Abstract
University–industry collaborations are an important pathway through which academic scientists engage with industry and society, co-create new knowledge, and raise funds to carry out costly research endeavors. Nonetheless, the management of such collaborations is challenging and requires universities to protect their investments in intellectual property and to capture value from them. This paper examines how scientists’ motivations to undertake inventive activities shape the relationship between research partnerships, the ownership of academic patents resulting from such partnerships, and the licensing of university-owned patents. We examine the interactions between these factors using data on 501 research projects conducted by scientists affiliated with universities located in various countries. Our analysis indicates that the inventors’ motivations bear a direct effect on the ownership and commercialization of academic patents. Moreover, these motivations positively moderate the relationship between research partnerships and the management of academic patents. These findings have interesting implications for university administrators striving to enhance the effectiveness of the technology transfer process.
Similar content being viewed by others
Data availability
The authors do not have permission to share data.
Notes
Following Lissoni et al. (2008), we define academic patents as patents that have one or more university researchers in the list of inventors. We can distinguish two types of academic patents: (a) university-owned patents, i.e., academic patents owned/applied for by universities; (b) university-invented patents, i.e., academic patents owned/applied for by companies, other public research organizations, or individuals.
Throughout this paper we will use the term research partnership, university–industry partnership, and joint-research project as synonymous.
Anecdotal evidence from our setting indicates that some academic inventors take the strategic initiative of working with business partners and foster knowledge exchange through their involvement in knowledge transfer partnership programs. Other inventors have leveraged the results of their research to identify new business opportunities together with TTO staff and technology vendors.
The variable Research experience is highly correlated with the academic position of the surveyed inventor. In unreported analysis, we measured the latter with a dichotomous variable, Faculty member, which equals 1 if the inventor was a faculty member at the time of the invention, and 0 otherwise (e.g., Ph.D student). The correlation between the two variables is equal to 0.64.
It is worth noting that the questions require inventors to exclude interactions with co-inventors and other people belonging to organizations with which there were formal collaborations. Hence, the question allegedly captures different types of relationships with respect to those proxied by Research partnership.
References
AAUP (2014). Defending the Freedom to Innovate: Faculty Intellectual Property Rights after Stanford v. Roche. American Association of University Professors. Available at: https://www.aaup.org/report/defending-freedom-innovate-faculty-intellectual-property-rights-after-stanford-v-roche.
Aghion, P., & Tirole, J. (1994). The management of innovation. The Quarterly Journal of Economics, 109(4), 1185–1209.
Agrawal, A. (2006). Engaging the inventor: Exploring licensing strategies for university inventions and the role of latent knowledge. Strategic Management Journal, 27(1), 63–79.
Aldridge, T., & Audretsch, D. B. (2010). Does policy influence the commercialization route? Evidence from National Institutes of Health funded scientists. Research Policy, 39(5), 583–588.
Ankrah, S. N., Burgess, T. F., Grimshaw, P., & Shaw, N. E. (2013). Asking both university and industry actors about their engagement in knowledge transfer: What single-group studies of motives omit. Technovation, 33(2–3), 50–65.
Audretsch, D. B., & Belitski, M. (2022). A strategic alignment framework for the entrepreneurial university. Industry and Innovation, 29(2), 285–309.
Beck, S., Bergenholtz, C., Bogers, M., Brasseur, T. M., Conradsen, M. L., Di Marco, D., Distel, A. P., Dobusch, L., Dörler, D., Effert, A., Fecher, B., Filiou, D., Frederiksen, L., Gillier, T., Grimpe, C., Gruber, M., Haeussler, C., Heigl, F., Hoisl, K., & Xu, S. M. (2022). The Open Innovation in Science research field: A collaborative conceptualisation approach. Industry and Innovation, 29(2), 136–185.
Bercovitz, J., & Feldman, M. (2008). Academic entrepreneurs: Organizational Change at the individual level. Organization Science, 19(1), 69–89.
Bishop, K., D’Este, P., & Neely, A. (2011). Gaining from interactions with universities: Multiple methods for nurturing absorptive capacity. Research Policy, 40(1), 30–40.
Bodas Freitas, I. M., & Nuvolari, A. (2012). Traditional Versus Heterodox Motives for academic patenting: Evidence from the Netherlands. Industry & Innovation, 19(8), 671–695.
Bodas Freitas, I. M., Marques, R. A., & de Silva, E. MPe. (2013). University–industry collaboration and innovation in emergent and mature industries in new industrialized countries. Research Policy, 42(2), 443–453.
Bradley, S. R., Hayter, C. S., & Link, A. N. (2013). Models and methods of University Technology transfer. Foundations and Trends® in Entrepreneurship, 9(6), 571–650.
Carayol, N., & Carpentier, E. (2022). The spread of academic invention: A nationwide case study on french data (1995–2012). The Journal of Technology Transfer, 47(5), 1395–1421.
Carayol, N., & Sterzi, V. (2021). The transfer and value of academic inventions when the TTO is one option. Journal of Economics & Management Strategy, 30(2), 338–367.
Chesbrough, H. W. (2003). Open Innovation: The New Imperative for creating and profiting from Technology. Harvard Business Press.
Columbia News (2022). Columbia University Awarded $185 Million for Patent Infringement by NortonLifeLock Inc Available at: https://news.columbia.edu/news/columbia-university-awarded-185-million-patent-infringement-nortonlifelock-inc.
Crawford, S. (2018). “Revolutionary” patent for organ transplants granted to LSU Health Shreveport. Shreveport Times. Available at: https://www.shreveporttimes.com/story/news/2018/06/22/revolutionary-patent-organ-transplants-granted-lsu-health/725446002/.
Crespi, G. A., Geuna, A., Nomaler, Ö., & Verspagen, B. (2010). University IPRs and knowledge transfer: Is university ownership more efficient? Economics of Innovation and New Technology, 19(7), 627–648.
D’Este, P., & Patel, P. (2007). University–industry linkages in the UK: What are the factors underlying the variety of interactions with industry? Research Policy, 36(9), 1295–1313.
D’Este, P., & Perkmann, M. (2011). Why do academics engage with industry? The entrepreneurial university and individual motivations. The Journal of Technology Transfer, 36(3), 316–339.
Dasgupta, P., & David, P. A. (1994). Toward a new economics of science. Research Policy, 23(5), 487–521.
Egelie, K. J., Lie, H. T., Grimpe, C., & Sørheim, R. (2019). Access and openness in biotechnology research collaborations between universities and industry. Nature Biotechnology, 37(12), 1413–1420.
Eisenberg, R. S., & Cook-Deegan, R. (2018). Universities: The fallen angels of Bayh-Dole? Daedalus, 147(4), 76–89.
Ejermo, O., & Toivanen, H. (2018). University invention and the abolishment of the professor’s privilege in Finland. Research Policy, 47(4), 814–825.
Foley, H. C. (2012). A New Approach to Intellectual Property Management and Industrially Funded Research at Penn State. Research-Technology Management, 55(5), 12–17.
Foray, D., & Steinmueller, E. (2003). On the economics of R&D and technological collaborations: Insights and results from the project colline. Economics of Innovation and New Technology, 12(1), 77–91.
Friedman, J., & Silberman, J. (2003). University Technology transfer: Do incentives, management, and Location Matter? The Journal of Technology Transfer, 28(1), 17–30.
Geuna, A., & Rossi, F. (2011). Changes to university IPR regulations in Europe and the impact on academic patenting. Research Policy, 40(8), 1068–1076.
Goel, R. K., & Göktepe-Hultén, D. (2018). What drives academic patentees to bypass TTOs? Evidence from a large public research organisation. The Journal of Technology Transfer, 43(1), 240–258.
Goel, R. K., Göktepe-Hultén, D., & Grimpe, C. (2017). Who instigates university–industry collaborations? University scientists versus firm employees. Small Business Economics, 48(3), 503–524.
Göktepe-Hulten, D., & Mahagaonkar, P. (2010). Inventing and patenting activities of scientists: In the expectation of money or reputation? The Journal of Technology Transfer, 35(4), 401–423.
Goldfarb, B. (2008). The effect of government contracting on academic research: Does the source of funding affect scientific output? Research Policy, 37(1), 41–58.
Hayter, C. S., & Feeney, M. K. (2017). Determinants of external patenting behavior among university scientists. Science and Public Policy, 44(1), 111–120.
Hellmann, T. (2007). The role of patents for bridging the science to market gap. Journal of Economic Behavior & Organization, 63(4), 624–647.
Hmieleski, K. M., & Powell, E. E. (2018). The psychological foundations of University Science commercialization: A review of the literature and directions for Future Research. Academy of Management Perspectives, 32(1), 43–77.
Huawei (2019). How Huawei Collaborates with Universities. Huawei Blog. Available at: https://blog.huawei.com/2019/12/17/how-huawei-collaborates-with-universities/.
Hvide, H. K., & Jones, B. F. (2018). University Innovation and the Professor’s privilege. American Economic Review, 108(7), 1860–1898.
IPSEN (2007). New Collaboration between Ipsen and Erasmus MC in endocrinology. Available at: https://www.ipsen.com.
Jain, S., George, G., & Maltarich, M. (2009). Academics or entrepreneurs? Investigating role identity modification of university scientists involved in commercialization activity. Research Policy, 38(6), 922–935.
Jansen, C., & Dillon, H. F. (2000). Where do the leads for Licences come from?: Source Data from six US institutions. Industry and Higher Education, 14(3), 150–156.
Jensen, R. A., Thursby, J. G., & Thursby, M. C. (2003). Disclosure and licensing of University inventions: ‘The best we can do with the s**t we get to work with’. International Journal of Industrial Organization, 21(9), 1271–1300.
Johnston, A. (2022). Open innovation in science: Assessing the formation and function of SME-university collaborations through the proximity matrix. Industry and Innovation, 29(2), 310–332.
Karaca-Mandic, P., Norton, E. C., & Dowd, B. (2012). Interaction terms in nonlinear models. Health Services Research, 47(1pt1), 255–274.
Kenney, M., & Patton, D. (2009). Reconsidering the Bayh-Dole Act and the current university invention ownership model. Research Policy, 38(9), 1407–1422.
Krabel, S., & Mueller, P. (2009). What drives scientists to start their own company?: An empirical investigation of Max Planck Society scientists. Research Policy, 38(6), 947–956.
Lach, S., & Schankerman, M. (2008). Incentives and invention in universities. The RAND Journal of Economics, 39(2), 403–433.
Lam, A. (2011). What motivates academic scientists to engage in research commercialization: ‘Gold’, ‘ribbon’ or ‘puzzle’? Research Policy, 40(10), 1354–1368.
Laursen, K., & Salter, A. (2006). Open for innovation: The role of openness in explaining innovation performance among U.K. manufacturing firms. Strategic Management Journal, 27(2), 131–150.
Laursen, K., & Salter, A. J. (2014). The paradox of openness: Appropriability, external search and collaboration. Research Policy, 43(5), 867–878.
Lawson, C. (2013). Academic inventions outside the University: Investigating patent ownership in the UK. Industry & Innovation, 20(5), 385–398.
Lee, P. (2012). Transcending the Tacit Dimension: Patents, Relationships, and Organizational Integration in Technology transfer. California Law Review, 100(6), 1503–1572.
Lemley, M. A. (2008). Are universities patent trolls? Fordham Intellectual Property Media & Entertainment Law Journal, 18(3), 611–632.
Lissoni, F., Llerena, P., McKelvey, M., & Sanditov, B. (2008). Academic patenting in Europe: New evidence from the KEINS database. Research Evaluation, 17(2), 87–102.
Long, J. S., & Freese, J. (2014). Regression Models for Categorical Dependent Variables Using Stata. Stata Press.
Macho-Stadler, I., Pérez-Castrillo, D., & Veugelers, R. (2007). Licensing of university inventions: The role of a technology transfer office. International Journal of Industrial Organization, 25(3), 483–510.
Marcus, J. (2020). Think universities are making lots of money from inventions? Think again.: Some institutions are working to improve weak returns from licensing and patents. The WashingTon Post (Online).
Markman, G. D., Gianiodis, P. T., & Phan, P. H. (2008). Full-Time Faculty or Part-Time Entrepreneurs. IEEE Transactions on Engineering Management, 55(1), 29–36.
Martínez, C., & Sterzi, V. (2021). The impact of the abolishment of the professor’s privilege on european university-owned patents. Industry and Innovation, 28(3), 247–282.
Meyer-Krahmer, F., & Schmoch, U. (1998). Science-based technologies: University–industry interactions in four fields. Research Policy, 27(8), 835–851.
Motohashi, K. (2005). University–industry collaborations in Japan: The role of new technology-based firms in transforming the National Innovation System. Research Policy, 34(5), 583–594.
Motohashi, K., & Muramatsu, S. (2012). Examining the university industry collaboration policy in Japan: Patent analysis. Technology in Society, 34(2), 149–162.
Owen-Smith, J., & Powell, W. W. (2001). To patent or not: Faculty decisions and institutional success at technology transfer. Journal of Technology Transfer, 26(1–2), 99–114.
Perkmann, M., Fini, R., Ross, J. M., Salter, A., Silvestri, C., & Tartari, V. (2015). Accounting for universities’ impact: Using augmented data to measure academic engagement and commercialization by academic scientists. Research Evaluation, 24(4), 380–391.
Pinsent Masons (2023). Patents Court decision has implications for university researchers and IP policies. Available at: https://www.pinsentmasons.com/out-law/news/patents-court-decision-has-implications-for-university-researchers-and-ip-policies.
Rai, A. K., & Eisenberg, R. S. (2003). Bayh-Dole reform and the progress of biomedicine. Law and Contemporary Problems, 66(1–2), 289–314.
Rowland, C. (2005). Drug firm, MGH fight over royalties. Boston Globe. Available at: http://archive.boston.com/business/globe/articles/2005/06/28/drug_firm_mgh_fight_over_royalties/.
Sauermann, H., & Cohen, W. M. (2010). What makes them Tick? Employee Motives and Firm Innovation. Management Science, 56(12), 2134–2153.
Schoen, A., & Buenstorf, G. (2013). When do universities own their patents? An explorative study of patent characteristics and organizational determinants in Germany. Industry & Innovation, 20(5), 422–437.
Siegel, D. S., Waldman, D., & Link, A. (2003). Assessing the impact of organizational practices on the relative productivity of university technology transfer offices: An exploratory study. Research Policy, 32(1), 27–48.
Siegel, D. S., Waldman, D. A., Atwater, L. E., & Link, A. N. (2004). Toward a model of the effective transfer of scientific knowledge from academicians to practitioners: Qualitative evidence from the commercialization of university technologies. Journal of Engineering and Technology Management, 21(1), 115–142.
Slaughter, S., Campbell, T., Holleman, M., & Morgan, E. (2002). The traffic in Graduate students: Graduate Students as Tokens of Exchange between Academe and Industry. Science Technology & Human Values, 27(2), 282–312.
Sohn, S. Y., & Han, E. J. (2019). Engineering graduate students’ views on the effective ownership of academic patents. The Journal of Technology Transfer, 44(1), 132–154.
Stephan, P. E. (1996). The Economics of Science. Journal of Economic Literature, 34(3), 1199–1235.
Sterzi, V. (2013). Patent quality and ownership: An analysis of UK faculty patenting. Research Policy, 42(2), 564–576.
Sterzi, V., Pezzoni, M., & Lissoni, F. (2019). Patent management by universities: Evidence from italian academic inventions. Industrial and Corporate Change, 28(2), 309–330.
Thursby, J. G., & Thursby, M. C. (2004). Are Faculty critical? Their role in University–Industry Licensing. Contemporary Economic Policy, 22(2), 162–178.
Thursby, J., Fuller, A. W., & Thursby, M. (2009). US faculty patenting: Inside and outside the university. Research Policy, 38(1), 14–25.
Torrisi, S., Gambardella, A., Giuri, P., Harhoff, D., Hoisl, K., & Mariani, M. (2016). Used, blocking and sleeping patents: Empirical evidence from a large-scale inventor survey. Research Policy, 45(7), 1374–1385.
University of Florida (2009). The Sentricon® Termite Colony Elimination System: Termite Control Without Using Toxic Insecticides (The Better World Report). Available at: https://autm.net.
University of Minnesota (2022). Carrie Haskell-Luevano: Patenting Her Chemical Creations | OVPR. Available at: https://research.umn.edu/units/techcomm/news/carrie-haskell-luevano-patenting-her-chemical-creations.
US District Court. (2006). Yeda Research and Development Co., Ltd. V. ImClone Systems Inc., and Aventis Pharmaceuticals, Inc. Biotechnology Law Report, 25(6), 724–764.
van Burg, E., Du, J., & Kers, J. G. (2021). When do academics patent outside their university? An in-depth case study. Technovation, 107, 102287.
Vimalnath, P., Tietze, F., Jain, A., Gurtoo, A., Eppinger, E., & Elsen, M. (2022). Intellectual property strategies for green innovations—An analysis of the european inventor awards. Journal of Cleaner Production, 377, 134325.
Welsh, R., Glenna, L., Lacy, W., & Biscotti, D. (2008). Close enough but not too far: Assessing the effects of university–industry research relationships and the rise of academic capitalism. Research Policy, 37(10), 1854–1864.
West, J., Salter, A., Vanhaverbeke, W., & Chesbrough, H. (2014). Open innovation: The next decade. Research Policy, 43(5), 805–811.
Wu, Y., Welch, E. W., & Huang, W. L. (2015). Commercialization of university inventions: Individual and institutional factors affecting licensing of university patents. Technovation, 36–37, 12–25.
Acknowledgements
We have received financial support from the PRIN National Research Programme of the Italian Ministry of Education, University and Research (project #2010H37KAW) and the European Commission [Contract FP7-SSH-2007-1- grant agreement No. 217299].
Author information
Authors and Affiliations
Corresponding author
Ethics declarations
Conflict of interest
On behalf of all authors, the corresponding author states that there is no conflict of interest.
Additional information
Publisher’s Note
Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.
Rights and permissions
Springer Nature or its licensor (e.g. a society or other partner) holds exclusive rights to this article under a publishing agreement with the author(s) or other rightsholder(s); author self-archiving of the accepted manuscript version of this article is solely governed by the terms of such publishing agreement and applicable law.
About this article
Cite this article
Corsino, M., Torrisi, S. University engagement in open innovation and intellectual property: evidence from university–industry collaborations. J. Ind. Bus. Econ. 50, 781–813 (2023). https://doi.org/10.1007/s40812-023-00280-2
Received:
Revised:
Accepted:
Published:
Issue Date:
DOI: https://doi.org/10.1007/s40812-023-00280-2
Keywords
- Open innovation
- Research partnerships
- Inventor motivations
- Academic patents
- University ownership
- Licensing