researchers 31Protecting researchers right to

13、publish 34Provision of additional research funds,PoC funds and translationalfunds 35Returning IP to the inventor 40Academic career advancement 42Misalignment between promotion criteria and the universitys goal of encouraging entrepreneurship 42Challenges 43Possible models 43Methodology 44Financial i

14、ncentives for researchers 48Financial incentives to encourage licensing 49Financial incentives to encourage spinouts 63Financial incentives to encourage other engagement 683SettingupanincentivesprogramforTTPs72Motivationsanddrivers,inhibitorsandbarriers72Non-financialincentivesforTTPs73Recognition 7

15、3Continuing professional development for TTPs 74Incentives in Technology Transfer4 Flexible employment conditions and well-being 77CareeradvancementincentivesforTTPs78FinancialincentivesforTTPs79Competitive salaries 79Performance-based payments 80Fringe benefits 854Recommendationsandactionplan86Reco

16、mmendations86Tips for using incentives to improve research quality 86Tips for using incentives to bolster TT 87Tips for using incentives to encourage spinout creation 88Tips for using incentives to promote recruitment,retention and engagement of TTPs 90General tips for using incentives 90Creatingani

17、ncentivesschemeanactionplan91Conclusionandkeymessages92Casestudies93Case study 1:Towards translational innovator tracks in the health care sector 93Case study 2:How Wehi creates incentives that drive commercialization success 95Case study 3:Vanderbilts compensation program 96Case study 4:Emorys inno

18、vative incentive program 98AnnexAOverviewofincentives100AnnexBAssessinguniversitydynamics:aquestionnaireforresearchers andtechnologytransferprofessionals101 5ForewordThe innovation environment is full of novel opportunities but also is facing significant challenges,such supply chain disruption,wides

19、pread and abnormally high inflation,and armed conflict.On the other hand,innovation continues unabated,partly due to the new Digital Age and the Deep Science innovation waves.Developments in fields as diverse as artificial intelligence,quantum computing,genome sequencing,several green technologies a

20、nd robotics show a new,possibly groundbreaking dynamic.Persistent efforts in innovation investment will be key to promote productivity growth and making use of novel innovation opportunities.In this regard,there are important positive trends.For example,scientific publications grew in 2022 by 1.5 pe

21、rcent(more than 2 million publications)and business R&D grew by 7 percent,spending by corporations in R&D reached USD 1.1 trillion in 2022 a historic high.Research conducted at universities and public research institutions is a primary source of new and key knowledge.However,despite significant effo

22、rts,a substantial amount of this research fails to reach the market.This is where WIPO steps in,to empower universities,research institutions,and innovators to commercialize their intellectual property and make their research accessible for the betterment of society.Our guide on Incentives in Techno

23、logy Transfer underscores the indispensable role of academic research in driving innovation.It emphasizes the importance of providing researchers with incentives and support to translate their research into practical solutions.Equally vital are the professionals at Technology Transfer Offices(TTOs)w

24、ho facilitate the transfer of knowledge from academia to industry.Despite challenges,including lack,low or ineffective incentives,their commitment to driving innovation remains unwavering.The guide focuses on two key facilitators:fostering a cultural shift to ensure that technology transfer becomes

25、an acknowledged part of the researchers mandate,and exploring incentives that attract and retain top talent within TTOs,ensuring the continued success of technology transfer endeavors.It provides an unprecedented level of detail and benchmarking on these two questions.Drawing from WIPOs prior initia

26、tives,the guide is part of the WIPO IP Toolkit for Universities,encompassing resources such as an IP Policy Template for Academic and Research Institutions and an Institutional IP Policies Database.With the addition of this guide on Incentives in Technology Transfer,its objective is to assist univer

27、sities and public research institutions in developing robust IP policies and strategies.We hope that the insights from this guide will serve as a practical tool for governments,universities,researchers,businesses,and funders as they navigate the complexities of technology transfer.Marco M.AlemnAssis

28、tant Director General,World Intellectual Property Organization6“This guide is a rare combination of deep analysis of complex issues in technology transfer and very practical tips and tools.I highly recommend it to any leader or practitioner in tech transfer as well as policy makers and university le

29、adership.”Gil Granot-Mayer,Executive Vice President of Technology Development and Innovation,Okinawa Institute of Science and Technology Graduate University(OIST),Japan“The authors very rightly state in the beginning that there is no one size fits all when it comes to incentives:every ecosystem is d

30、ifferent.This guide offers a comprehensive overview probably even the most comprehensive overview so far of various incentives for people involved in turning research results into applications in society.It provides a wealth of inspiration for all decision makers investigating the optimization of TT

31、 structures and environments.”PaulVanDun,General Manager,KU Leuven Research&Development(LRD),BelgiumThis guide is undoubtedly an excellent tool for researchers,who are willing to enter the world of entrepreneurship and innovation.In general,researchers have many doubts about how to turn the key to t

32、he business world.Being aware of incentives can help researchers take full advantage of the opportunities presented by entrepreneurship and knowledge exchange.On the other hand,through the examples here described,technology transfer professionals can be inspired through the cases of how incentives a

33、re used in several countries to stimulate technology transfer and academic entrepreneurship.In this sense,given its coverage and detail,the guide fills an important gap in the context of academic and research institutions.ElizabethRitter,Technology Transfer Consultant,Brazil“With governments across

34、the world looking to their universities to deliver social and economic impact,this detailed guide and consideration of incentives for academics and staff involved in innovation is invaluable.The guide is a timely contribution for all those involved in leading research and innovation in higher educat

35、ion and I have no hesitation in recommending it.”PaulRoberts,Higher Education Researcher and Consultant,Director of CollaborateHE Ltd,United Kingdom“The new WIPO guide is the first global collection of approaches used to motivate,inspire,and reward creativity at the beginning stages of the innovatio

36、n pathway.This is an important part of understanding our innovation ecosystems and how best to assure strong commitments towards bringing new products and services to market.”ToddSherer,Associate Vice President for Research,Executive Director,Office of Technology Transfer,Emory University,United Sta

37、tes of AmericaEndorsementsEndorsements 7“This comprehensive guide serves as a global resource for understanding and promoting creativity in the early stages of innovation.It will play a crucial role in enhancing innovation ecosystems but acknowledges that different ecosystems require different incen

38、tives at different stages of development and these incentives should not be considered static.As universities play an ever-increasing role in societal progress,this guide provides a comprehensive overview of different approaches as well as the debates for stakeholders interested in optimising struct

39、ures,environments and processes for innovation.”JaciBarnett,Former President of the Southern African Research and Innovation Management Association(SARIMA),Head of Consulting Services,Oxford University Innovation,United Kingdom“This Guide is a very comprehensive overview of incentives for researcher

40、s and technology transfer professionals at universities.It is a unique and valuable contribution to technology transfer,for universities,particularly those in developing countries,because of the examples drawn from both developed and developing countries,and thus provides an excellent balanced appro

41、ach to the subject.Many developing countries are placing a greater emphasis on transforming their economies to be knowledge driven,and look up to universities as main actors working with industry and society at large.It provides a compelling case for the importance of technology transfer in that tra

42、nsformation,whilst expertly addressing the complex subject of technology transfer.It goes further by elaborating on the pros and cons of incentives in technology transfer,and suggests mitigation interventions to address the cons.The last section of the Guide provides a quick reference to the various

43、 aspects covered in the other sections together with concise recommendations for rolling out an incentives program.I highly recommend this guide not only for university leadership,TTOs,and TT professionals,but more importantly,for policy makers as it would be a great companion in creating enabling p

44、olicy environments.”McLeanSibanda,Intellectual Property and Innovation Specialist;Former Chairperson National Intellectual Property Management Office(NIPMO),South Africa8 This publication is the result of the invaluable collective efforts of World Intellectual Property Organization(WIPO)colleagues a

45、nd a team of external contributors.It was prepared under the direction of Marco Aleman,Assistant Director General,IP and Innovation Ecosystems Sector(IES).The Guide was supervised by Alejandro Roca Campa(Senior Director,IP for Innovators Department(IPID),IES),and led by Lien Verbauwhede Koglin(Couns

46、ellor,Technology Transfer Section,IPID.The team included Suma Athreye(Professor of Technology Strategy,Management Science and Entrepreneurship,Essex Business School,University of Essex,United Kingdom),Andrea Basso(Fund Advisor,Progress Tech Transfer Fund,Italy),Tom Hockaday(Consultant,Technology Tra

47、nsfer Innovation Ltd.,United Kingdom)and Abhijit Sengupta(Head of Department,Associate Professor,Surrey Business School,University of Surrey,United Kingdom).The guide was greatly enriched through the thoughtful reviews provided by esteemed experts.Their insights,drawn from practical experiences,have

48、 proven invaluable in providing actionable advice and illuminating effective strategies while highlighting areas in need of critical change.WIPO extends also its gratitude to Olga Spasic(Former Head of Technology Transfer Section)for her contributions and support in the peer review process.Furthermo

49、re,this guide incorporates valuable findings from a survey on the motivations of researchers and technology transfer professionals,conducted by Andrea Basso and Claudia Chiavarino(Academic Director,Salesian University Institute Torino,Italy),with the support of WIPO colleagues Mattias Dinnetz(Senior

50、 Program Officer),Olga Kusanova(Consultant),Olga Spasic and Lien Verbauwhede Koglin.The guide was edited by Westchester Publishing Services UK.Thanks also go to WIPO colleagues in the Publications and Design Section for their invaluable support and advice.Acknowledgments 9About the reviewersThis gui

51、de includes reviews and contributions from experts in technology transfer,entrepreneurship,intellectual property(IP),policy and innovation.Their examples,viewpoints and remarks enhance and contextualize the incentives,illustrating that a singular incentives plan is not feasible.Instead,the incentive

52、s must be tailored to the specific local circumstances and ecosystem where the university is situated.AndrewBailey,Senior Manager:Innovation,Department of Research Contracts and Innovation(RC&I),University of Cape Town(UCT),South AfricaFranzBarjak,Head,Doctoral Advisory Office,School of Business,Uni

53、versity of Applied Sciences and Arts Northwestern Switzerland,SwitzerlandPietBarnard,Director,RC&I,UCT,South AfricaJaciBarnett,Former President of the Southern African Research and Innovation Management Association(SARIMA),Head of Consulting Services,Oxford University Innovation,United KingdomAlanBe

54、ntley,Assistant Vice Chancellor,Center for Technology Transfer and Commercialization,Vanderbilt University,United States of AmericaAlexChaix,Deputy Director,Commercialisation of Research,UK Research and Innovation(UKRI),United KingdomJetaneCharsley,Chief Director,Department of Science and Technology

55、,National Intellectual Property Management Office(NIPMO),South AfricaMattiasDinnetz,Senior Program Officer,Technology Transfer Section,IP for Innovators Department,WIPO,SwitzerlandPierreElKhoury,Deputy Dean,Academic Coordinator,Sagesse University,LebanonGil Granot-Mayer,Executive Vice President of T

56、echnology Development and Innovation,Okinawa Institute of Science and Technology Graduate University(OIST),JapanAnita Nel,Chief Director:Innovation and Commercialisation,Innovus,Stellenbosch University,South AfricaMavis Nyatlo,Divisional Manager,Companies and Intellectual Property Commission(CIPC),S

57、outh AfricaFrancoisOosthuizen,Innovation Commercialization Manager,RC&I,UCT,South AfricaJustynaOegalska-Trybalska,Associate Professor,Chair of Intellectual Property Law,Jagiellonian University,PolandTanaPistorious,Professor of Commercial Law,Head of Department of Commercial Law,University of Aucklan

58、d Business School(UABS),New ZealandElizabethRitter,Board of Directors of the Brazilian Forum of Innovation and Technology Transfer Managers(FORTEC),BrazilPaulRoberts,Director,CollaborateHE Ltd.,United KingdomSilviaSalazar,Legal Advisor,PROINNOVA,University of Costa Rica,Costa RicaToddSherer,Associat

59、e Vice President for Research,Executive Director,Office of Technology Transfer,Emory University,United States of AmericaIncentives in Technology Transfer10 McLeanSibanda,Patent Attorney and Innovation Promoter,Pretoria,South AfricaOlgaSpasic,Former Head of Technology Transfer Section,IP for Innovato

60、rs Department,IP and Innovation Ecosystems Sector,WIPO,SwitzerlandAshleyStevens,President,Focus IP Group,LLC,United States of AmericapelaStres,Head,Center for Technology Transfer and Innovation,Joef Stefan Institute,SloveniaSachaWunsch-Vincent,Head,Composite Indicator Research Section,Department for

61、 Economics and Data Analytics,IP and Innovation Ecosystems Sector,WIPO,SwitzerlandAudrey Yap,Managing Director and Co-founder,Yusarn Audrey LLC,Singapore 11AcronymsCOI conflict of interestCPD continuing professional developmentHEI higher education institutionI&E innovation and entrepreneurshipIP int

62、ellectual propertyIPR intellectual property rightsKE knowledge exchangeKPI key performance indicatorsMTA material transfer agreementNGO non-governmental organizationP&T promotion and tenurePBR plant breeders rightPoC proof of conceptR&D research and developmentSME small and medium-sized enterpriseTR

63、L technology readiness levelTRP tangible research propertyTT technology transferTTO Technology Transfer OfficeTTP technology transfer professionalWIPO World Intellectual Property Organization12 Academic engagementAll knowledge-related interactions between academic researchers and third parties.Acade

64、mic engagement includes both formal activities such as collaborative research,contract research,consultancies and continuous professional development(CPD)activities,and informal activities such as networking and ad hoc advice.Academic engagement is mainly with industry,but can also take place with g

65、overnment,non-governmental organizations(NGOs),community groups or other entities.The trade-off agreed among the partners may be purely financial,for example the researcher may work for a fee,or may consist of non-financial benefits such as access to materials or data for academic research projects.

66、CollaborationInteractions between universities and third parties.There are three main forms of collaboration.Collaborative(or joint)research refers to research that is conducted cooperatively by researchers from different organizations,institutions or disciplines.Collaborative research often involve

67、s pooling resources,expertise and methodologies to address complex questions or challenges that are beyond the scope of a single researcher or institution.Such collaborations can be formalized through agreements or memoranda of understanding,detailing the roles,responsibilities and rights of each pa

68、rty,especially concerning intellectual property(IP),joint publication,data sharing and commercialization where applicable.Contract research,on the other hand,refers to research undertaken on a specific topic as per a contractual agreement,often funded by an external organization,such as a corporatio

69、n,government agency or non-profit.The funding entity usually sets the objectives to be addressed and,in return,expects results,data or deliverables based on the terms laid out in the contract.Contract research is commonly seen in fields such as pharmaceuticals,engineering and environmental science.C

70、onsulting refers to research or advisory services provided by academic researchers to their industry clients.Consulting projects are typically commissioned directly by the industry partner and the income derived from them often accrues to the researchers although it can be channeled through universi

71、ty research accounts to support research.ConsultancyNormally defined as the provision of expert advice which draws upon and applies the existing expertise of members of staff.It is unlike research because it does not have as its prime purpose the generation of new knowledge.Consultancy contracts are

72、 usually short term,make limited use of university facilities and always have clear and well-defined deliverables.The client company would normally expect to own the results of the work.It is essential that there is no leakage of university-owned IP during consultancy activity.EquityThe ownership in

73、 a company issued as shares with a monetary value.TerminologyTerminology 13IncentiveCan be defined as“something that encourages a person to do something”(Cambridge Dictionary).In this guide,incentives refer to an inducement or external motivation provided to researchers or TTPs to encourage specific

74、 behaviors.Incentives are often used to align the individuals goals with the institutions objectives,foster engagement and drive desired outcomes.Intellectual property rights (IPR)The rights given to persons over the creations of their minds,such as:inventions;literary and artistic works;designs;and

75、 symbols,names and images used in commerce.They usually give the creator an exclusive right over the use of their creation for a certain period.Performance-based paymentsNon-salary payments typically tied to an individuals or a teams performance against set criteria or goals.The criteria can be dive

76、rse,ranging from technology transfer targets and project completions to softer measures such as teamwork,leadership qualities or other behavioral aspects.Such incentives are commonly used as a motivational tool to encourage employees to exceed their regular duties or achieve higher standards.Researc

77、hersIndividuals who carry out academic or scientific research at a university or research institution.Researchers can hold different roles or positions within the university or research institution,for example:tenured professors,assistant professors(or lecturers),postdoctoral researchers,research sc

78、ientists,research assistants,visiting researchers,visiting professors and students.RoyaltiesLegally binding fees due from a licensee to a licensor in exchange for the continued use of the licensors IP and other assets.Spinouts(also known as university spin-offs)A new company formed primarily through

79、 the transfer of knowledge,technology,assets or people originating from the university,to further develop and exploit the technology.The university will ordinarily hold equity or be licensor of the relevant IP to the spinout.1 StudentsIndividuals who are part of undergraduate and post-graduate progr

80、ams and who are not employees of the university.Tangible research property (TRP)Research products that are not patented or otherwise protected by formal IP,but that are difficult or expensive to create.TRP includes such items as:biological materials,engineering drawings,computer software,integrated

81、circuit chips,computer databases,prototype devices,circuit diagrams,equipment and associated research data.1 TenU.University Spin-out Investment Term(USIT)Guide,https:/ten-u.org/news/the-usit-guide.Incentives in Technology Transfer14 Technology transfer (TT)The process of transferring skills,knowled

82、ge,technologies or methods of manufacturing emanating from research conducted at universities or research institutions to other users(institutions,industry,the government,charities or the community)to ensure that scientific and technological developments are accessible to a wider range of users who

83、can then further develop and exploit the technology into new products,processes,applications,materials or services.We can differentiate,essentially,between:formal transfer(carried out through the channels established and controlled by the university staff,legalized through contracts),including paten

84、ting,licensing,spinout creation,joint research,contract research and academic consulting;and informal transfer(channels not legalized by signing a contract),includingnetworking with potential investors or licensees,conferences,showcasing of technologies and marketing of university outputs.Technology

85、 Transfer Office (TTO)Units within the universitys administration(sometimes structured as wholly owned companies),where the TTPs help researchers and students.Many research universities have a Research Support Office and a Technology Transfer Office;sometimes these are combined into one office,and t

86、hese units have a wide range of names.Technology transfer professional (TTP)Employees of the university(or wholly owned subsidiaries)in roles that support researchers and students in technology transfer.For the purposes of the guide,these are mainly the staff working in the TTO and other technology

87、transfer structures.TenureA form of job security granted to faculty members at universities or academic institutions in certain countries,such as the United States of America.Tenure is awarded after a rigorous review process that evaluates a faculty members performance,contributions to teaching,rese

88、arch and service,as well as their potential for continued excellence in their field.Tenured faculty members have greater academic freedom and enjoy a higher level of decision-making authority within their departments or disciplines.UniversityUsed in the guide as a shorthand for any type of higher ed

89、ucation institutions(HEIs)that engage in research activities with substantial funding support.World Intellectual Property Organization (WIPO)The global forum for IP services,policy,information and cooperation.WIPO has a long history of supporting universities to develop and institute effective IP po

90、licies.The goal of such policies is to boost commercialization of promising research and to stimulate knowledge and technology sharing.One of WIPOs major tools in this respect is the IP Policy Template for Academic and Research Institutions,with its Guidelines for Customization,available for downloa

91、d from the WIPO website,which dedicates a segment to incentives for researchers.15IntroductionIn the rapidly evolving economy,universities and public research institutions play a pivotal role as catalysts for innovation and progress.The pioneering research and ground-breaking inventions born within

92、their laboratories hold immense potential to drive societal transformation and economic growth.Too often,however,this research doesnt progress further down the pipeline to become innovations,leading to missed opportunities for universities and businesses to commercialize research in ways that benefi

93、t both the economy and society.This is where technology transfer activities emerge as a pivotal link,facilitating the transformation of brilliant ideas into tangible solutions that positively impact society.Successful technology transfer requires researchers and technology transfer professionals to

94、be equipped with the necessary skills,knowledge and engagement to turn fundamental scientific discoveries and insights into practical applications that have societal and commercial impact.Central to their success is fostering a university culture that recognizes and celebrates such competencies and

95、endeavors.In this guide,we delve into the essential topic of incentivizing academic researchers to actively participate in technology transfer activities.By understanding their unique perspectives,we can develop strategies to effectively motivate them to engage with industry and commercialize promis

96、ing research outcomes.Simultaneously,we recognize the pivotal role technology transfer professionals play in enabling this process.This underscores the importance of fostering an environment that attracts and retains exceptional talent within Technology Transfer Offices(TTOs).In as much as this guid

97、e is intended for universities,the principles and incentives discussed can be applicable to technology research organizations,where research is undertaken by its employees.By aligning incentives and motivations,we aim to create a dynamic ecosystem that accelerates the journey of inventions from labo

98、ratories to the marketplace,thereby maximizing their societal and commercial impact.This comprehensive guide focuses on the multifaceted landscape of technology transfer,identifying key challenges and opportunities for universities and public research institutions,and delves into aspects of incentiv

99、es for academics and technology transfer professionals.It comprises a series of insightful sections,each focusing on distinct aspects of incentives for technology transfer.We will analyze motivations and barriers,present a wide range of incentives,explore good practices from successful cases worldwi

100、de,learn from innovative approaches and delve into the broader impact that technology transfer can have on industries,economies and societies.Additionally,the guide addresses the common pitfalls of incentive programs,such as the risk of transforming academic researchers and technology transfer profe

101、ssionals into purely commercial outcomes-focused business people and possible loss of curiosity-driven research.The guide prioritizes aligning the incentive program with the universitys mission and objectives,ensuring that both academic researchers and technology transfer professionals are driven by

102、 shared goals.This strategic approach not only strengthens the programs effectiveness but should also garner support from university administrators.Incentives in Technology Transfer16 In addition to thoroughly examining various incentives,the guide also provides:A comprehensive,step-by-step action p

103、lan to facilitate the initial planning process.An insightful recommendations framework designed to empower universities to select the ideal mix of incentives,leading to desired results and promoting a widespread culture of collaboration and innovation;this framework is adaptable,thus providing a blu

104、eprint for success that can be tailored to the unique needs of every institution.Aquestionnaire specifically tailored for universities to gather data from students,faculty and staff,focusing on aspects such as motivation,satisfaction levels and priorities relating to research and technology transfer

105、.Examplesofincentives that have been put in place by different universities all over the world;2 these examples are for illustrative purposes only and it is recommended to refer to the specific policies and guidelines of the individual cited universities for accurate and up-to-date information.The g

106、uide builds on and expands on previous,complementary data and economics work on the topic of technology transfer done at WIPO3 and serves as an accompanying publication to the WIPO IP Policy Toolkit,which currently encompasses the following documents:IP Policy Writers Checklist;IP Policy Template fo

107、r Academic and Research Institutions;and Guidelines for Customization of the IP Policy Template.Together,let us embark on this exploration,seeking to harness the full potential of academic research for the betterment of our world.2 We have attempted to collect examples from universities globally.Yet

108、,most of these examples stem from countries with mature innovation ecosystems,which may not always be relevant or applicable to countries with varying circumstances.We plan to develop an online database segmented into various categories to house these incentive examples.Our goal is to enrich this da

109、tabase with more examples from countries around the world,ensuring geographical balance and showcasing a variety of innovation ecosystems.3 Arundel,A.,S.Athreye and S.Wunsch-Vincent(eds)(2021).Harnessing Public Research for Innovation in the 21stCentury.Cambridge:Cambridge University Press;WIPO(2011

110、).Harnessing public research for innovation the role of intellectual property.In World Intellectual Property Report 2011.Geneva:WIPO,www.wipo.int/edocs/pubdocs/en/wipo_pub_944_2011-chapter4.pdf;and Zuniga,P.(2011).The State of Patenting at Research Institutions in Developing Countries.Geneva:WIPO.ww

111、w.wipo.int/edocs/pubdocs/en/wipo_pub_econstat_wp_4.pdf.17The rationale for incentives programsThe role of universities in the modern innovation ecosystemMany universities refer to the entrepreneurial and innovative environment in which they operate as an“innovation ecosystem.”This ecosystem function

112、s as a sophisticated network or interconnected system designed to maximize benefits for all its participants.To effectively translate university research into economic and societal value,a universitys innovation ecosystem relies on the involvement of numerous stakeholders.Nevertheless,two pivotal st

113、akeholders have particular power in positively shaping the technology transfer and commercialization efforts:the researchers,who conduct cutting-edge research and generate novel ideas,technologies and solutions,and university technology transfer professionals,who facilitate the transfer of knowledge

114、 and technology from academia to third parties.Keycontributionsofresearchers Generate brilliant ideas which provide thebasis for societal solutions.Disclose inventions with societal or commercial potential to the TTO.Assist the TTO in seeking protection(e.g.,patent)before publishing the resultsof th

115、e research.Tap into their networks and help raise money,engage with potential licensees,investors,and other partners.Support further development of the inventions(e.g.,as a consultant to a licensee or as chief scientific officer or founder of a spinout).Support students that want to take technologie

116、s developed from their studies further.Ensure continued enthusiasm from the whole TT team.KeycontributionsofTTPs Raise awareness and organize training in the field of TT and entrepreneurship.Develop good relationships and trust with stakeholders in the innovation ecosystem.Promote the smart ideas of

117、 the researchers.Support the professional disclosure of inventions.Support researchers in seeking IP protection,when appropriate.With researchers support,identify potential licensees,investors and other partners.Support further development of the inventions.Evaluate invention disclosures and technol

118、ogies,manage the patent portfolio,negotiate agreements and create spinouts.TTPs face a challenging“Janus-faced”(ormiddle ground)role,supporting individual research entrepreneurs as well as protecting the interests and budgetary constraints of their employer,which,while mostly aligned,can be a diffic

119、ult path to tread.1ContextIncentives in Technology Transfer18 Nurturing a culture of innovation within higher education institutions University leadership has a crucial role to play in nurturing a culture of innovation,by establishing an environment that encourages researchers and TTPs to engage in

120、innovative endeavors.Beyond the measures taken by universities,governments can significantly influence and support the innovation ecosystem through enabling national strategies and policies.Well-planned incentive schemes,including recognition of accomplishments,performance evaluations,promotions,and

121、 financial rewards,can help to integrate innovation and social impact into the mainstream of the universitys activities.Channels to bring research to marketWhile working across institutional and disciplinary boundaries,universities increasingly face a difficult task as they are expected to play a ce

122、ntral role in transferring new knowledge and technologies to businesses and society.Universities have various channels,as shown in Figure 1,through which they can transfer knowledge,expertise and technologies to businesses and society.In this guide,we will explore both traditional technology transfe

123、r mechanisms and collaborative and informal ways of engaging with business and society.One of the classic methods of TT includes formal mechanisms such as patenting,licensing,spinout creation,joint research,contract research and academic consulting.In addition to formal TT mechanisms,universities ca

124、n also engage in informal modes of interaction with industry and third parties,including networking with potential investors or licensees,showcasing of technologies and marketing of university outputs.Moreover,joint innovation production between industry,research and other stakeholders is possible t

125、hrough publicprivate partnerships,collaborative research projects,joint patenting,joint publishing and diverse institutional arrangements ranging from joint laboratories to industry-led innovation ecosystems.In this evolving approach,universities are actively exploring innovative collaborative model

126、s that go beyond traditional TT channels,focusing on co-creation of knowledge and coordination of multi-actor innovation processes.Collaborative research,technology transfer and impact-oriented spinouts are therefore essential components of the modern innovation ecosystem within which universities o

127、perate.Figure 1:Technology transfer channelsTechnologyTransferChannelsFormalInformalPatentingLicensingPublicationsConferences.Training/EducationTechnologyServices/ConsultancySpinoutsRisk ofIP leakingSource:European Patent Office(EPO)The power of incentivesIncentives can serve as a powerful motivator

128、 for technology transfer,in several ways:They can encourage researchers to bring their research results to market,which is often an unfamiliar role for them.They can help to create a culture that values IP,entrepreneurship and collaboration,which can attract and retain entrepreneurial faculty,scient

129、ists,students and TTPs who view the university as a pathway for career development and giving back to society.1Context 19Being surrounded by colleagues who are interested in entrepreneurship can also inspire individuals to make connections between their research and its practical applications.Incent

130、ives can have an immediate or future impact,and they can be tailored to address individual or group needs.Although it may be challenging for universities to implement incentives that address every researchers or TTPs desires,they can design incentive programs to address various aspects of human natu

131、re.How to group incentivesIn this guide,we have divided incentives for researchers and TTPs into three groups,based on their nature:Non-financial incentives(Chapters 2 and 3).These incentives often include public recognition,appreciation of the individuals for their accomplishments by the university

132、 or by external organizations.They frequently reflect the institutions culture and the message that the leadership seeks to convey about the significance of TT activities in the university.Careeradvancementincentives(Chapters 2 and 3).These incentives are part of the recruitment into a university,pr

133、omotion,and retention within a university.Financial incentives(Chapters 2 and 3).Wherever possible,in this Guide the incentives are structured according to their targeted outcomes.This can be for general engagement(to bring innovation to the market for the benefit of society),or for specific activit

134、ies in technology transfer(for example,to encourage invention disclosure,spinout creation,licensing,etc.).ChallengesofincentivesprogramsSome caveatsIncentives are necessary,but not sufficient for achieving impact.Creating an entrepreneurial culture at the university is a slow and complex process.Eve

135、n once the right incentives structures are in place,a myriad of factors can affect TT.Expectationsmustremainrealistic.Most TTOs face challenges in generating profit.However,there are other non-monetary values that make investing in TT activities worthwhile.For example:access to unique data,enhanced

136、teaching opportunities,joint projects and events,and contributing to society.Incentives can be a double-edged sword.Although incentives can motivate TT,there are also drawbacks.For example:incentives might encourage faculty to focus on applied research at the expense of basic research;incentives may

137、 undermine other knowledge creation activities;and researchers or TTPs may prioritize short-term gains over long-term benefits.The right combination and timing is important.Some benefits may be too far away in time,for example an innovation award or royalty shares received 5 or 10 years after the in

138、vention disclosure.It is important,therefore,to use different short-term incentives at different stages of the TT process.There is no one-size-fits-all approach.This guide presents a very wide breadth of TT incentives.Certain incentives may be more applicable to specific people,colleges and countrie

139、s than others.Factors to consider include:national legal and innovation ecosystems,institutional objectives,purposes and perspectives of their role in society,and individual attitudes and visions of academics.Aim to motivate rather than impose.Researchers are motivated by both personal reasons and i

140、nstitutional incentives.To create an effective incentives system,it is important to understand the intrinsic motivations of researchers.However,universities should respect the decision of researchers who do not Incentives in Technology Transfer20 wish to engage in TT activities,and not force them to

141、 participate unless it is a requirement by law.While a strong incentive system is vital,do not overlook the importance of trust,fairness and transparency.These foundational values are crucial not only in incentivizing but also in establishing a conducive and positive environment.The interrelation be

142、tween metrics and incentives for technology transferIncentives for technology transfer:Rewards or benefits offered to individuals to encourage their active engagement and participation in technology transfer activities.Metricsfortechnologytransfer:Ways to evaluate the success of transferring researc

143、h results or technologies from a university to the market.There are two types of metrics typically used:quantitative and qualitative.Quantitative metrics provide numerical data.Examples include volume of research funding,number of disclosures,number of patents filed or granted,number of licensing ag

144、reements,revenue from licensing,number of spin-offs and broader innovation impact statistics.Qualitative metrics offer insight into non-numerical aspects.Examples include successful case studies,stakeholder satisfaction,impact on the local economy,social impact and the promotion of an entrepreneuria

145、l culture within the institution.Both types of metrics are crucial for an all-encompassing assessment of technology transfer activities,offering a blend of measurable data and valuable contextual insight.4,5 Metrics act as markers along the TT process and it can take several years before tangible re

146、sults can be seen.However,it is important to objectively assess progress that is made,and guard against merely having numbers without regard of their importance to the long-term objective of ensuring that the research becomes innovations that benefit society.The interrelation between metrics and inc

147、entives for technology transfer lies in creating a symbiotic relationship that fosters a thriving TT ecosystem.By measuring the outcomes and success of technology transfer through metrics,the institution can demonstrate the value and impact of commercializing research outputs.This,in turn,can serve

148、as evidence for the importance of TT and justify the allocation of resources,support and incentives for researchers and the TTO.Together,metrics and incentives create a positive feedback loop,driving a dynamic and successful technology transfer process that benefits both the institution and the rese

149、archers.However,incentives and metrics can have a negative side,such as achieving the target for example,more university patents but not the goal for example,the creation of downstream economic value and social impact generated by the invention.Unintended consequences can arise,such as researchers d

150、iverting their research attention away from more promising but more basic blue-sky research,or researchers trying to maximize short-term TT goals such as more patents at the expense of true knowledge transfer and value-creation activities.To illustrate these points,consider the examples in Table 1.4

151、 For a complete review of metrics for knowledge transfer see chapter 12 in Arundel,A.,S.Athreye and S.Wunsch-Vincent(eds)(2021).Harnessing Public Research for Innovation in the 21st Century.Cambridge:Cambridge University Press.5 Notable examples of metrics frameworks to benchmark the health of techn

152、ology transfer work are the Knowledge Exchange Framework(KEF)in the UK and the Survey of Commercial Outcomes from Public Research(SCOPR)report in Australia and New Zealand.1Context 21Table 1:Incentives and effectsMetric:faculty promotionIntended effectPossible side effectResearchers rewarded for inc

153、reased patent applications.Promote productivity,ensure that researchers declare their inventions and assist the TTO with the patent filing,the ultimate goal being that the patent will be at the origin of marketable inventions down the road.*This metric may be particularly useful where there are no o

154、r few patent filings,and the university has taken a strategic decision to increase TT awareness.A large number of university patents are filed without actually generating any economic value neither for the university nor for society as a whole.The risk can be mitigated by delaying the award of any i

155、ncentives until there is a commercialization plan.Reorientation of the direction of research:overemphasis on applied,short-term,more lucrative research.Less diversity in scientific disciplines as focus on patentable outcomes increases.Other university missions such as teaching and training are negle

156、cted.Incurring cost undermining the financial viability of the TTO.Researchers rewarded for increased grant funding.Ensure that research programs are funded,promote growth,generate overhead.Increased time writing proposals and less time gathering and thinking about novel research ideas and strategie

157、s,and actually conducting research.The prospect of income for universities or public research institutes can reduce government commitment to funding.Researchers can be diverted from working on more strategic research and placing more attention instead on the funders priorities.Metric TTO performance

158、Intended effectPossible side effectTTPs rewarded for increased patent applications.Ensure that TTO reaches out to researchers and provides support for patent applications.Sometimes,filing a patent is not the best option.In fast moving markets especially,there can be greater value in opting for a“tra

159、de secret”route.Therefore,it is imperative for universities and governments to consistently monitor and align incentives with the intended outcomes,emphasizing a broader perspective that encompasses both social and economic impact.22 Motivations and drivers,inhibitors and barriersAcademic researcher

160、s are busy people.Their primary activities are doing research,teaching and a large amount of administrative activity.Technology transfer is generally seen by researchers as an additional activity that they may or may not choose to do.Although TT is becoming more commonplace,in most cases it remains

161、for the researcher to choose to get involved.This section describes the range of factors that may motivate,drive and encourage researchers to get involved in technology transfer,and the range of factors that may act as inhibitors and barriers.Motivations and driversGaining insight into the motivatio

162、ns of researchers is of paramount importance,as it significantly influences their actions,their level of satisfaction and their long-term commitment to their work.Understanding the motivations of researchers will also determine the degree to which incentives can influence and change their behavior.T

163、raditionally,a distinction is made between internal,external and contextual factors supporting motivations.6Internal motivation refers to the inherent drive and interest in engaging in an activity purely for the sake of the activity itself,without any apparent external incentives.7 Internal motivati

164、ons to participate in TT and academic engagement include the following:Valuableintellectualexperience.If researchers perceive TT as challenging and exciting,they will attribute greater value to this activity.Positiveimpactonsociety.Knowing that their knowledge can contribute to technological develop

165、ment,support the creation of innovative products,jobs and services and make a positive impact on society is a great natural motivator for researchers.Insights on industry trends.Interaction with the private sector often results in access to expertise,knowledge,improved skills and techniques,better u

166、nderstanding of market needs and insights into persistent socio-economic problems.It can also provide access to sophisticated equipment.Testing technical and business validity as well as practical applications of research.By collaborating with external entities,researchers have the chance to examine

167、 their findings beyond the laboratory setting,from both scientific and commercial viewpoints,on a larger scale.6 Olaya Escobar,E.S.,J.BerbegalMirabent,I.Alegre and O.G.Duarte Velasco(2017).Researchers willingness to engage in knowledge and technology transfer activities:an exploration of the underly

168、ing motivations.R&D Management,47(5),715726.Closs,L.,G.Ferreira,V.Brasil,C.Sampaio and M.Perin(2013).What motivates Brazilian researchers to transfer technology?Journal of Technology Management&Innovation,Sept.13,2013,7990.7 Ryan,R.M.and E.L.Deci(2000).Intrinsic and extrinsic motivations:classic def

169、initions and new directions.Contemporary Educational Psychology,25,5467.2Setting up an incentives program for researchers2Setting up an incentives program for researchers 23External motivation arises from factors external to the individual,such as money,rewards and compliments.8 External motivations

170、 to participate in TT and academic engagement encompass a wide range of non-monetary and monetary scenarios,which include the following:Recognitionandawards.The results of TT,if publicly recognized and awarded,may give regional,national or international recognition that boosts the researchers reputa

171、tion.Careeradvancement.With the introduction of the“third mission”researchers,activities in TT(i.e.,patenting,spin-off creation,licensing)and academic engagement(i.e.,collaborative research,consulting,networking,etc.)have become part of the accomplishments on which promotion and securing“tenure”are

172、based,in addition to“articles published,”“papers presented”and“grants received.”Access to in-kind resources.Leading industrial companies often possess laboratories and facilities that far surpass the resources available to university researchers.Financial rewards.The importance of financial motivati

173、ons varies significantly across disciplines(e.g.,life sciences versus physical sciences)and also across pathways of technology transfer(e.g.,patenting,spinouts or industry collaboration).Additional laboratory or departmental funding and sponsoring.Research partnerships with industry open up addition

174、al research opportunities,many with funding attached.Positive results of collaborative research projects may bring new sponsor partners,new projects and better-quality students.Alternative career paths.Engaging in collaborations with industries opens up new job opportunities,while facilitating staff

175、 exchanges between the university and businesses.Additionally,it enhances the prospects of alumni joining companies in relevant fields.VisibilityforfurtherTTactivities.A successful TT with a company is likely to lead to follow-ons from a technical side for researchers,and from a business side for th

176、e TTPs.Contextual factors refer to the environmental elements that influence motivations and are part of the surroundings in which individuals operate.The successful implementation of TT relies significantly on the universitys capability to inspire and cultivate motivations among its researchers.In

177、other words,the university is responsible for creating the right context and the right incentives for TT.Contextual factors relevant to the university setting include the following:Strongentrepreneurialculture.If researchers perceive themselves as entrepreneurs,they can identify opportunities from a

178、 wider perspective and make better decisions and take calculated risks.StructuredandeffectiveecosystemforTT.This is crucial for TT development.It includes entities with different coordinated functions such as science parks,accelerators,incubators,financiers,government,industry and TTOs.9 Depending o

179、n their structure,ownership and management,governance and policies,size and location,they may have different effectiveness in addressing the researchers and the industry.Strongsupportforthethirdmission.The third mission refers to the essential multidisciplinary endeavor aimed at expanding the social

180、 and economic mission of universities.Strong support for the third mission is key for the success of TT.Establishing universityindustry laboratories can serve as a bridge connecting academia and society,while also fostering an entrepreneurial mindset.The social sciences and humanities can contribute

181、 by identifying 8 Grote-Garcia,S.A.and F.D.McDowell(2011).External motivation.In Goldstein,S.and J.A.Naglieri(eds),Encyclopedia of Child Behavior and Development.Boston,MA:Springer,pp.624625.https:/doi.org/10.1007/978-0-387-79061-9_1070.9 Good,M.,M.Knockaert and B.Soppe(2020).A typology of technolog

182、y transfer ecosystems:how structure affects interactions at the sciencemarket divide.Journal of Technology Transfer,45,14051431.https:/doi.org/10.1007/s10961-019-09745-w.Incentives in Technology Transfer24 the complexities of economic,social and environmental challenges and promoting more comprehens

183、ive interaction in universityindustry laboratories.Indeed,the potential of research impact and commercialization from the social sciences,arts and humanities is gaining traction.10Avoidance of imitation.Policymakers and university administrators should avoid isomorphism the tendency to imitate“world

184、-class”institutions and instead adopt unique policies aligned with the institutional strengths and needs.11Clearcommunication.In TT,trust is everything.It is essential to establish open and transparent communication channels between researchers and TTPs.Ensuring alignment between the accomplishments

185、 in the laboratory and the objectives in the industrial realms heavily depends on the integrity and quality of the information exchanged among successive stakeholders.Laws and policies that promote researcher engagement in TT.Laws and policies governing the TT process as well as broader institutiona

186、l policies such as those on reward,recognition,and promotion and evaluation are crucial for the success of the TT ecosystem.12Inhibitors and barriersThere are several reasons why researchers may be reluctant to engage in TT.We analyze the main barriers for involvement in IP protection,spinout creati

187、on and other TT engagement.A number of factors may hinder researchers participation in obtaining IP protection:Patentsaretimeconsumingandcomplextowrite.Academic researchers are often severely time constrained.TT activities may be seen as time taken away from research.This is especially relevant for

188、more junior staff,often under probation or tenure tracks,with pressure to publish.In addition,inventiveness is often difficult to prove and there may be uncertainty of the prior art analysis(i.e.,if relevant patents exist).Fear for academic right to publish.Researchers may have to risk delaying publ

189、ication or conference presentations due to patent application procedures.The patent laws of most countries have an absolute novelty requirement and,as such,publication prohibition before a patent application has been filed.Perceivedbureaucratichurdles.Scarce knowledge of the universitys procedures r

190、egarding patents and IP can act as a major deterrent.Insufficient support from the institution and the TTO can discourage researchers from disclosing their inventions and legally protecting their ideas.Ethical dilemma.Some academic researchers believe that making money is unethical,arguing that thei

191、r knowledge should be shared freely for the greater good.Several factors can impede researchers involvement in spinout creation,primarily stemming from gaps in the support provided by the TT ecosystem.Lack of business and financial skills.Researchers may lack the necessary knowledge and expertise in

192、 areas such as business development,marketing,finance and entrepreneurship.This knowledge gap can limit their understanding of market dynamics,customer needs,competitive landscapes and financial management essential components in successfully establishing and scaling a spinout venture.10 See,for exa

193、mple,in the UK(www.aspect.ac.uk)and the EU(https:/revalorise.eu).11 Compagnucci,L.and F.Spigarelli(2020).The Third Mission of the university:a systematic literature review on potentials and constraints.Technological Forecasting and Social Change,161,120284,https:/doi.org/10.1016/j.techfore.2020.1202

194、84.12 This has been highlighted in several studies.See,for example,Guerrero,M.and D.Urbano(2019).Effectiveness of technology transfer policies and legislation in fostering entrepreneurial innovations across continents:an overview.Journal of Technology Transfer,44,13471366.https:/doi.org/10.1007/s109

195、61-019-09736-x.2Setting up an incentives program for researchers 25Lack of supportive national legislation.Problem areas include IP rights,tax incentives,employment contracts(whether faculty can be involved in a spinout while maintaining academic duties),equity and profit-sharing,and cross-border co

196、llaboration.Mismatchedexpectations.Researchers might have a different perception of the value of their IP or the potential of their spinout compared to the TTO.Limited access to spinout funding.Researchers may struggle to secure the necessary resources needed to validate their technology,develop pro

197、totypes,conduct market research and attract skilled personnel.A particular challenge arises when seeking translational funding.Fear of failure to progress.In academia,researchers success and recognition are often linked to their contributions to traditional academic activities,such as publishing pap

198、ers in prestigious journals and obtaining research grants.Engaging in entrepreneurial endeavors such as spinout creation can be perceived as a deviation from the conventional academic path and may raise concerns about the potential consequences it could have on their academic trajectory.Other factor

199、s that are likely to hinder researchers engagement in TT include the following:Lack of awareness.Researchers often lack understanding of TT,research contracting and patenting,for example.They may not know instinctively when a patentable invention has been created and,as such,may not recognize the du

200、ty to disclose.Internal lack of trust.A lack of trust and appreciation between researchers and university management(including TTO managers)may result in a breakdown of dialogue and loss of potential opportunities for TT.Misaligned financial rewards.Financial rewards are perceived as short-term bene

201、fits;researchers may prefer the longer-term assured career benefits.On the other hand,if financial rewards are too high,researchers may end up chasing short-term gains and not develop a piece of research to its full potential and impact.Time constraints.University-specified constraints regarding the

202、 number of hours or days allowed to carry out consultancies,combined with the lack of workload allocation for innovation and enterprise activities,may be perceived as too stringent,or not worth the effort.Income constraints.The researchers“share”of income earned from commercialization may be perceiv

203、ed as“too low”or“unfair,”leading to researchers not participating at all.Variationamongdisciplines.It is well known that there exists large variation across disciplines in the quantity,quality and nature of TT that occurs.Most university-level incentives dont account for this variation and are gener

204、ally applied uniformly across departments.Variationamonguniversities.National-level incentives rarely account for variations among universities in terms of size,reputation,ability,research strengths and other factors.Thus,broad policies(such as Bayh-Dole like legislation),which suit universities wit

205、h strengths in technology-based disciplines,may not be optimal for smaller or less research-intensive universities which focus on the social sciences or liberal arts.Bias:outcomeversuseffort.Incentives typically compensate for“outcomes”(e.g.,number of patent applications,number of spinouts,etc.)and

206、rarely compensate for the amount of time and effort that goes into networking and initiation of contacts with potential non-academic partners.The personal time and resources put in by academic researchers in pursuit of TT opportunities is usually disregarded,while similar effort put into basic resea

207、rch is recognized in career considerations(e.g.,the number of large grant bids,even when not successful,or the pipeline of papers in the working paper stage).Incentives in Technology Transfer26 Template questionnaireAnnex B offers a template questionnaire designed for universities to collect data fr

208、om students,faculty and staff regarding their motivation,satisfaction levels and priorities.The questionnaire serves as a valuable tool to determine the most effective and valued incentives for the university community.By administering this questionnaire,universities can:Gain insights into the prefe

209、rences and motivations of their researchers and TTPs.For example,some respondents may be primarily driven by monetary rewards,while others may place a higher value on recognition or professional development opportunities.Preference may also change over time.13 Help identify areas of dissatisfaction

210、or concern that can be addressed through the incentives program.For instance,if the survey reveals that a significant number of faculty members feel undervalued or undercompensated,the incentives program can prioritize improving compensation and recognition for faculty.Help build buy-in.Sharing the

211、survey results with the university community demonstrates that their feedback has been taken into account,fostering a sense of inclusion and support.This transparency can also help build enthusiasm for the incentives program among the university community.WIPO survey on incentives for researchers an

212、d TTPsIn 2022,WIPO conducted a worldwide survey to investigate internal and external motivations of both researchers and TTPs,as well as key factors and obstacles to the engagement in TT activities.The main results of the survey are presented in Annex C.The incentives proposed in this guide relate t

213、o researchers external motivations and contextual factors which have been validated in the survey.Non-financial incentives for researchersWhen it comes to encouraging participation in TT and academic engagement,non-financial incentives have proven to be highly powerful,both to develop universities g

214、eneral entrepreneurial culture and to support individual programs and policies.Many universities assume that researchers engage with industry to commercialize their knowledge and,for this reason,they provide financial incentives to researchers(mainly benefit sharing)to encourage their commercial inv

215、olvement.However,empirical studies have shown that the main motivations for researchers to engage with external partners are non-financial.14,15Non-financial incentives can be provided by universities,national or local governments,industry and NGOs.Within the university context,the university leader

216、s play a key role in the effectiveness of non-financial incentives;the attitude toward TT that is set in speeches,yearly reports and committee meetings permeates and influences the institution.In this section we present and,whenever possible,report examples of six types of non-financial incentives t

217、hat can effectively be included in incentive programs.13 There is a growing tendency of the younger generation to favor monetary compensation and equity.14 Non-financial factors such as intellectual stimulation and professional development,as also confirmed in the WIPO survey results(see Annex C),ar

218、e the most significant motivators for academic researchers to engage with industry.The study found that researchers valued the opportunity to collaborate with industry partners,which allowed them to broaden their research perspectives,access new resources and work on more applied research projects.1

219、5 Similar studies indicate that academic researchers were more likely to engage with industry when they had the opportunity to conduct research that aligned with their intellectual interests and when they believed that their research could have a broader societal impact.Conversely,motivations that w

220、ere concerned with financial or commercial gains were generally considered as unimportant.See also Hughes,A.,C.Lawson,A.Salter,M.Kitson with A.Bullock and R.B.Hughes(2016).TheChangingStateofKnowledgeExchange:UKAcademicInteractionswithExternalOrganisations2005-2015.London:NCUB.2Setting up an incentiv

221、es program for researchers 27Non-FinancialIncentivesRecognitionEntrepreneurshipsupportRight topublishAdditionalfundsReturningIPFlexibleemploymentconditionsRecognitionAccording to the WIPO survey results(see Annex C),researchers highly value recognition,praise and moral prestige.Recognizing achieveme

222、nts and providing feedback not only makes individuals feel valued and motivated but also serves as a cost-effective method for inspiring engagement in technology transfer activities.By highlighting success stories,universities can foster a culture of innovation and entrepreneurship.Furthermore,recog

223、nition serves as a means to communicate the universitys values and desired entrepreneurial culture to other researchers.There are countless methods to acknowledge researchers.Universities can always explore more creative avenues.Here are just a handful of examples:Formalrecognitionforexceptionalperf

224、ormance:honorable mention on the researchers business card;mention on the office name plate;recognition in the job title(e.g.,principal,senior);lunch with university senior leadership such as the director,provost or dean;individual certificate;or book of honor or wall of fame.Directpraisegivenbytheu

225、niversitysseniorleadershipinspeechesandreportsoronthe internet.This can apply to tasks,teams and individuals:“thank you”communication from the director;or recognition extended to direct management.PublicizingsuccessestoshowcasethebenefitsofTTforacademiaandsociety:success stories;announcement of winn

226、ers of award competitions on the intranet or in the media;or annual university brochure showcasing the achievements of researchers.PrizesandawardstopromotetopachievementinTT.While the monetary value of these prizes may be modest,the value of recognition they provide is substantial:entrepreneurial co

227、urses,personalized training;major scientific conferences;or branded promotional item or wearable.Recognition schemes can be granted both at national and regional level and at institutional level.Below we report a few examples.Incentives in Technology Transfer28 Examplesofrecognitionprogramsatnationa

228、lorregionallevelEuropeanUnion(EU)Launched by the European Patent Office(EPO),the European Inventor Award16 recognizes outstanding inventors or teams,honoring their contributions to social,economic and technological progress.The winners receive trophies in the shape of a sail.As a lasting symbol of e

229、xploration and ingenuity,the sail shows how inventive ideas can propel humankind to uncharted shores.Japan The Japan Society for the Promotion of Science(JSPS)offers the JSPS Prize17 to researchers who have made significant contributions to scientific research in Japan.The prize includes a medal and

230、 a monetary award,as well as opportunities to attend international conferences and collaborate with researchers from other countries.New Zealand The Business Research Translation Competition18 aims to promote the relevance and impact of New Zealand business research to external stakeholders.The obje

231、ctive is also to enhance scholars skills and confidence in communicating their research to wider,non-specialist audiences.PeoplesRepublicofChina(PRC)The Challenge Cup Technological Innovation Competition19 is a national competition for university students extracurricular academic and technological e

232、ntrepreneurship.It is reputed as the“Chinese Olympics”of science and technologyamong PRC college students,covering fields such as management,social science and energy sourcesubject.It is also a window to show PRC college students creativity in science and technology and an arena to select students o

233、f high quality.Since 1989,more than 2,000 colleges and universities have participated in the competition,with a total of 2 million students.The University of Tsinghua,20 for example,showcases Tsinghua undergraduates innovative projects covering a wide range of areas,such as information technology,in

234、dustrial manufacturing,integration of arts and sciences,and environmental improvement.SouthAfrica The Department of Science and Technology(DST)and the National Intellectual Property Management Office(NIPMO)issue a Certificate of Recognition every year for all IP creators who are listed as inventors

235、or breeders on a granted patent at the South African Companies and Intellectual Property Commission(CIPC)(South African Patent and Trade Marks Office)or a granted plant breeders right(PBR)issued by Department of Agriculture,Land Reform and Rural Development.21SouthAfrica In 2019 the Department of Hi

236、gher Education and Training(DHET)developed a policy on the evaluation of recognition of creative outputs and innovations(in addition to publication outputs).The purpose of this policy is to recognize and reward quality creative outputs and innovations produced by public higher education institutions

237、.The award is in the form of units to which a monetary value is associated and which is paid over to the institution.A maximum of two units are awarded for first patent application of a patent family granted in a particular substantive examination jurisdiction or first PBR application of a PBR famil

238、y granted in a particular substantive examination jurisdiction.22SouthAfrica In 2019,DST and NIPMO handed over 40 IP Creators Awards to scientists and researchers from public funded research institutions across South Africa.The awards initiative 16 new.epo.org/en/news-events/european-inventor-award/

239、about-award17 www.jsps.go.jp/english/e-jsps-prize18 https:/en.wikipedia.org/wiki/Challenge_Cup_Competition_of_Science_Achievement_in_China20 Guideline 3.5 of 2019:Operation of the Incentive Scheme for Intellectual Property Creators,which sets out the terms and conditions for the provision of incenti

240、ves as per the mandate articulated in Section 9(4)(b)of Intellectual Property Rights From Publicly Financed Research And Development Bill,which states:“NIPMO must,furthermore (b)provide incentives to recipients and their IP creators,to reward them for proactively securing protection for IP and comme

241、rcialising it and,generally,for promoting innovation.”22 See:Higher Education and Training,Republic of South Africa(revised 2021).Policy on the Evaluation of Creative Outputs and Innovations Produced by Public Higher Education Institutions(2017).Implementation Guidelines(2021).2Setting up an incenti

242、ves program for researchers 29aimed to acknowledge the most prolific inventors in each institution and award them with a certificate of acknowledgment as one of the incentives.23UnitedKingdom The Royal Society of Chemistry has established the Emerging Technologies Competition24 to encourage the deve

243、lopment of innovative technologies by early career researchers.The competition provides a platform for researchers to showcase their technologies to industry and investors.The winners receive mentoring,training and networking opportunities.UnitedStatesofAmerica The National Institute of Health(NIH)o

244、ffers the NIH Directors New Innovator Award25 to support exceptionally creative early career researchers who propose innovative,high-impact projects.The award provides significant funding,as well as opportunities for collaboration with other researchers and access to NIH resources.Examplesofrecognit

245、ionprogramsatinstitutionallevelCanadaUniversityofBritishColumbia(UBC)grants an Inventor of the Year Award26 to recognize UBC faculty members who have demonstrated outstanding achievement in the commercialization of their research.GermanyTechnicalUniversityofMunich(TUM)awards the honorary title Entre

246、preneur of Excellence27 to honor important and committed entrepreneurs with a role model function.NewZealandUniversityofAuckland Research Translation Awards28 recognize researchers for the contribution that their research makes to the economy,society,communities,culture,public policy,health,environm

247、ent or quality of life,beyond its academic merits.“Translation”means that researchers re-write an existing paper(published over the last three years)for a non-specialist audience,in lay and jargon-free language.SouthAfricaUniversityofCapeTown(UCT)s TTO,Research Contracts and Innovation(RC&I),celebra

248、tes innovation at the UCT in person with the annual Inventors Breakfast.The breakfast also serves as the launch event for the annual“Innovation at UCT”publication,29 which profiles inventions,UCT inventors,spin-off companies and the activities of RC&I.Newinventors are also presented with RC&Is iconi

249、c“Inventor”coffee mugs,while those who had a South African patent granted in the past year receive their patent certificates.30SouthAfricaUniversityofWesternCape(UWC)hosts Research Recognition Awards every year.31 Nominated by UWCs TTO,the award recognizes researchers whose innovation has had an imp

250、act in society in the last two years,has had IP registered,granted or filed in the last two years,or had a novel commercializable or transferable disclosure to the TTO in the last year.It includes a Certificate of Recognition(see above).UnitedKingdomUniversityofCambridge grants Vice-Chancellors Impa

251、ct Awards32 to recognize researchers who have made a significant contribution to society or industry through 23 www.samrc.ac.za/news/samrc-duo-awarded-top-intellectual-property;www.univen.ac.za/news/univen-top-inventors-receive-the-dst-intellectual-property-creators-awards;and https:/pressoffice.mg.

252、co.za/northwestuniversity/content/WnxpE74gRYAvV8XL24 www.rsc.org/competitions/emerging-technologies25 https:/commonfund.nih.gov/newinnovator26 prizes.research.ubc.ca/directory-award-opportunities27 www.ie.mgt.tum.de/en/ent/research/tum-research-excellence-award-peter-pribilla-foundation28 www.auckla

253、nd.ac.nz/en/business/our-research/research-impact-competition/about-the-research-impact-case-studies-competition.html29 https:/uct.ac.za/research-innovation-publications/innovation-reports30 https:/uct.ac.za/rci/articles/2022-11-01-celebrating-innovation-uct-202231 The theme for 2022s Research Recog

254、nition Awards was,“Making research and innovation count through connecting possibilities,”see www.uwc.ac.za/news-and-announcements/news/research-recognition-awards-2022-making-research-and-innovation-count-through-connecting-possibilities32 www.cam.ac.uk/stories/vice-chancellors-awards-2022#:text=Th

255、e%20Vice%20Chancellors%20Awards%20for,engagement%20with%20and%20for%20researchIncentives in Technology Transfer30 their research.The awards include a cash prize and public recognition.UnitedKingdomUniversityofOxford has a program called the Royal Society Rewards,33 which recognizes exceptional resea

256、rch achievements through a series of prestigious medals and prizes named after great scientists of the past.The awards include a cash prize and support for the development of the researchers technology.UnitedStatesofAmericaUniversityofCalifornia(UC)presents Innovation Awards34 to recognize exception

257、al achievements in innovation,entrepreneurship and technology commercialization among UC faculty,staff and students.UnitedStatesofAmericaMassachusettsInstituteofTechnology(MIT)s Technology Licensing Office Awards35 recognize and celebrate MIT inventors,startups and licensees for their contributions

258、to the commercialization of MIT technologies.UnitedStatesofAmericaUniversityofMichigan(UM)Innovator of the Year Award36 honors UM faculty who have demonstrated outstanding achievements in the commercialization of their research.UnitedStatesofAmericaUniversityofTexas(UT),at Austin,presents an Invento

259、r of the Year Award37 to recognize UT faculty members who have made significant contributions to the commercialization of their inventions.Flexible employment conditionsFlexible employment conditions can mean different things for different employees.They may include more flexibility with their sched

260、ules,flexibility to perform other activities,or a reduction of academic or administrative work.Researchers value flexibility regardless of how it is defined.Flexible conditions can include the following:Commercializationsabbaticalsandmobilityschemes.Sabbatical leave(either paid or unpaid)is particul

261、arly useful for inventors intending to develop a spinout,but it may also be useful to enable researchers to work in house with industry(secondments)or to concentrate on patenting and licensing.When granting sabbatical leave,the department or unit will incur staff losses.Consider compensating the uni

262、t,for example in the form of additional resources to replace the absent staff,or a share in the commercialization proceeds(see also“Slicing the pie:how much for the researchers department?”).Furthermore,when on sabbatical leave,researchers highly appreciate the possibility to return to their positio

263、ns with the same salary intact.Consider granting this possibility for a defined duration,such as three to five years.38 For universities that have a tenure system,it is crucial to consider pausing the tenure process when faculty researchers take commercialization sabbaticals.Teaching and admin reduc

264、tions.Allow researchers to buy out teaching and administrative time during their working hours to devote exclusively to enterprise development.The researcher maintains their full-time employment status.Time allocation for consulting and other outside professional activities,in addition to their full

265、-time employment at the university.Though consulting opportunities can make faculty better scholars and teachers,the nature of the consulting process has the potential for diversion of faculty from their primary activities.Both conflicts of interest(COIs)and conflicts of commitment may arise where f

266、aculty researchers compromise their professional standards 33 www.ox.ac.uk/news/2022-08-24-oxford-scientists-honoured-eight-royal-society-awards34 https:/ucop.edu/research-initiatives/programs/innovation-opportunities/index.html35 https:/tlo.mit.edu/resources/news-events36 https:/innovationpartnersh

267、ips.umich.edu/awards/distinguished-university-innovator-award37 https:/discoveries.utexas.edu/for-campus-inventors-entrepreneurs38 While sabbaticals are an important incentive,one should also consider possible negative effects regarding IP lost and created out of the university.2Setting up an incent

268、ives program for researchers 31or allow an outside activity to interfere with their obligations to students,colleagues or the primary missions of the university.Therefore,there needs to be a limit on the time that a faculty researcher may spend in consulting(“one day per week”consulting is commonly

269、permitted).Universities typically have consulting policies and COI policies39 to set forth time and other conditions that are intended to strike a fair balance between consulting and the obligations of the faculty within the university and serve to safeguard the interests of both parties.Further det

270、ails about consulting fees for researchers can be found in the section,Fees from consulting.ExamplesofflexibleemploymentconditionsIcelandReykjavikUniversitysStrategy2015.40 Article 11:“Reykjavik University is committed to creating a stimulating environment for research.This is done in several ways:B

271、y limiting the teaching load of those faculty members with high research output;by allowing faculty members to take sabbatical periods;by offering appropriate facilities for researchers,like working space(laboratories),computational power,financial accounting of research grants,etc.;by offering assi

272、stance for developing applications for research funding.Depending on the financial possibilities,which may vary from one year to another,active researchers can receive travel funds to participate in conferences.Means for stimulating the research environment are expected to evolve as new ideas emerge

273、.”UnitedStatesofAmericaUniversityofMississippiFacultyConsultingPolicy.41“Consulting is permitted provided the faculty members full-time obligation to the University is met.The maximum number of consulting days permissible for a faculty member is 39 days per academic year or 52 days per calendar year

274、 for 12-month appointees.This limit is based on a judgment about incentives and is aimed at furthering The University of Mississippis teaching,research,and service objectives.A limited amount of averaging of consulting time is permissible if,on occasion,a faculty member plans to consult for more tha

275、n one day per week but no more than 39 days in two academic semesters or 52 days per calendar year for twelve-month appointees.Thirty-nine days of consulting per academic year or 52 days for one calendar year of active duty,is intended to be a liberal allocation,yet one that is fair to the Universit

276、y.The responsibility for adhering to the limit on consulting days,and other aspects of the Universitys consulting policy,lies first with the individual faculty member.Faculty members should resolve any questions and/or ambiguities with their department chairperson or dean before the fact,so that the

277、 University community is not injured by their actions.Faculty members have an obligation to report fully the level(i.e.,number of days)of their consulting activities when asked to do so by the University so that it may be determined whether the principles set forth herein are being adhered to.”Entre

278、preneurship support for researchersResearchers will be incentivized to participate in TT activities if the TTO can offer them a professional and encouraging environment.The maturity of the ecosystem and the available resources will dictate the type and the amount of support that a university TTO off

279、ers to its researchers.For instance,for spinout formation,in uniquely mature ecosystems,such as the Silicon Valley,a company may be formed with support from the many actors surrounding a university(such as very early-stage investment firms,law firms,accounting firms and business advisors).In the les

280、s mature ecosystems,in which the majority of universities reside,a university may need to support the academic inventors through all the stages of company formation,development and investment.For example,the university may provide real estate for the company to start and grow;legal services to help

281、with incorporation;and access to university core facilities.In addition to TTOs,university incubators,innovation parks and university laboratories are essential components of the TT ecosystem,providing the resources,expertise and support necessary to turn innovative ideas into successful businesses

282、and products.They can be supportive in a range of ways:39 For examples of COI and consultancy policies,see the WIPO Database of IP Policies.40 https:/en.ru.is/research/ru-research-strategy41 www.research.olemiss.edu/sites/default/files/ACA_FG_300_005.pdfIncentives in Technology Transfer32 entreprene

283、urship training,coaching and mentoring;education in patenting;business plan competitions,networking;specific support for spinout creation;development of business concept or preliminary business plan;IP due diligence(including internal disclosure,ownership,freedom to operate);market assessment and te

284、chnology positioning;and introduction to the financial community(venture capital or angel investors,proof of concept(PoC)funds and seed funding public calls)and guidance on fundraising,helping to prepare communication materials,pitch decks,applications for public calls and so on.Exampleofentrepreneu

285、rshipsupportprogramatnationallevelUnitedStatesofAmericaNationalScienceFoundation(NSF)s Accelerating Research Translation(ART)program42 looks to boost tech transfer by changing culture and faculty incentives.ART provides funding to build institutional capacity and the infrastructure needed to conduct

286、 translational research activities.One of the expected outcomes from this program is creating a network of“ART Ambassadors”from different institutions throughout the United States.The ambassador cohorts will include senior research administrators,faculty members,technology transfer officials,entrepr

287、eneurs,postdoctoral researchers and graduate students.The ambassadors will serve as advocates and mentors for research translation,guiding other faculty,postdoctoral researchers and students.ExamplesofentrepreneurshipsupportprogramsatinstitutionallevelGermanyTechnicalUniversityofMunich(TUM)has an En

288、trepreneurship Center43 that provides a variety of resources to startups,including access to funding,mentorship and networking opportunities.IndiaIndianInstituteofTechnology(IIT)Delhi44 relies on the Foundation for Innovation and Technology Transfer(FITT).FITT is an industryacademia interface organi

289、zation,established by IIT Delhi to facilitate research translation,technology development,IPR management,technology transfer,research and development(R&D)collaboration,startup incubation and mentoring.The FITT Technology Business Incubator(TBI)has been active since 2000.Its objective is primarily to

290、 promote partnerships with new technology entrepreneurs and startup companies.IndiaInstituteofTechnologyRoorkee(IITRoorkee)maintains a unique scheme of personal development funds for its faculty members by transferring some amount from the research and consultancy projects.The fund can be utilized b

291、y faculty members for their professional development,for example to meet the expenses for participating in conferences and paying membership of various professional bodies.45 In addition,IIT Roorkee benefits from the IIT Roorkee Foundation,46 a public charity with the purpose“to create funds for stu

292、dents,faculty,and supporting staff development,curriculum innovation,research support,entrepreneurial and innovative initiatives,promotion of excellence,welfare funds,community outreach,and to support disadvantaged individuals.”JapanOkinawaInstituteofScienceandTechnologyGraduateUniversity(OIST)Innov

293、ation presents a captivating case.Established as a transformative endeavor in Okinawa,OIST swiftly cultivated a comprehensive ecosystem in an environment that was initially sparse.This system,complete with networking opportunities,a PoC program,entrepreneurial 42 www.nsf.gov/pubs/2023/nsf23558/nsf23

294、558.htm43 www.tum.de/innovation/entrepreneurship44 https:/fitt-iitd.in/web/incubation45 Unilink(2009).A Comparative Analysis of Institutional Innovation and IP Policies,Strategies and Practices,Results of the Micro-Level Analysis of the IP Unilink Project,p.53.See also the IIT Roorkee Notification o

295、n Professional Development Allowance(PDA).46 www.iitrfoundation.org2Setting up an incentives program for researchers 33education,acceleration of external groups,incubation spaces and proactive support,is strategically designed to transition technologies from the research phase to the marketplace.47R

296、ussianFederationMoscowInstituteofPhysicsandTechnology(MIPT)offers student-support projects and services such as Phystech.Start,which helps students materialize their business ideas.48SingaporeNationalUniversityofSingapore(NUS)has an entrepreneurship support program called VentureLab.This program off

297、ers mentorship,funding and other resources to startups founded by NUS students,faculty and alumni.SouthAfricaStellenboschUniversity(SU).The Innovus TTO and the Stellenbosch University LaunchLab provide various programs“to foster an entrepreneurial spirit on campus and to create entrepreneurial aware

298、ness”:Entrepreneurship Boot Camp.The TTO hosts an annual boot camp which focuses on the business model canvas and the growth wheel,which are the tools used for startups and young entrepreneurs.Innovus guides the entrepreneurs in understanding the concepts behind the value proposition,customer segmen

299、t,pricing model and breakeven point for a business,and invites industry experts and startups to advise faculty researchers and students on their entrepreneurial journey.The boot camps lead to valuable educational experiences for students which augment classroom teachings and enhance the“Stellenbosch

300、 experience”for the student community.Last Friday Pitching Session.The TTO invites SU entrepreneurs to a pitching session on the last Friday of every month.At this session,they are allowed to pitch their idea to the TT team and get advice on the areas of their business which need support.Through the

301、 SU LaunchLab Incubator,extensive support is provided to spinout companies and student entrepreneurs,as well as external entrepreneurs.SUs TTO also provides free company secretarial support,negotiates discounts with service providers on behalf of the universitys group of companies,legal and administ

302、rative support,access to investment and funding,access to networks,association with a top university,access to laboratories and access for spinout employees to the universitys wellness support programs,to name but a few.SwitzerlandPolytechnicFederalSchool(EPFL)offers“funding,support and passion”to i

303、ts entrepreneurs helping them bring their ideas to market:The Student Startup Launchpad and Blaze Accelerator programs are designed to forward leading student startups up to a successful market launch.The Changemakers Program offers workshops,boot camps and mentoring to EPFL Bachelors,Masters or PhD

304、 students who want to develop an entrepreneurial project.Entrepreneurship-related courses are provided at Bachelors,Masters and doctoral levels.Students also have the option to do their Masters project in their own startup.UnitedKingdomUniversityCollegeLondon(UCL)has a startup accelerator program ca

305、lled Founders Factory.This program provides funding,mentoring and other resources to early-stage startups in a variety of industries.UnitedStatesofAmericaMassachusettsInstituteofTechnology(MIT)offers an entrepreneurship support program called the MIT Venture Mentoring Service(VMS).This program pairs

306、 startup founders with a team of experienced mentors who provide advice and guidance throughout the startup process.UnitedStatesofAmericaCornellUniversity offers a range of entrepreneurship support programs through its EntrepreneurshipCornell initiative.These programs include an accelerator program,

307、a student business incubator and a mentorship program.47 https:/groups.oist.jp/innovation?utm_source=email_signature&utm_medium=email&utm_campaign=email_signature&utm_content=text 48 https:/ in Technology Transfer34 Protecting researchers right to publishBecause publication is central to the activit

308、y of the scientific community,researchers find it very important that they can publish the outcomes of a research cooperation with industry.Granting them this capability is an important incentive to stimulate collaborations.In addition,publications also yield indirect rewards.For example,they can af

309、fect a researchers job prospects and ability to be promoted.The publication of a scientific paper can lead to beneficial scientific collaborations,which can in turn lead to financially rewarding opportunities for academic authors.These opportunities can include commercial proposals for collaboration

310、s or consulting services.Many universities,when entering collaboration with industry,will negotiate schemes that let the researcher publish after appropriate consultation with the industry partner to guarantee that no sensitive information is disclosed,and that any IP is properly secured.The length

311、of the confidentiality obligation is typically between three and five years,but much will depend on the nature of the project,the amount of time needed for additional development before commercialization(for example,pharmaceuticals may need more time)and the type of IP(for example,if the research is

312、 expected to result in trade secrets,and a know-how license is anticipated,then it may not be possible to negotiate publication rights).This may be a serious issue:as an example,US universities will generally not agree to do research that must be kept secret.To support academic researchers needs to

313、publish when entering collaborations with companies,universities and TTOs can take several measures:Clearpublicationguidelines:University guidelines can outline the rights and responsibilities of researchers when publishing research outcomes,emphasizing the importance of publication while considerin

314、g the need for confidentiality and IP protection.Negotiatingpublicationclauses:TTOs can negotiate agreements with industry partners that include reasonable publication timelines.Consultation processes(limited in time)can be established to review research papers and identify any confidential or propr

315、ietary information that should be excluded.Confidentialityandnon-disclosureagreements(NDAs):TTOs can work with industry partners to establish confidentiality and NDAs that protect sensitive information shared during collaborations and establish mechanisms for handling publication-related issues.Educ

316、ationandawareness:Universities can provide training and education to researchers about the nuances of collaboration with industry and the associated publication considerations,such as the importance of balancing publication needs with industry requirements and learning how patenting and publication

317、can be complementary.ExamplesofsupportingresearchersneedforpublishingBelgiumKULeuvenResearchandDevelopment(LRD).49 The TTO of KU Leuven offers guidance and coaching on how to reconcile publications(both scientific papers and patent applications)with the restrictions and requirements of collaborating

318、 with third parties.GermanyMaxPlanckInnovation.50 The TTO of the Max Planck Society facilitates the translation of cutting-edge scientific discoveries into real-world applications.Through strategic collaborations and partnerships with industry,the TTO bridges the gap between research and commerciali

319、zation,fostering innovation and economic growth.It manages patents,licenses and spin-off companies,and support for result publications.SwedenKarolinskaInstitutetInnovationsAB.51 The TTO at Karolinska Institutet supports researchers in navigating IP considerations and collaborates with researchers to

320、 ensure 49 https:/lrd.kuleuven.be/en50 www.mpg.de/knowledge-transfer/technology-transfer51 https:/karolinskainnovations.ki.se/en2Setting up an incentives program for researchers 35successful dissemination of their findings while addressing potential commercialization aspects.By assisting researchers

321、 with article publication,the TTO supports the effective communication of research outcomes to the scientific community and beyond.UnitedKingdomImperialEnterprise.52 Imperial College Londons Enterprise Division provides researchers with guidance in navigating IP considerations,ensuring that their ar

322、ticles can be published while adhering to patent and commercialization interests.By offering assistance in managing potential conflicts,they support researchers in sharing their findings with the academic community while safeguarding innovation opportunities.UnitedKingdomOxfordUniversityInnovation.5

323、3 The TTO of the University of Oxford offers researchers guidance and support on publishing their research results while maintaining confidentiality and protecting IP.The office also helps with licensing and negotiating research collaborations with industry partners.Provision of additional research

324、funds,PoC funds and translational fundsResearchers spend a considerable amount of time on examining avenues for funding their research.Any incentives that provide funding for additional R&D activities will be welcomed and can influence researcher behavior.54 These incentives provide money,and so cou

325、ld be considered“financial incentives,”but are included here as they are not direct to the individual.Additional fund incentives can originate from a variety of sources:governments,private funders,donations,crowdfunding,universities,international funding and so on.Additional research fundsIt is poss

326、ible to design an incentive for researchers who are already engaged in TT activities to receive additional research funding.Financedbytheuniversity:Researchers who have successfully engaged in contract research or consultancies,developed prototypes or successfully patented technology,for example,may

327、 receive funds to carry out additional research as a reward.These rewards would be financed from the universitys central resources,for example the income received from TT activities.Financedbytheresearchers:Researchers who participate in academic engagement activities may earn personal consulting in

328、come or may receive personal licensing revenue shares.They usually have the option of transferring this money to their departmental research accounts.The university must be prepared for this possibility and make the process easy.For more information,see the section“Allocation in research accounts.”E

329、xamplesofadditionalresearchfundsatinstitutionallevelPeoplesRepublicofChina(PRC)KunmingUniversityofScienceandTechnology(KUST).55 Anyone applying for a research project granted by the university must agree to the requirement of seeking protection prior to publication;the effort to seek protection of r

330、esearch results would be considered in the subsequent research funding.52 www.imperial.ac.uk/enterprise53 https:/innovation.ox.ac.uk54 Closs,L.,G.Ferreira,V.Brasil,C.Sampaio and M.Perin(2013).What motivates Brazilian researchers to transfer technology?Journal of Technology Management&Innovation,Sept

331、.13,2013,83.55 Unilink(2009).A Comparative Analysis of Institutional Innovation and IP Policies,Strategies and Practices,Results of the Micro-Level Analysis of the IP Unilink Project,p.52.Incentives in Technology Transfer36 SwitzerlandConvertingrevenuesharingintoadditionalresearchfunds,Universityof

332、Geneva.56 The University of Geneva provides a larger share of the licensing revenues as unrestricted research funds for its researchers.In summary,net license revenues within research institutions are usually distributed between three groups:1)the contributors of the invention,2)their research units

333、 and 3)the institution.Some of the contributors may decide to assign their share of revenue to the research unit in order to use them as additional funds for their research.In order to incentivize further TT-related activities,the university decided to match such assignment with a proportional allocation of its share to the research unit.If all the contributors assign their share to the unit,the u