Technology & Knowledge Transfer Under the Open Innovation Paradigm

100 Pages·2010·5.12 MB·English

Technology & Knowledge Transfer Under
the Open Innovation Paradigm
A model and tool proposal to understand and enhance collaboration-based innovations
integrating C-K Design Theory, TRIZ and Information Technologies

Pedro Parraguez Ruiz
Supervisor: Professor Christopher McMahon

Dissertation submitted for the degree of
Master of Science in Innovation and Technology Management

University of Bath
School of Management
September 2010
Technology & Knowledge Transfer Under the Open Innovation Paradigm

Technology & Knowledge Transfer Under the Open Innovation Paradigm: a model and
tool proposal to understand and enhance collaboration-based innovations integrating
C-K Design Theory, TRIZ and Information Technologies

Submitted by Pedro Parraguez Ruiz

As part of the degree
Master of Science in Innovation and Technology Management
School of Management
University of Bath

Graduation Year 2010

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Technology & Knowledge Transfer Under the Open Innovation Paradigm

Abstract
This work explores the issues and possibilities that technology and knowledge transfer faces
under the open innovation paradigm. As a result of the research, some traditional models have
been updated to consider relevant academic and technical developments from the last 10 years.
C-K design theory, TRIZ and information technologies have been explicitly integrated to model
and understand collaboration-based innovation, and a concrete tool has been proposed to help
with one of the biggest issues that has been identified; the discovery and matching of relevant
knowledge to solve specific industrial needs.
The main findings indicate that with a revision of the current methodologies and the
appropriate information management systems, it is possible to overcome part of the
inefficiencies of uncoordinated and parallel process of technology push and pull, thus improving
the efficiency and effectiveness of the resources invested in R&D and T&K transfer.

Keywords:
Technology Transfer, Knowledge Transfer, Innovation, Open Innovation, C-K design theory, TRIZ,
Technology Need, Technology Push, Technology Pull, Innovation Intermediaries.

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Technology & Knowledge Transfer Under the Open Innovation Paradigm

Table of contents

LIST OF FIGURES.......................................................................................................... 6
LIST OF TABLES ........................................................................................................... 7
ACKNOWLEDGMENTS ............................................................................................... 11
1 INTRODUCTION ............................................................................................... 12
1.1 Resources involved in this study ........................................................................... 13
1.2 Scope and context ................................................................................................. 14
1.3 Research question ................................................................................................. 15
1.4 Objectives .............................................................................................................. 15
1.5 Structure ................................................................................................................ 16
1.6 Methodology ......................................................................................................... 16
2 THEORETICAL FRAMEWORK ............................................................................. 17
2.1 Historical evolution of technology and knowledge transfer and its challenges ... 19
2.2 Literature analysis ................................................................................................. 20
2.2.1 Technology and knowledge transfer ................................................................ 21
2.2.2 Open Innovation ............................................................................................... 25
2.2.3 C-K Design Theory ............................................................................................. 30
2.2.4 TRIZ ................................................................................................................... 32
2.2.5 Information and knowledge management ...................................................... 34
2.3 Research findings .................................................................................................. 38
2.3.1 Perceptions and understanding of key concepts ............................................. 38
2.3.2 Barriers and problems for successful T&K transfer under the OI paradigm. ... 40
2.3.3 Existent tools and methods to improve technology transfer .......................... 42
2.3.4 Findings highlights ............................................................................................ 45
2.4 Integrative framework .......................................................................................... 48
3 A NEW MODEL AND TOOL PROPOSAL TO MANAGE TECHNOLOGY & KNOWLEDGE
TRANSFER ................................................................................................................. 54
3.1 Overall tool proposal description .......................................................................... 55
3.2 Theory meets practice ........................................................................................... 57
3.3 Experimental test analysis ..................................................................................... 59
3.4 The virtual hub as a smart dashboard of alerts .................................................... 62
3.5 Main challenges and implementation issues ........................................................ 65
4 SUMMARY AND CONCLUSIONS ........................................................................ 67
4.1 Implications and contributions for theory and practice ....................................... 68
4.2 Suggestions for future research ............................................................................ 70
REFERENCES ............................................................................................................. 71
APPENDIXES ............................................................................................................. 75
A. METHODOLOGY & RESEARCH DESIGN .............................................................. 75

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Project timeline and milestones ..................................................................................... 75
Classification of the methodology and design ................................................................ 76
Interviews........................................................................................................................ 78
Interview Design ........................................................................................................... 80
Professional conferences attended in the context of this research ............................... 81
Limitations of the research design.................................................................................. 83
B. NINESIGMA PROCESS ....................................................................................... 84
C. RESEARCH INTERVIEW GUIDE ........................................................................... 85
D. INTERVIEWS TRANSCRIPT SUMMARY ............................................................... 87
E. EXPERIMENT DETAILS ...................................................................................... 93
F. RESEARCH POSTER ........................................................................................... 99

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List of figures
Figure 1: Document structure .......................................................................................... 16
Figure 2: Research fields and structure ............................................................................ 17
Figure 3: Volume of publications per reviewed topic ...................................................... 21
Figure 4: Traditional technology transfer funnel (technology push) ............................... 24
Figure 5: Open innovation funnel as described by Mortara et al. 2009 .......................... 26
Figure 6: Traditional open innovation stages (technology pull) ...................................... 29
Figure 7: General graphical representation of C-K ........................................................... 31
Figure 8: TRIZ abtraction and contextualization process ................................................. 33
Figure 9: Knowledge sourcing across networks and markets. ......................................... 34
Figure 10: Text mining example. ...................................................................................... 37
Figure 11: Semantic analysis of the word "heat". ............................................................ 37
Figure 12: T&K available tools breakdown. ..................................................................... 42
Figure 13: Intersection between the fields of study ........................................................ 45
Figure 14: Google insights graph. Open Innovation vs Tech Transfer. ............................ 46
Figure 15: Volume of ISI publications about TT and OI ................................................... 46
Figure 16: Volume of google searches for the main tech needs brokers ........................ 47
Figure 17: Integrative framework tech push-pull. Individual level .................................. 49
Figure 18: Integrative framework tech push-pull. Aggregated level .............................. 50
Figure 19: C-K integrative framework. Individual level. ................................................... 51
Figure 20: C-K integrative framework. Aggregated level ................................................. 52
Figure 21: R&D+i framework. . ......................................................................................... 55
Figure 22: Proposed improved model tech push-pull. ..................................................... 57
Figure 23: Tool in the context of the C-K integrative model. Ind level. ........................... 58
Figure 24: Tool in the context of the C-K integrative model. Aggregated level. ............. 59
Figure 25: Experiment steps and examples ..................................................................... 60
Figure 26: Semantic map of the word Nanotechnology .................................................. 62
Figure 27: Dashboard mock-up. Matches by need. ......................................................... 63
Figure 28: Dashboard mock-up. Matches by K. ............................................................... 64
Figure 29: Dashboard mock-up. High prob matches alerts. ............................................ 65
Figure 30: Potential users of the findings and proposed tool.......................................... 69
Figure 31: Process-Deliverables ....................................................................................... 75
Figure 32: Research timeline and milestones .................................................................. 76
Figure 33: Design research methodology.. ...................................................................... 78

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List of tables
Table 1: Information technologies with relevance for technology transfer .................... 36
Table 2: Analysis of interview results ............................................................................... 39
Table 3: Compiled list of T&K barriers and problems ...................................................... 40
Table 4: List of tech need brokers with some key metrics ............................................... 45
Table 5: Full list of interviewees. ...................................................................................... 79
Table 6: Interviewees per category .................................................................................. 80
Table 7: Conferences attended, description and outcomes. ........................................... 82

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Nomenclature list
 API: Application Program Interface
 C: Concept and/or Technology Need (depending the context)
 C-K: Concept-Knowledge Design Theory
 K: Knowledge (including explicit and tacit knowledge)
 OECD: Organization for Economic Cooperation and Development
 OI: Open Innovation
 SME: Small and Medium Enterprise
 T&K: Technology and Knowledge
 TIM: Technology and Innovation Management
 TT: Technology Transfer
 TTO: Depending on the context “Technology Transfer Office” or “Technology Transfer
Officer”

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Technology & Knowledge Transfer Under the Open Innovation Paradigm

Preface:
Revisiting technology & knowledge transfer under the open innovation paradigm
There is an urgent need to make the best out of the public and private resources invested in
fundamental and applied research. Both budget pressures and the need to solve crucial
challenges, such as transitioning to an environmentally sustainable economy and supporting the
equitable growth of developing countries mean that science will be required to generate
technology at an ever-increased rate to maintain the continuous stream of social and market
driven innovations that is needed.
Unfortunately, most of our industries, universities and research centres are still employing old
models, tools and methods to manage innovation and R&D that were not developed to deal
with the intense multidisciplinarity, collaboration and co-creation that our current level of
scientific development requires to jump to the next technological stage. This new level is
characterized by problems that require a deep understanding of narrow domains, as well as
integration with multiple external sources of specialized knowledge from completely different
areas (Stamm and Trifilova 2009). This makes it almost impossible for one person or specialized
team to have all the required expertise internally to solve every one of the problems in the
development of new products or services.
Some examples of these fundamentally different knowledge intensive technologies are
quantum-computing, nanotechnology, biotechnology, robotics and advanced materials among
many other emerging applied fields of science and engineering. All of them are composed of at
least two or more very specialized fields, requiring PhD levels of study just to get to the basics.
Those fields, compared to the traditional XXI and early XX century engineering and science, are
quantitatively more complex and demand additional emphasis in bridging science and
technology more effectively, as well as combining and sourcing knowledge collaboratively.
To cope with this new landscape some leading companies and countries have started to
embrace the concept of open innovation as a way to understand their current situation and
develop new strategies and tools to take advantage of external sources of knowledge and
technologies (Backer and Cervantes 2008). From those efforts emerged technology &
knowledge needs brokers, which through special websites and newsletters, push specific
requirements to a database of registered “solvers” (typically university researchers and

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independent inventors). At the same time IP brokers and technology transfer offices push
patents and other IP rights to potential buyers, assuming the role of intermediating the offer.
These new innovation agents and initiatives provide a good start point to increase external
collaborations. However, they still rely too much on serendipity to find the right match between
the need and the potential solution or offer, providing an important space for improvements.
Based on my previous professional experience in a private technology transfer office, leading a
web based technology needs platform, my academic experience, extensive interviews with
multiple innovation agents, participation in several conferences and valuable feedback from
colleagues and researchers, my aim is to propose a new integrative theoretical framework and
tool. Its objective is to model and understand early stage technology & knowledge (T&K)
transfer collaborations under the open innovation paradigm, as well as helping in the critical
process of knowledge discovery and matching. The “raw material” to bring this to reality are
thousands of already published technology needs (also known as challenges or requests for
proposals RFP) and uncountable explicit knowledge sources, such as patents, papers, databases
of funded research projects, and other IP repositories.

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