1.
POSITIONING UNIVERSITIES/PUBLIC RESEARCH
INSTITUTES AS PROGENITORS OF TECHNOLOGY AND
INNOVATION: A FRAMEWORK
Dr. Maurice Bolo
Bolo@scinnovent.org

2.
PRESENTATION OUTLINE
• The changing role of universities in national development...
• Should we expect universities to make technologies for
industry uptake? What are the justifications?
• Performance of Kenyan Universities and Public Research
Institutes: The evidence
• How do we stimulate innovation and entrepreneurship in
our universities/PRIs?
• How do we enhance knowledge and technology transfer
from our universities/PRIs? “The Third Mission Framework”

3.
•Transition to the knowledge based
economy
• Productivity and competitiveness are
hinged on exploitation of knowledge
• New sciences such as biotechnology,
nanotechnology,
ICTs etc)
•Pressures of the “third mission”
• Decreasing financial support from
governments
• Increasing demands from
stakeholders
ROLE OF UNIVERSITIES/PRIs IN NATIONAL DEVELOPMENT

4.
TECHNOLOGY POLICY PARADIGMS: KEY ASSUMPTIONS
Market failure paradigm Mission paradigm Cooperative technology
paradigm
1. Markets are the most
efficient allocator of
information and
technology
1. Government role
closely tied to authorized
programmatic missions of
agencies e.g. defence,
health etc
1. Markets are not always
the most efficient route to
innovation and economic
growth
2. Government role
limited to market failures;
universities provide basic
research to cater for
private sector under-
supply
2. Govt R&D limited to
supporting missions of
agencies
2. Global economy
requires more targeted
support to technology
development
3. Innovation flows from
and to private sector with
minimal university/govt
role
3. Govt should not
compete but complement
private sector in
innovation and
technology
3. Universities and PRIs
can play a role in
technology development
for use by the private
sector

5.
Source: Bolo et al, 2015

6.
THE COOPERATIVE TECHNOLOGY PARADIGM
AND THE UNIVERSITIES' THIRD MISSION
● The cooperative technology paradigm is therefore an
umbrella term for a set of values that emphasize cooperation
amongst sectors – industry, government, universities/PRIs
in the creation of technologies
● The logic: Universities and PRIs make, industry takes
(but…various forms of collaboration/co-production of
knowledge exist)
● Central point is: putting universities/PRIs to greater use as
progenitors of technology and innovations
● Depends on the suitability of the universities/PRIs to the task....

7.
NATIONAL PATENT APPLICATIONS

8.
NATIONAL PATENTS GRANTED

9.
0
2
4
6
8
10
12
14
14
11
8 8
4
3
2
1 1 1 1 1 1
NumberofPatentsFiled
Universities
DISTRIBUTION OF PATENTS FILED BY THE
UNIVERSITIES IN KENYA (1990 - 2013)

10.
27
11
9
7
6
4
1 1 1 1 1
0
5
10
15
20
25
30
KIRDI ICIPE KEMRI KEFRI KARI TRF KEMFRI ILRAD CRF PBK Sigok WKR
NumberofPatentsFiled
Public Research Institutes
Distribution of Patents Filed by the Public
Research Institutes in Kenya (1990 - 2013)

11.
ONLY 4 OUT OF 69 PATENT APPLICATIONS
GRANTED TO UNIVERSITIES/OLIs
• Moi University (for an Electro-coagulation method for colour removal
in waste water or water with low power consumption); granted on
21st July, 2010
• Jomo Kenyatta University of Agriculture and Technology (JKUAT) for
a trap for controlling Bont ticks in pastures; granted on 8th August,
2012
• Egerton University in partnership with the Pyrethrum Board of
Kenya (for Pyrethrum solar dryer); granted on 5th July, 2006
• Kangubiri Girls Secondary School (for a laxative compound from
Senna diddy extract for curing fungal and bacterial infections);
granted on 22nd September, 2003

12.
ONLY 8 OUT OF THE 69 PATENT APPLICATIONS
GRANTED TO PUBLIC RESEARCH INSTITUTES
• KARI-Trypanosomiasis Research Centre (Vector and rodent holding
devices during parasite transmission experiments in the laboratory);
granted on 6th September, 2006
• Kenya Industrial Research and Development Institute (Bio Pesticides
based on Bacillus thuringiensis for mosquito breeding control); granted on
31st May, 2013
• International Laboratory Research on Animal Diseases (ILRAD) for
Vaccine for the protection of animals against Theileria infection; granted
on - on 29th August, 1994

13.
PATENTS TO PRIs CONT’D
• Tea Research Foundation in partnership with Chui Tea Limited
(Process for optimum production of high Catechin content black tea
with specified characteristics from Camellia sinensis L.O (Kunze) clone
tea); granted on 13th June, 2008
• Pyrethrum Board of Kenya in partnership with Egerton University for
Pyrethrum solar dryer ; granted on 5th July, 2006
• The International Centre of Insect Physiology and Ecology (ICIPE):
– (a) Novel tick resistance antigenic indicators (Trai) for host animals; granted on 9th
February, 1994
– (b) Grgarisation -distributing factors in a novel approach of controlling locust and
grasshoppers; granted on 10th March, 2005
– (c) a Novel method for controlling Tsetse flies and other related blood feeding
insects; granted on 3rd September, 2004

14.
UTILITY MODELS APPLICATIONS
(1990 – 2013)

15.
UTILITY MODELS GRANTED

16.
INDUSTRIAL DESIGNS IN KENYA
(1990 – 2013)

17.
PERCENTAGE OF FIRMS USING UNIVERSITIES AND
PRIS AS SOURCES OF INNOVATION
(Source: Kenya Innovation Survey, 2012)

18.
MARKET-BASED SOURCES OF INFORMATION
FOR INNOVATION FOR FIRMS
(Source: Kenya Innovation Survey, 2012)

19.
0.00%
10.00%
20.00%
30.00%
40.00%
50.00%
60.00%
70.00%
80.00%
90.00%
Local NGOs Input Suppliers Local Private
Consultants
Local Public
universities &
research institutes
Farmers
Respondents'ratings
Sources of New knowledge
SOURCES OF NEW KNOWLEDGE FOR
SMALL SCALE FLOWER FARMERS
Least Important Not Quite Important Important Quite Important Most Important
Source: Bolo, 2012

20.
0.00%
10.00%
20.00%
30.00%
40.00%
50.00%
60.00%
70.00%
80.00%
90.00%
100.00%
Local NGOs Input Suppliers Foreign universities &
research institutes
Local public
universities &
research institutes
Other farmers
Percentageofrespondents
Main Partners in R&D
CHOICE OF MAIN PARTNERS IN R&D BY FARM SIZE:
FLOWER FARMERS
Small scale Medium scale Large scale
Source: Bolo (2012)

21.
Changes in approaches
From ‘mode 1’ science
…..to ‘mode 2’ science
Changes in methods
-Participation
-contribution
-Benefit sharing
-Role sharing
-Capacity to access and use
Organizational change
-Different incentives and rewards
- Different attitudes, habits and practices
- Different organizations cultures and structures
REPOSITIONING UNIVERSITIES/PRIs

22.
• Licensing IP
• Start-ups/spin-offs
• Joint R&D projects
• Contract research
and consultancies
• Infrastructure e.g.
incubation centres/
science parks
• Technology transfer
offices (TTOs)
• Venture capital/equity
finance/long-term
loans
• Staff and student
engagement in
knowledge exchange
• Engagement in (non-
patent) social
innovation/enterprise
• Mission/Vision
• Leadership structure
• Action plans
• IP/Research policy
• Procurement
• Funding
• Quality Assurance
• Monitoring & Evaluation
• Competencies and
capacities
• Recruitment and
promotions policy
• Career progression
• Awards and rewards
• Recognition and prestige
• Increased incomes
• Facilitation
• Workload policy
• Community
outreach activities
• Partnerships with
stakeholders
• Joint appointments
and staff mobility
• Co-publications
• Sharing facilities
• Placements and
internships
• Representation in
boards/advisory
councils
• Participation in
Networks/Consortia

23.
A FRAMEWORK FOR ENHANCING COMMERCIALIZATION AND
STRENGTHENING LINKAGES WITH THE PRIVATE SECTOR
What’s in there?
• A self assessment tool
• An action guide
• Community of Practice
• Resource Centre
How do I access it?
• An online version
• An offline version
• Print version

24.
THE THIRD MISSION FRAMEWORK

25.
SELF ASSESSMENT TOOL

26.
RESULTS & INTERPRETATION

27.
AN ACTION GUIDE

28.
PROJECT PARTNERS

29.
www.scinnovent.org
Discussion papers
Policy briefs
Books