The role of Government is to promote University – Enterprise relationship in research, technology transfer

Recognizing the government role in promoting the relationship between

universities and enterprises in research and technology transfer, the government has

released many policies focusing on the following main contents:

(i) Building a favorable legal environment for parties to take part in relationship

such as: releasing policies on empowering autonomy (giving autonomy to scientific

research organizations and science & technology enterprises; granting patent registration,

management, exploitation inventions for organizations in charge of research projects);

policies on division of rights and interests in public-private research cooperation; policies to

encourage the exploitation, creation inventions from the government’s funding sources;

policies to support development of intellectual asset, policies on intellectual property to

promote relationship between universities and enterprises

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echnology transfer From above arguments, stemming from role of government in shaping, creating a premise, regulating research and technology transfer activities, ensuring infrastructure and creating a legal environment, as well as encouraging the development and dissemination of research and technology technology products, improve research capacity, creativity, national competitive capability; At the same time correcting and solving market defects, the government uses two main groups of policies, which are: (i) the policy of creating an institutional environment, (ii) the policy of financial support. These policies will be viewed according to 5 objective barriers hindering university and enterprise relationship: (1)Intellectual property; (2) information policy; (3) benefit sharing; (4) risk sharing; (5) financial support policy. The author offers a research framework on the role of the government betweeb university and enterprise relationship in research and technology transfer as follows: 8 - - - - CHAPTER 3 RESEARCH METHODOLOGY Thesis applies a combination of two research methods which are qualitative research and quantitative research. Qualitative method is implemented when doing preliminary research to discover, adjust and supplement observed variables to measure concepts. Qualitative research is conducted through in-depth interview technique Quantitative research is performed by the author in aim to evaluate effects of barriers to form of relationship according to the following models: Figure 3.1: Correlation model between forms of university – enterprise relationship and barriers at university Source: Result research of NCS - Relationship between - University – Enterprise - Colloration - Interation - Cooperation - Association Barrier of risk sharing Barrier of information sharing Barrier of intellectual property Barrier of finance Barrier of benefit sharing Control factor - Public university - University has a research and technology transfer department ROLE OF GOVERNMENT CREATING AN INSTITUTIONAL ENVIRONMENT FINANCIAL SUPPORT UNIVERSITY – ENTERPRISE RELATIONSHIP - Barrier of intellectual property - Barrier of benefit sharing - Barrier of risk sharing - Barrier of information sharing - Barrier of finance 9 - - - - Figure 3.2: Correlation model between forms of university – enterprise relationship and barriers at enterprise Source: Result research of NCS The thesis uses the method of exploratory factor analysis (EFA) to help focus on some large characteristic features (convergence) instead of studying several dozen small features of a scale. Each of these great features consists of small features that are interrelated. This makes comments about the nature of the criteria more meaningful but still contains most of the information content of the original number of variables. To evaluate the level restraint of barriers to the cohesion of the form of relationships from the universities, the thesis uses the regression model with the dependent variable Yi, the degree of cohesion between the form of relationships and RCi is the level restraint of barriers. The proposed model is a linear model: Yi= α + β1 x RC1 + β2 x RC2 + β3 x RC3 + β4 x RC4 + β5 x RC5 + ¥1 x ĐĐ1 + ¥2 x ĐĐ2 * For control factors in model research of university survey groups, including: + ĐĐ1: factor group type of university (dummy variable takes the value 0-1), in which, i takes value 1 if the university is a type of the public one and 0 if the university belongs to the type of non-public one. + ĐĐ2: factor group type of university (dummy variable takes value 0-1), in which, ii takes value 1 if the university has a technology transfer department and 0 if the university has no department of technology transfer. * For the control factor in studying the model of the enterprise survey group, including: + ĐĐ1: factor group type of enterprise (dummy variable takes value 0-1), in which, i takes value 1 if it is state of enterprise and 0 if it is enterprise of other type. + ĐĐ2: factor group type of enterprise (dummy variable takes value 0-1), in which, ii takes value 1 if it is an enterprise with a technology transfer department and 0 if it is an enterprise without a technology transfer department. Relationship between - University – Enterprise - Colloration - Interation - Cooperation - Association Barrier of risk sharing Barrier of information sharing ting Barrier of finance Barrier of benefit sharing Control Factor - SOE - Enterprise has a research and technology transfer department - Barrier of intellectual property 10 CHAPTER 4 THE CURRENT SITUATION IN ROLE OF GOVERNMENT TO PROMOTE UNIVERSITY – ENTERPRISE RELATIONSHIP IN RESEARCH AND TRANSFER TECHNOLOGY. 4.1. The current situation in role of government to promote university – enterprise relationship in research & technology transfer Through qualitative analysis of secondary data from various sources and primary survey data. The thesis draws some basic conclusions about the current situation in university – enterprise relationship in research & technology transfer as following: First: On the supply side, there are universities with the strongest research potential compared to scientific organizations, but the quantity of scientific research is small, the quality is not high, especially there aren’t many applied researches yet Second: On the demand side there are most of small and medium enterprises that are unable to develop research by themselves, really want to build relationship with scientific organizations to develop however in fact they don’t know how or don’t have capability to build relationship. Some of enterprises or large corporations have R&D department and carry out their own research so there there are very few cooperation activities with universities. Third: Surveying the current situation in university – enterprise relationship shows that when there is a need for innovation, enterprises tend to be interested in connecting with universities instead of other scientific organizations. However, this relationship does not have an information network to connect but mainly relies on the relationships between individuals of the two organizations (appropriation 56%). Relationship forms are only at low level, simple, fragmented by case. Relationship types of implementation require little systematic and low frequency. The thesis uses econometric models to test the level of strong and weak impediments to each form of relationship between universities and enterprises. This test result will identify the barriers affecting the form of relationship and serve as a basis for proposing solutions from the government to remove barriers that promote forms of relationship to a higher degree of cohesion. - The result to verify effect of barriers towards university-enterprise relationship + The results of the model estimation of the resistance of the barriers to the degree of cohesion of the relationship forms at universities 11 Table 4.1. The results of the model estimation of the resistance of the barriers to the degree of cohesion of the relationship forms at universities Y1: Colloration Y2: Interaction Y3: Cooperation Y4:Connection Intellectual property -,235*** -,438*** -,209*** -,356*** Information sharing -,647*** -,423*** -,594*** -,175*** Risk sharing -,283*** -,255*** -,196*** -,177*** Benefit sharing -,245*** -,114** -,575*** -,549*** Finance -,345*** -,472*** -,394*** -,518*** ĐĐ1 ,196 -,187** -,263* -,298*** ĐĐ2 ,395*** ,284* Constant -,093* -,134* ,125* ,125* n 167 167 167 167 Sig. <0,05 <0,05 <0,05 <0,01 Adj.R2 0,849 0,805 0,787 0,787 (***:corresponding significance level 1%; **: corresponding significance level 5%; *: corresponding significance level 10%) Source: Verified results from the research data of NCS From above results it can be concluded that: Firstly, according to survey at university, 05 barriers (intellectual property, information sharing, risk sharing, benefit sharing, finance) all have negative impact on the degree of cohesion of form of form of relationship between universities and enterprises (the coefficients are all less than 0). This result is consistent with actual hypothesis and theory. In other words, no matter what form of relationship between universities and enterprises is, how it’s being developed in universities, is being affected by 5 barriers and there should be policies to limit the above barriers. Secondly, when relationship between university and enterprise at low level (such as coloration or interaction) information barrier, risk sharing barrier has most effect. However, when it moves to higher level such as cooperation, association benefit sharing has trend to have more impact. Since then, government needs to pay more attention to policies for both parties to overcome the asymmetric information situation, the policies to make sure the risk sharing between the two parties to ensure consistency, clarity and transparency. With the aim of promoting this relationship to high levels, priority policies must overcome the impact of intellectual property, finance and benefit sharing barriers. In addition, the author also conducts an assessment to consider whether the ownership representation factor (public or non-public) of universities, and how the 12 universities establish research & technology transfer departments to have an impact on this relationship at different levels of development or not , the results are as following: In the collaborative form, the ownership representation factors are reacting positively through the positively correlated regression coefficient ĐĐ1. In the form of interaction, cooperation and association, this factor is reflecting the negative correlation of regression coefficient ĐĐ1. This means that the degree of cohesion in the forms of cooperation and interaction at public universities is better than that of non-public ones, but the degree of cohesion in the two forms of cooperation and association is better in non-public universities. Thus, when the relationship is at pure low level, public universities perform it with enterprises better than non-public universities do, while the relationship is at higher level, non-public universities do it better than public one. From this result, the administrative procedures are still quite cumbersome in public universities, so when the research and technology transfer market thrives, without profound reforms, public universities will lose their competitive advantage compared with non-public ones. ĐĐ2 is the factor related to type of universities in which there is and there isn’t the research and technology transfer department. In the form of interaction and association universities that have the research and technology transfer department are much better than the other don’t have. The lower forms are cooperation and collaboration there is no much difference in developing relationship with enterprises from universities. It’s shown that the establishment research and technology transfer department in universities is an important factor to promote the relationship between universities & enterprises in research and technology transfer. + The results of the model estimation of the resistance of the barriers to the degree of cohesion of the relationship forms at universities Table 4.2. The results of the model estimation of the resistance of the barriers to the degree of cohesion of the relationship forms at universities Y1: Collaboration Y2: Interaction Y3: Cooperation Y4 Assiociation Intellectual property -,392*** -,106*** -,596*** -,321*** Information sharing -,491*** -,447*** -,101*** -,095*** Risk sharing -,120*** -,505*** -,224*** -,094*** Benefit sharing -,107*** -,510*** -,185*** -,170*** Finance -,145*** -,102*** -,210*** -,071*** 13 Y1: Collaboration Y2: Interaction Y3: Cooperation Y4 Assiociation ĐĐ1 ,122*** ĐĐ2 ,170*** 1,095*** Constant 0 -,134*** -0,081*** -0,521*** n 324 324 324 324 Sig. <0.05 <0.1 <0.05 <0.05 Adj.R2 0,431 0,774 0,543 0,634 (***:corresponding significance level 1%; **: corresponding significance level 5%; *: corresponding significance level 10%) Source: Verified results from the research data of NCS From above results it can be concluded that: First, according to surveys at enterprises, 05 barriers ((intellectual property, information sharing, risk sharing, benefit sharing, finance) all have negative impact on the degree of cohesion of form of form of relationship between universities and enterprises (the coefficients are all less than 0). This result is consistent with actual hypothesis and theory. In other words, no matter what form of relationship between universities and enterprises is, how it’s being developed in universities, is being affected by 5 barriers and there should be policies to limit the above barriers. Second, the coefficients also reflect that barrier of intellectual property cause the most limitations on the forms of development at the level of collaboration, cooperation and association when enterprises perform the relationship with universities. It’s shown that unlike universities, enterprises will pay the most attention to intellectual property matters when participating in cooperation. Meanwhile, in the form of lower integration, the financial and information barriers most affect relationship with the university. Financial barriers have a negative impact on the form of relationship, in comparison with other barriers, financial issues are not of much concerned to enterprises. In addition, the thesis also carries out an inspection to consider whether the ownership factor (state-owned or non-state-owned enterprises) and whether enterprises’ establishment a research and technology transfer department have any impact on this relationship at different development levels or not, the results show that: the degree of cohesion in the form of interaction in state-owned enterprises having relationship with universities is better than in non-state enterprises but at the level of cohesion in three forms of collaboration, cooperation and association are not much different at different enterprises. It’s shown that different types of enterprises have equal equal opportunities when implementing links with universities. 14 Considering ĐĐ2 factor is a related one to the types of enterprises with and without a research and technology department, the results show that: In the form of cooperation and association enterprises with a research and technology department having relationship with a university are much better than the other do not have. It’s also shown that in order to promote the cohesion between the two parties, there should be policies to encourage enterprises to set up research and technology departments. 4.2. The current role of government to promote a university – enterprise relationship in research & technology transfer in Vietnam. 4.2.1. The current of state pholices to promote a university – enterprise relationship in research & technology transfer in Vietnam. Recognizing the government role in promoting the relationship between universities and enterprises in research and technology transfer, the government has released many policies focusing on the following main contents: (i) Building a favorable legal environment for parties to take part in relationship such as: releasing policies on empowering autonomy (giving autonomy to scientific research organizations and science & technology enterprises; granting patent registration, management, exploitation inventions for organizations in charge of research projects); policies on division of rights and interests in public-private research cooperation; policies to encourage the exploitation, creation inventions from the government’s funding sources; policies to support development of intellectual asset, policies on intellectual property to promote relationship between universities and enterprises. (ii) It’s compulsory for universities and enterprises to improve their own science and technology potentials, to increase investment in equipment, research facilities, and regimes for those doing scientific research, including lecturers who have the environment to carry out scientific research and promote the ability to contribute knowledge to the development of the country. (iii) Supporting parties in form of of tax and credit support, direct support in the process of receiving machinery, implementing research and technology transfer activities, facilitating administrative procedures to promote relationship between universities and enterprises. (iv) Encouraging universities to scientific research, enterprises to technology innovation, fostering parties to create new models of association to promote research and technology technology. 4.2.2. Role of government from related parties’ point of view in relationship between universities and enterprises The survey results of relateds parties in relationship between universities and enterprises show that, through the promulgation of policies, the government plays an 15 important role in limiting barriers to promote university – enterprise relationship in research and technology transfer. Government policies can directly or indirectly affect each barrier or combine to affect two or three barriers at the same time. Analysing the status of each barrier and expert opinions shows that: in Vietnam, is’s been built a system of legal documents on intellectual property policies, information sharing policies, and benefits sharing, tax policy, credit policy. Some policies have approached and are similar to regulations of other countries around the world. However, there are a number of limitations that have been evaluated by related parties as follows: - Policies on intellectual property Firstly, it’s not specific and unclear, hard to apply in practice leading to a dispute between related parties. Law on technology transfer hasn’t regulated on exchanging the ownership of research’s result. Secondly, there is no contact point organization in charge of intellectual property. There are currently three agencies in charge of three different intellectual property areas, leading to decentralized management, fragmentary links, non - systematic, weak, loose inter-agency coordination mechanism, scope of authority and the responsibilities of organizations are still overlapped, information between ministries, branches and localities have not been updated and exchanged timely, leading to ineffective coordination among relevant organization. Thirdly, the establishment of industrial property rights is slow, the application processing time is long, and the deadline of the law is not ensured. The process of dealing with application is not really public and transparent, making it not easy for applicants and the public to access information. Fourth, the court system does not have enough trained and experienced human resources to quickly and effectively resolve complicated cases and issues related to intellectual property. Fifth, awareness of organizations, enterprises, universities and people about intellectual property protection and preservation is not high, there is no sense of proactively protecting their own rights as well as respecting the intellectual property rights of others. - Policies on information sharing. Firstly, there is no linkage mechanism to ensure information sharing yet. The database about rights protection of intellectual property is not timely and transparent. Infrastructure, investment equipment for industrial property information activities are inadequate. Secondly, organizations offerring research and technology transfer that have not provided information to meet the needs of enterprises, have not fully implemented the service to provide information packages as required by society to serve research activities. , production and business. 16 Thirdly, the network of technology consultancy, training and information providers is underdeveloped - Policies on benefit sharing. Policies on benefit sharing among parties in research & technology transfer still have some unsound regulations as following: Firstly, there are policies on benefit sharing regulated in Law of Science Technology 2013 at present. However, related parties all believe that this sharing level is only suitable for the practical implementation of some fields, it should only set the minimum floor to pay scientists at least 15%, the reward level, material incentives are not satisfactory for scientists Secondly, lack of policy regulations on related parties’ responsibilities to society benefit. Thirdly, there is no service pricing mechanism to be a foundation to implement activities providing industrial property information services to the society; There is no mechanism to monitor and evaluate the enterprises that are entitled to after incentives, and at the same time, unified legal documents on assessment of technology have not been issued. Economic policies in general are not strong enough to promote relationship between universities and enterprises. - Policies on risk sharing Firstly, there is a lack of regulations on government’s responsibility about policies on risk sharing that in fact there are many objective risks affecting the cooperation process between parties due to administrative decisions of government (the decision to adjust the planning, the price mechanism, the fee, the foreign currency policy ... has a significant impact on the cooperation results). - Policies on finance Government has issued many tax, credit incentives, and direct support to promote relationship. Tax incentives, credit, and direct support are issued in the form of laws and ordinances, creating a legal basis to ensure that economic policies can come to life, creating favorable conditions for successful cooperation, at the same time suitable for the market economy and proactive international economic integration. However, there are many legal documents relating to tax, credit incentives to promote universities, enterprises to implement activities of research & technology transfer until now there is no government management organization to publish statistics about the annual incentive amount and the results from the incentives that how efficiently they have brought to the operation of universities, businesses and society. Most of the new policies just stop at promulgating but have not yet 17 implemented impact assessment of those policies. In addition, in order to receive direct support from the government, universities and enterprises must undergo a lengthy approval process (about 1 year) and after completing the project, they will be granted funding for implementation. This process will create a certain policy delay compared to the cooperative needs of the parties, which will significantly affect the motivation of relationship between two parties. Beside the shortcomings of 5 policy groups, economic development is still limited in recent years, the rate of government budget expenditure on science and technology in general, research and technology transfer in particular is still low compared to other countries in the world; the policy-making capacity of government management organization is limited; policy enforcement capacity is not strict, lack of administrative sanctions; the process of developing legal documents, asking & collecting opinions from the parties, that bring only formally but also are shortcomings limiting the role of the government in promoting research and technology transfer activities. CHAPTER 5 STRENGTHENING THE ROLE OF GOVERNMENT IN PROMOTION UNIVERSITY – ENTERPRISE RELATIONSHIP IN RESEARCH & TECHNOLOGY TRANSFER 5.1. Domestic and international context affect to relationship between university and enterprise in research and technology transfer. 5.1.1. Opportunities and challenges The thesis has analyzied opportunities and challenges in current context such as: Speedy development, the 4th industrial revolution are chances to develop the relationship between university and enterprise in research and technology transfer. However, the above context also increases social frustration

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