Technology Transfer Offices as innovation ecosystem brokers

TTOs as cross-level brokers within entrepreneurial and innovation ecosystems.

University Technology Transfer Offices (TTOs) have long been recognised as important intermediaries between universities and industry. This research shows that these offices play a pivotal and broader role as cross-level brokers within entrepreneurial and innovation ecosystems.

A multi-level approach to TTO research

A central role of university TTOs is the protection of intellectual property (IP) and supporting the exploitation of protected IP by other entrepreneurial and innovation ecosystem stakeholders. As such, the performance and success of TTOs are typically measured through patents, licenses, start-ups, and spin-off firms.

For the most part, research on the factors that shape university technology transfer has traditionally focused on a single level of analysis (i.e., micro, meso, or macro). However, there has been increasing demand for multi-level research TTOs. This is because, within an entrepreneurial and innovation ecosystem, it is likely that there are multiple factors that independently and in combination shape the activities of TTOs.

At the macro level, prior research has shown that TTOs must contend with various ecosystem actors, legislation, regional policies, geographic locations, economic development, and regional characteristics such as nature, strength, and proximity to industry. At the meso level, TTOs are influenced by the research profile of the university, institutional policies, and institutional support. Additionally, strategic positioning of technology transfer within the university, as well as variations across disciplines and departments, also impact TTOs. At the micro level, TTOs must not only stimulate interest in technology transfer but also ensure that any engagement is directed through their office. Moreover, TTOs must develop the appropriate skill set, levels of experience, and business model adjustments to ensure that they are viewed as legitimate and capable of adding value to any technology transfer engagement.

Although previous research has emphasised the importance of various ecosystem factors, few studies have taken an integrated, multi-level approach to examine, from the perspective of TTO executives, what macro-meso-micro factors have the greatest impact on their offices, and how. Additionally, no studies have explored the mechanisms by which TTOs interact with and respond to these cross-level factors within their entrepreneurial and innovation ecosystem. To address this issue, staff from all eight university TTO offices in Aotearoa—New Zealand were interviewed across two time periods, four years apart.

Extending the identity of TTOs

In highlighting a wide variety of multi-level factors that university-based TTOs have to contend with and respond to, the primary contribution of the research is to extend the role identity of TTO executives beyond important intermediaries between universities and industry, to strategically adept knowledge brokers within entrepreneurial and innovation ecosystems. Of the factors identified, the research highlights nine macro-level, six meso-level, and four micro-level factors that demand considerable attention from TTOs in order to effectively fulfil their role.

For instance, at the macro-level, the research highlighted many factors including the importance of policy rhetoric, lack of policy engagement, pressure to globalise, and grant allocations.

At the meso level, TTOs need specialised expertise aligned with specific sectors or domains to effectively fulfil their role in technology transfer brokerage. This requires university resource investments in acquiring such expertise or the ability to procure external expertise when needed. A lack of resource commitments could hinder the effectiveness and efficiency of TTOs. Additionally, TTOs need more resource flexibility, both financial and human, to accommodate diverse stakeholder needs, navigate volatile IP supply lines, and achieve effective and efficient technology transfer to fulfil their brokerage role within the entrepreneurial and innovation ecosystem. The study also highlights the limited business model control TTOs have on the input side, as well as their dependence on a small number of ecosystem actors. This may consist of the narrow pool of suitably equipped or interested academics who will engage with them within the university or industry partners external to the university, many of whom may lack alignment in terms of expertise, scale, or risk appetite.

Finally, at the micro-level, the research emphasises the importance of incentives and highlights that TTOs are highly dependent on a narrow pool or rare breed of academics to deliver measurable technology transfer outcomes. A key challenge for TTOs is leveraging this narrow pool of academics to sustain and grow their role.

Entrepreneurial and innovation ecosystem brokers

After identifying these factors at multiple levels, the research also reveals that TTOs proactively synthesise and balance these cross-level factors, expanding their role from university-industry intermediary to entrepreneurial and innovation ecosystem broker.

For instance, at the macro-micro level, TTOs lobby the government to extend the value chain of the research they fund and survey funding environments to better position scientists’ attention. At the macro-meso level, TTOs strive to minimise value loss or slippage for Aotearoa—New Zealand, showcase value capture mechanisms for policymakers, and look to develop and leverage prior connections with industry and TTOs. At the meso-micro level, TTOs aim to maximise the alignment between industry and academic expertise and rationalise the nature and value of technology agreements to the academic community to safeguard continued buy-in.

Develop strategic expertise

Ultimately, this research highlights that TTOs should be understood as critical ecosystem intermediaries whose expertise and services help to lower barriers to value creation and accelerate entrepreneurship activities. To fulfil this role, TTOs should enhance their ability to synthesise and balance strategic actions targeted at the macro and meso levels while maintaining technology transfer operational efficiency and effectiveness at the micro level. It is recommended that TTOs develop and expand their strategic expertise to complement their technology transfer expertise so that they can undertake their brokering role as effectively as possible. This may mean implementing formal and informal strategy processes and flexible organisational structures to develop skills related to synthesising the multiple cross-level factors that demand and shape their brokering role. Universities also need to consider how they can better resource TTOs, particularly in relation to the provision of core and ad-hoc expertise and supporting TTOs as they look to broaden the pool of academics they can engage with.

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