Knowledge Management for Technology Transfer Organizations: A

Key to Sustainable Excellence

Professor Jon R. Cavicchi, J.D., LL.M. (IP)Intellectual Property Librarian & Research Director, ITTI

Franklin Pierce Center for IP at UNH School of Law

KM TT

KM TTIntroducing a best practice across multiple spaces you operate in…

University Life Cycle Tech

Transfer

Business Collaborations

Innovation

Knowledge Organizations

Economic Development

in LDCs

Communities of Interest

KM TT

ITTI Philosophy = A2K & KM are essential on the micro & macro levels

•Lab / R&D•Management•Board Room•TTO•IP Department•Legal•Collaborators•Intra-organizational•Innovation•International Development

KM often within the context of what might be protected IP, assets

• Trade secrets• Confidential• Know how/show how

Key theme : there is no one-size fits all solution

• We will help you to frame a bigger picture and not in specifics until you get down to a point where you've considered all of the variables and are ready to focus on the various models of TTOs that are used.

• There are generally 5 or so different options in the U.S. but very, very different constructions in other parts of the world.

When the Pierce Law team leaves how will you all maximize this learning experience, implement, grow, change, network, adapt, assimilate, deploy, collaborate, continue learning & educating…

How does KM fit into the picture?• Walk away message – KM starts by adopting a way

of thinking….to reach custom solutions…– In and amongst many ability for organizations to turn data into value is in various

states of disarray– KM looks at data in and across enterprises– IP management one task on the KM list– KM is a disciplined way of thinking leading to processes and solutions– These are sizable and tunable from the smallest TTO to the largest enterprises– Off the shelf collaboration tools– Free web based tools– Effective use of intranets and extranets– Enterprise search solutions– Numerous premium applications and web platforms

From the Desk of Karen Hersey

• There are any number of TTO structures that are possible and being used by different institutions.

• Partly, differences in structural and reporting design will be a matter of historical precedent for the institution, a matter of the university's mission and policies and a matter of management style and preferences of the director.

• The way I usually attack it is to have the institution focus on its mission e.g. what the TTO is designed to accomplish.

• The question of who makes that decision can be any kind of a group of people, selected by the institution.

Knowledge management and the application of tech transfer are two different things

• In the U.S., in order for a university to successfully construct a knowledge management system, it needs to consider applicable laws and regulations that have to be complied with – (federal and state), – university mission & policies, – custom & usage, – third-party obligations.

• Constructing a knowledge management system that enables technology transfer will be a matter of the TTO mission and one way to think about it is to back in from a commercialization end point.

• How do you construct a system that allows you to reach that point. Then you are dealing with a kind of internal knowledge network within the institution dealing with all of the pieces of university function that contribute to the result you want to reach– inventors, researchers, deans, sponsored research, external relations, development,

university counsel and so forth.

Knowledge management is all about building a stronger community within organizations and between organizations.

While precious, the stroke of innovation is not fleeting - it can be systematically managed,

and this enduring capability is critical for sustained growth.

http://www.innovaro.com/

Exercise: Identify events that involve need for and management of data

Lesson : Know Your Commercial Partner…learn their KM culture

• Private Sector Perspective– Everyone is an employee, thus,– Each employee works on assigned portions of a problem.– Research results belong outright to employer.– Royalty payments to employees are rare to nonexistent.– Results are kept secret.– Attribution of the research is largely anonymous.– Management controls use of research.

• Above statements are the assumed starting point for collaborations with universities.

John Fraser, Communicating the Full Value of Academic Technology Transfer: Some Lessons Learned, 1 Tomorrow’s Technology Transfer_ (No. 1 Winter 2009)

University Perspective

• Employees are primarily teachers and/or professors, thus, – Research is self-directed, not assigned.– Research funds are personally solicited.– Results are the property of the researcher.– Academic publication and personal attribution are the primary goals.– Researchers are required to assign rights to university.– Researchers are entitled to share in revenue thus obtained.– Researchers may retain control of use/revision of works.

• The key point is that corporate attitudes in negotiating an academic license are based on the above common practices (usually unstated) inside the company.

• The more important cultural differences exist between the academic sector and the private sector, not within the industry sectors.

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Benefits of Integrating IT and Team Building

• Project management where everyone involved in a team understands what is going on, what the issues are, and how the project is moving forward is a solution to the problem. – if researchers electronically share information gathered from their early experiences developing the product,

manufacturing, and operations, people can find appropriate suppliers more efficiently. At the same time, development groups can gain information about new sources of raw materials from the manufacturing and operations groups.

• Integrated enterprise software allows research organizations to fully leverage their knowledge assets across the entire organization. Modules for knowledge management and project management can lead to more effective collaboration with colleagues. – By using electronic lab notebooks, automating the process for conducting clinical trials, and automating quality

management and training management, life science companies can become true quality leaders.

• There are signs that life science companies are starting to rethink their team-building strategies. Some have progressive thinkers at or near the top of management who appreciate the adept management of information. – Look for this trend to continue. The competitive advantage that life science companies can capture through

integrating information technology will accelerate the adoption of these systems in the next few years.

David Dunn, True Information Integration Can Make Life Science Firms More Productive (Vol. 28, No. 18 Oct 15 2008 )

Process knowledge management with traceability

• Knowledge management involves the collection, assimilation, and use of the explicit and tacit knowledge spread throughout an organization.

• In software engineering, process knowledge is any explicit or tacit knowledge about the activities, steps, and procedures involved in creating software solutions.

• As the glue that links fragmented sources of knowledge, traceability helps create, store, retrieve, transfer, and apply process knowledge in software development organizations.

•From a cost center into a profit center•Inability to access critical information•Opportunities fall between the cracks•Increase the number and quality of your invention disclosures •Reduce the cost of your patent budget•Expand the marketing reach of your organization for your technologies •Improve your contact with the researchers in your organization •Ensure that your agreements are managed effectively •Maximize license revenue through effective collection •Guarantee that you are in compliance with sponsors of your research •Improve the financial management of your technology portfolio including invoicing and calculating royalties

Technology is information or knowledge that is put to use in order to accomplish a particular

task.

Technology transfer is the application of information into use.

Knowledge Management Facilitates Technology Transfer

• Comprised of knowledge generation, transfer, accumulation, adoption, and diffusion.

• Contemporary technology transfer (TT) focuses on the adoption of knowledge.

• Technology is essentially knowledge. • Transfer is the movement of knowledge/technology

via some type of channel (analog or digital): person-to-person, group-to-group, andorganization-to-organization.

Gibson et al, Knowledge/Technology Transfer and Adoption (IEEE 2010)

Definition• Knowledge Management is a broad field that encompasses the full

range of information capture, management, and presentation. • Overall goal of Knowledge Management is to take the institutional

knowledge of an organization and translate it into information that can be communicated, shared, and acted upon.

• If handled properly and managed effectively, Knowledge Management concepts will quickly translate to greater collaboration in the workplace, better management and retention of information, and measurable financial and resource return on investment.

Unlocking the Path to Successful KNOWLEDGE MANAGEMENT (www.technologytransfer.it 2009)

Knowledge/Technology Transfer (KTT)

• centers on the communication of information that is intended to accomplish a task.

• KTT is becoming a major management focus and involves a range of organizational, informational, and behavioral challenges

• getting knowledge (ideas and products) from research to process and market applications in a cost effective, timely manner.

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Knowledge Management, Organizational Learning, Innovation, and Technology Transfer: What They Mean and Why They Matter

• What happens inside the "black box" of the technology transfer process (innovation, diffusion, and adoption)?

• What contextual variables influence the effectiveness of technology transfer?

• Study technology transfer to increase ability to describe it conceptually to direct it toward economic or other objectives

• Organizational adaptation through knowledge management.• Raises other issues how do information, knowledge, and

wisdom work together in information and communications

Comparative Technology Transfer and Society - Volume 3, Number 3, December 2005, pp. 199-210

Using ontologies to improve knowledge managementin technoloqv transfer

• The management of knowledge is a significant issue for successful technology transfer.

• Techniques and tools for knowledge management are becoming sufficiently mature and can be exploited to improve the process of technology transfer.

• An ontology is a knowledge base that has proven to be especially useful for capturing domain knowledge in a form that is useful in the context of knowledge management.

• This paper gives overviews of knowledge management and ontologies and indicate how they can be applied lo technology transfer.

• Describe how an ontology, along with knowledge management techniques, has been applied to improve the design, implementation, and operation of the Environmental Expertise Knowledge Base System (EEKBS).

Michael Doherty, Marina S. Lau, Sim Kaur and Ravi Jain, 4 Int. J. Technology Transfer and Commercialisation _ (No. 7, 2005)

KNOWLEDGE MANAGEMENT PRACTICESIN INNOVATION

• An increasing number of researchers and commentators have recently been taming their attention to knowledge management, and particularly the role of knowledge management in innovation.

• increase in importance of knowledge as a factor of production and as a driving force in broader changes in the nature of contemporary economies, and in the enterprises which operate in those economies.

Professor Rod Coomhs & Richard Hull, KNOWLEDGE MANAGEMENT PRACTICES' AND PATH-DEPENDENCY IN INNOVATION, Centre for Research on Innovation and Competition Discussion Paper No 2 (June 1997) The University of Manchester

The Components of Knowledge Management Practices (KMP)

• Knowledge management practices take a variety of forms, and this creates a need for a flexible approach to describing and classifying them. The approach needs to be able to cope with practices which are both formal and informal, paper based and electronic; people-driven or system driven; wholly knowledge centered or only partially knowledge centered, and so on.

• Knowledge management practices vary from firm to firm in their number, detail, and mode of implementation. It also demonstrates that the 'menu' of available KMPs is in principle growing, and that firms can, if they chose, avail themselves of more and more sophisticated knowledge management options, even to the point of having knowledge management 'strategies'.

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Intellectual Capital and Technological Innovation: Knowledge-Based Theory and Practice

• frameworks and the latest empirical research findings to improve understanding of the current innovation processes from the knowledge based perspective

• Special attention to both the intellectual capital assets that intervene in it, and the social capital that surrounds and enhances or hinders this phenomenon.

• Relevance for mangers, academics and consultants benefiting from a thorough understanding of intellectual capital and social capital as a base for improving their tasks.

• Put information management in the context of technology transfer, industrialization and national development

• Shows how critical the efficient use of information resources can be in terms of productivity.

• Examine the costs of poor information management in undermining negotiation, the preparation of contingencies, and the ability to let go of "dead projects”

Knowledge management in international technology transfer

• Businesses are operating, in a knowledge-intensive environment. – Knowledge management is essential for operating successfully in a

knowledge intensive environment.– Effective knowledge management can facilitate quick access to

current and accurate knowledge that is needed to perform various tasks, can improve decisions, and allow sharing of organizational knowledge throughout the organization.

– Knowledge management refers to the IT supported systematic process that allows an organization to create, capture, share and use knowledge to achieve organizational objectives by improving organizational performances

Nahar, N. Al-Obaidi, Z. Huda, N. Management of Engineering and Technology, 2001. PICMET '01, Portland International Conference 1:103

The Virginia T2 Center Example• KM and Tech Transfer Office was created in early 2003 to support in

identifying, organizing, and disseminating the right knowledge to the right people at the right time. Sharing knowledge saves time, supports efficiency, and ensures consistency within the organization. Specifically, the office:– Identify and capture critical business knowledge– Develop and provide tools and techniques to support knowledge creation

and sharing across the organization– Facilitate learning from the past and from each other– Develop and share best practices in project management and critical

business processes– Incorporate library into the KM structure to more efficiently gather,

exchange, and disseminate research results and transportation information

Technology Management • All of these areas involve the organization utilization of knowledge

systems leading to better outcomes• Technology management• Technology transfer• Business and culture• Research management• Innovation management• Technology economics• Knowledge transfer and sharing• Knowledge management• Technology and business strategy• Project management• Entrepreneurship and leadership• Cross - culture management• Product life cycle management

Individual & community sustainable success

• Knowledge transfer among teams is a key aspect of deriving value from the R&D process over the long term.

• However, most organizations struggle to execute successful knowledge transfers. This places their continuing R&D efforts at risk.

Jeffrey L. Cummings & Bing-Sheng Teng, Transferring R&D knowledge: the key factors affecting knowledge transfer success J. Eng. Technol. Manage. 20 (2003) 39–68

Knowledge Transfer Success • found to be associated with several key variables, and

to hinge upon:– (a) mutual understanding where the desired knowledge

resides within the source;– (b) the extent to which the parties share similar

knowledge bases, and the extent of interactions between the source and the recipient to;

– (c) transfer the knowledge; and – (d) participate in an articulation process through which the

source’s knowledge is made accessible to the recipient.

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Players slide

KM Tools

• Understanding the vocabulary of KM• Knowledge Base (K-Base Tools)– Applications – Systems and procedures– Internal and external applications and web

platforms– Spectrum of tools from free to premium

IP Life Cycle

Value Extraction Chain

What are the essential functions of a Technology Transfer Organization

• Education• Social networking• R&D• TTO

– Finding IP– Evaluating IP– Protection– Value – Strategic deployment– Management

• TTO Politics– Funding– Capacity – Informing university

administration

TECHNOLOGY TRANSFER ELECTRONIC TOOLS

• Business Automation • Databases: Agreement models; legal guidance; Federal sources • Education/communication/training • Facilities/expertise • IP Assessment: Technology uniqueness verification; market potential; • competitive position; financial valuation• IP Databases • Marketing: Customers; venues/techniques; advertising; customer service • Partner & competitor assessment • Patent disclosures, patent searching, patenting & patent management

position; financial valuation• Technology Brokers

www.flcmidatlantic.org/pdf/2007/tt_electronic_tools.pdf

Education…news…data…

• Information in and out– Sharing within the institution– Sharing with collaborators– Creating uniform vocabulary help prevent people

talking past one another (“symantic disconnect”)– Promotes brainstorming and innovation of various

types.

Many tools from free to premium

Example of free social networking news tools now in use

Enterprise "social networks" now run the gamut of options from better internal portals, intranets, and

chat to wholesale movements towards Facebook and Twitter based marketing, sales, and support programs.

KM Tools Used In Managing IP Developed In The University Setting

Managing flow of discoveriestechnology from the research lab to

the TTO then on to commercialization partners.

• Asset Portfolio Management – Audits• IP• Knowledge / Intellectual Capital

– Tech Transfer Instruments – Monitoring fees and activities

• IP valuation tools– measure value

• Marketing tools– business reports indicating what companies

are active in which technology areas– target prospective licensees

• Patent searching tools– Is a disclosure is novel?

• Reverse side of IP Management – managing 3rd party rights where universities are users

as opposed to developers of IP– These are mainly internal management systems and

there aren't tools used– IP professonals who understand the legal limitations on

non-commercial or academic use of 3rd party owned IP

Get your TTO ready for ‘tech transfer 2.0’

• A number of TTOs in the U.S. have begun using social networking tools

• Brian McCaul, ICT, director of commercialization & exploitation in the Enterprise & Innovation Office at the University of Leeds (UK), proposed

• A new world of tech transfer — or knowledge transfer in common European parlance — in which social networking forms the foundation for a revolution in the way innovation makes its way into the marketplace.

• McCaul recently set out six propositions to distinguish today’s tech transfer and knowledge transfer (KT) from what he is calling ‘KT 2.0.’

• The propositions don’t focus on social networking per se, but rather describe the key differences he sees between the ‘old school’ tech transfer operating style and the TTO/KTO as it should be operated in today’s environment — and in the future

6 propositions to distinguish tech transfer from “Knowledge Transfer 2.0”

• KT used to be about assembling and employing the most able team. KT 2.0 is about assembling the right network.

• KT used to be primarily about ‘Tech-Push.’ KT 2.0 is about maximizing Market Pull.• KT was about driving as much resource into a project as possible, to maximize its

likelihood of success. KT 2.0 is about learning to ‘fail early’ and cheaply.• KT was primarily about legal, technical/regulatory and commercial matters - in that

order. KT 2.0 understands that there are continually new innovation drivers emerging, be that the need for ‘business model innovation’ or ‘design innovation’ or the need to engage ‘user innovation,’ or some other emerging factor.

• KT was about research excellence in groups or individuals. KT 2.0 is premised on the notion that innovation is a social process, and that the most interesting opportunities are likely to arise from cross-disciplinary collaborations.

• KT was, primarily, focused on the large VC deal, and avoidance of the ‘living dead’ spinout or ‘small’ license deals. KT 2.0 understands that the funding environment is very different, and even if the ‘IPO model’ and VC investment comes back to full vigor, alternative funding/exit strategies will become an increasingly important part of the mix. Brian McCaul ,‘Knowledge Transfer 2.0’ – 6 Ways that KT

has to change…http://brianmccaul.jiscinvolve.org/wp/ (last visited 8/9/10