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Research Note

A Case Study of the Impediments to the Commercialization of Research at the University of Kentucky

[version 1; peer review: 3 approved with reservations]
PUBLISHED 28 May 2015
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Abstract

The commercialization of university-based research occurs to varying degrees between academic institutions. Previous studies have found that multiple barriers can impede the effectiveness and efficiency by which academic research is commercialized. This case study was designed to analyze the status of the commercialization activity at the University of Kentucky via a survey and interview with a successful academic entrepreneur in order to determine the impediments the individual perceived during the commercialization process. The study also garnered insight from the individual as to how the commercialization process could be improved. Issues with infrastructure were highlighted as the most significant barrier faced by the individual. The research subject also suggested that commercialization activity may generally increase if a number of factors were mitigated. Such insight can be communicated to the administrative leadership of the commercialization process at the University of Kentucky. Long term, improving university-based research commercialization will allow academic researchers to be more active and successful entrepreneurs such that intellectual property will progress more freely to the marketplace for the benefit of inventors, universities, and society.

Keywords

Research commercialization, entrepreneurship, intellectual property, technology transfer, disclosures, patents, license, start-ups

Introduction

Research is a vital component of the mission of universities, and indeed academic institutions conduct a substantial volume of research that is funded by government, industry and philanthropic agencies. Development or the commercialization of research should also be a key component of the research mission such that novel ideas, techniques and products can enter the marketplace for the consumption and benefit of society. In order to facilitate academic-based commercialization, legislation, such as the Bayh-Dole Act, provides universities the legal framework for commercializing the research that is developed within university settings1,2.

In a commercialization survey conducted by the Association of University Technology Managers (AUTM), in 2013, United States-based institutions obtained over 5,000 new patents, executed over 5,000 licensing agreements, formed over 800 start-up companies and generated $2.75 billion in license income3. Despite this overall success, academic researchers experience many issues that obstruct the commercialization of research within higher education settings. Previous studies at academic institutions have documented the challenges to the commercialization process that include, but are not limited to: risk aversion; constraints on faculty time; lack of financial support; policy/regulation barriers; infrastructure insufficiencies; lack of a common understanding of the value of research commercialization; lack of entrepreneurial thinking among faculty; and lack of interaction and collaboration between universities and industry410. A previous study at the University of Kentucky found that expense, time constraints, insufficient infrastructure and lack of industry partnerships were the most common factors experienced by cancer researchers that impede research commercialization11. Ultimately, challenges to the effective and efficient commercialization of research inhibits obtaining the maximum benefit of university research in that such barriers can prevent university-based innovation from progressing to the marketplace for the benefit of inventors, universities and society.

The University of Kentucky commercializes its research through the Intellectual Property Development and Technology Transfer Office, a unit of the Office of the Vice President for Research. Through this office, the university’s research commercialization activities are historically modest compared to its benchmark institutions. The university currently ranks last among its benchmark institutions in regard to several commercialization metrics including in staffing, invention disclosures, patent applications and license/options executed (Table 1). And, growth in commercialization activity has been relatively flat from 2010–2013 with the exception of a recent increase in license income (Table 2). These data could suggest that the University of Kentucky may experience additional commercialization barriers as compared to its benchmark institutions and/or a higher magnitude of common barriers among institutions.

Table 1. University of Kentucky research commercialization metrics versus select benchmark institutions (2013)*.

Name of
Institution
Licensing
FTE
Invention
Disclosures
Patent
Applications
Patents
Issued
Licenses
and
Options
Executed
Start-upsLicense
Income
Received
Michigan State
University
5.501224946331$3,302,322
Ohio State
University
9.00384155625010$2,105,127
University of
Arizona
8.501447627483$926,023
University of
Florida
13.5033515210714016$28,067,988
University of
Iowa
6.00965324296$1,205,342
University of
Kentucky
2.0058173093$4,800,000
University of
Michigan
9.004121481281089$14,464,565
University of
Minnesota
18.00331148649114$38,030,470
University of
North Carolina,
Chapel Hill
6.0013872255614$3,783,545
University of
Wisconsin-
Madison
18.00386167157637$94,170,000

*Data obtained from the fiscal year 2013 AUTM report.

Table 2. University of Kentucky research commercialization activity, 2010–2013*.

Commercialization
Activity
2010201120122013
Disclosures57598358
Patent Applications28221217
Patents Issued28262930
Licenses/Options
Executed
9899
Start-ups6763
License Income$2,161,743$1,544,664$1,628,264$4,800,000

*Data obtained from the fiscal year 2010–2013 AUTM reports.

The study herein focused on understanding the impediments to commercializing research at the University of Kentucky from the perspective of a single faculty member that has been successful in the continuum of commercialization through successfully obtaining multiple patents, licensing intellectual property and forming multiple start-up companies. The rationale for conducting the study with one successful academic entrepreneur was that we believed that such a serial entrepreneur could provide more insight into the commercialization process versus someone that had more limited or no experience in commercializing research.

Methods

The study herein is modeled closely after a similar, larger scale study conducted at the University of Kentucky specifically among cancer researchers11. The methodology and design of this study was qualitative in nature and was based on two modules: an online survey (included as Supplementary materials S1) followed by a face-to-face interview. The selection criteria for inclusion in the study was that the selected participant must be a faculty member, have an active research program and be a successful academic entrepreneur based on having obtained patents, licensed intellectual property and created start-up companies. The research subject for this study was identified through searches of publically available databases containing information on the selection criteria. For module one, data were collected and managed using the Research Electronic Data Capture (REDCap) tool. REDCap is a secure, Internet-based study-support application12. Module two data were recorded in written format during the face-to-face interview.

This study was determined to not require review by the University of Kentucky Institutional Review Board. The research subject consented to participate in the study electronically via engagement with the online survey and chose to participate in both modules of the study. The participant chose to remain anonymous beyond interaction with the investigators involved in the study.

Results

Professional productivity and commercialization perspective

The first series of questions aimed to assess the subject’s category of research, professional productivity and the perspective he has on research commercialization. The subject classified his research as “translational;” he felt satisfied with his level of professional productivity in terms of publishing research manuscripts, obtaining grant funding and other means of academic productivity; and he indicated that he intends to commercialize additional research in the future. Despite believing that research commercialization is important in the academic setting and that his research field values such work, he feels that the University of Kentucky places little emphasis on and thus does not greatly value research commercialization (Table 3).

Table 3. Professional productivity and commercialization perspective.

QuestionAnswer
Which category best describes your research?Translational
Do you feel that your research results are sufficiently utilized
through the generation of publications, grants, and other forms of
professional productivity?
Yes
Do you intend to commercialize your research in the future?Yes
Do you think research commercialization is important to promote
within an academic setting?
Yes
Do you think the University of Kentucky places an emphasis on
academic research commercialization to faculty?
No
Do you think your research field places an emphasis on academic
research commercialization?
Yes

Impediments to research commercialization

The second set of questions addressed the research subject’s perceived impediments to commercializing research. The subject responded that risk, lack of investors, commercialization infrastructure, unsupportive university and federal policies, and “other barriers not listed” prohibited his efforts to effectively and efficiently commercialize research (Table 4). In the face-to-face interview, the subject indicated that the “other barriers” included major prohibiting factors such as the lack of university support in areas of market analysis, grant development, and navigating legal matters including conflict of interest and intellectual property ownership issues. Of these “other” items, we had anticipated that such factors could be captured under the commercialization infrastructure and/or policy categories of answer choices in the survey. Ultimately, the subject indicated that infrastructure issues are the most significant factors that impede research commercialization at the University of Kentucky. The subject also discussed how some of these barriers are more challenging and more difficult to overcome and that he felt that the barriers he has encountered are different at other universities. Thus, similar to the previous study among cancer researchers11, these data suggest that this faculty member experiences multiple barriers in the commercialization process. Additionally, in comparison with previous studies411, the data may suggest that not all barriers are consistent or common between individual faculty members (for example, expense, time constraints, insufficient infrastructure, and lack of industry partnerships were the most common barriers experienced among University of Kentucky cancer researchers11).

Table 4. Impediments to research commercialization.

Potential BarrierAnswer
There are no barriers to commercializing research at the
University of Kentucky
No
There is unwanted risk associated with commercializationYes
I lack the expendable timeNo
There is excessive expenseNo
There is a lack of investorsYes
There is a lack of infrastructure including facilities and staff to
help in the commercialization process
Yes
Unsupportive University policies, procedures and/or regulationsYes
Unsupportive federal policies, procedures and/or regulationsYes
There is a lack of industry partnersNo
Limited or no commercial application of my research existsNo
There is a lack of importance to academiaNo
There is a lack of importance to my fieldNo
There is a lack of benefit to societyNo
I have no interest in commercializationNo
Other barriers not listedYes

Factors that could enhance research commercialization

The final set of questions were meant to determine which impediments would need to be overcome in order to increase faculty participation in research commercialization. Interestingly, the subject indicated that the barriers in the commercialization process do not deter him from attempting to commercialize his research, however, he believed that reducing/mitigating all the potential barriers surveyed, other than addressing royalty pay to inventors, would enhance research commercialization activity at the University of Kentucky (Table 5). The subject also indicated that he would utilize outside (off campus) commercialization resources to lower the barriers he faces in order to improve his commercialization efforts. These data are similar to the feelings reported by cancer researchers11 in which respondents believed that a greater number of mitigating factors compared to the identified barriers in the previous set of questions would presumably increase commercialization activity.

Table 5. Factors that could enhance research commercialization.

FactorAnswer
Offering protected time specifically for commercialization activitiesYes
Increasing information on how to commercializeYes
Increasing financial supportYes
Better and/or more infrastructure including facilities and staff to
help in the commercialization process
Yes
Revising university policies, procedures and/or regulationsYes
Revising federal policies, procedures and/or regulationsYes
Increasing links to industryYes
Increasing emphasis placed by academia and/or my research
field on the importance of research commercialization
Yes
Greater personal benefits including more royalty payNo
Greater societal benefitsYes
Nothing would helpNo

Conclusion

This case study investigated the mindset of one successful academic entrepreneur at the University of Kentucky in relation to research commercialization and in context with the university’s general commercialization activity. The general status of the institution’s commercialization activity is modest relative to its benchmark institutions and stagnant in growth over time. The research subject identified several factors that generally impede research commercialization and that mitigating many factors may increase commercialization activity. Infrastructure was pinpointed as the major issue impeding research commercialization at the university. While generally fitting with the impediments found at other universities and among cancer researchers at the University of Kentucky411, the results suggest that not all barriers are common or consistent between faculty and that some impediments may be more prohibitive than others.

These data can be shared with the University of Kentucky’s Intellectual Property Development and Technology Transfer Office and the Office of the Vice President for Research and used as a guide to make changes that will improve the research commercialization process. The research subject’s comments regarding commercialization infrastructure may be particularly important to address in order to enhance commercialization activity at the university. Additionally, similar work could be conducted at and among other institutions. For example, a survey similar to the one herein and that used in the prior study11 could be incorporated into the yearly AUTM licensing survey in order to gauge, on a much broader scale, the impediments to academic research commercialization as well as to understand how other institutions are mitigating such impediments. Understanding how institutions that are highly successful in commercializing research mitigate barriers in the process would be greatly beneficial to institutions that have low to modest commercialization activity.

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Vanderford NL and Marcinkowski E. A Case Study of the Impediments to the Commercialization of Research at the University of Kentucky [version 1; peer review: 3 approved with reservations]. F1000Research 2015, 4:133 (https://doi.org/10.12688/f1000research.6487.1)
NOTE: If applicable, it is important to ensure the information in square brackets after the title is included in all citations of this article.
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Key to Reviewer Statuses VIEW
ApprovedThe paper is scientifically sound in its current form and only minor, if any, improvements are suggested
Approved with reservations A number of small changes, sometimes more significant revisions are required to address specific details and improve the papers academic merit.
Not approvedFundamental flaws in the paper seriously undermine the findings and conclusions
Version 1
VERSION 1
PUBLISHED 28 May 2015
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Reviewer Report 01 Jul 2015
Evan Facher, Enterprise Development, University of Pittsburgh, Pittsburgh, PA, USA 
Approved with Reservations
VIEWS 16
The study by Vanderford and Marcinkowski attempts to identify challenges to the commercialization of innovations discovered at their institute of higher learning, the University of Kentucky. The goal of this work is to improve the sluggish local climate for translation ... Continue reading
CITE
CITE
HOW TO CITE THIS REPORT
Facher E. Reviewer Report For: A Case Study of the Impediments to the Commercialization of Research at the University of Kentucky [version 1; peer review: 3 approved with reservations]. F1000Research 2015, 4:133 (https://doi.org/10.5256/f1000research.6961.r9270)
NOTE: it is important to ensure the information in square brackets after the title is included in all citations of this article.
  • Author Response 04 Aug 2015
    Nathan Vanderford, Markey Cancer Center and Department of Toxicology and Cancer Biology, College of Medicine, University of Kentucky, Lexington, 40506, USA
    04 Aug 2015
    Author Response
    Dear Dr. Facher,

    Thank you for your time and comments. Your critique has helped guide us through revising the article. We would like to directly respond to some of your comments. ... Continue reading
COMMENTS ON THIS REPORT
  • Author Response 04 Aug 2015
    Nathan Vanderford, Markey Cancer Center and Department of Toxicology and Cancer Biology, College of Medicine, University of Kentucky, Lexington, 40506, USA
    04 Aug 2015
    Author Response
    Dear Dr. Facher,

    Thank you for your time and comments. Your critique has helped guide us through revising the article. We would like to directly respond to some of your comments. ... Continue reading
Views
19
Cite
Reviewer Report 17 Jun 2015
Scott Crick, Licensing Associate, Office of Technology Management, Washington University, St Louis, MO, USA 
Approved with Reservations
VIEWS 19
This study attempted to identify potential impediments to commercialization of research at the University of Kentucky. The authors point out that, according to data from AUTM, the University of Kentucky ranks near the bottom in a number of key metrics ... Continue reading
CITE
CITE
HOW TO CITE THIS REPORT
Crick S. Reviewer Report For: A Case Study of the Impediments to the Commercialization of Research at the University of Kentucky [version 1; peer review: 3 approved with reservations]. F1000Research 2015, 4:133 (https://doi.org/10.5256/f1000research.6961.r9005)
NOTE: it is important to ensure the information in square brackets after the title is included in all citations of this article.
  • Author Response 04 Aug 2015
    Nathan Vanderford, Markey Cancer Center and Department of Toxicology and Cancer Biology, College of Medicine, University of Kentucky, Lexington, 40506, USA
    04 Aug 2015
    Author Response
    Dear Dr. Crick,
     
    We thank you for taking the time to review our case study. Your critique has helped shape our current version of the article. We would like to respond ... Continue reading
COMMENTS ON THIS REPORT
  • Author Response 04 Aug 2015
    Nathan Vanderford, Markey Cancer Center and Department of Toxicology and Cancer Biology, College of Medicine, University of Kentucky, Lexington, 40506, USA
    04 Aug 2015
    Author Response
    Dear Dr. Crick,
     
    We thank you for taking the time to review our case study. Your critique has helped shape our current version of the article. We would like to respond ... Continue reading
Views
24
Cite
Reviewer Report 05 Jun 2015
Jessica Silvaggi, UWM Research Foundation, Milwaukee, WI, USA 
Approved with Reservations
VIEWS 24
The goal of the authors was to document any impediments to the commercialization process at the University of Kentucky. The study was spurred by the findings that UK significantly underperforms when compared to peer institutions of similar size. A previous ... Continue reading
CITE
CITE
HOW TO CITE THIS REPORT
Silvaggi J. Reviewer Report For: A Case Study of the Impediments to the Commercialization of Research at the University of Kentucky [version 1; peer review: 3 approved with reservations]. F1000Research 2015, 4:133 (https://doi.org/10.5256/f1000research.6961.r8827)
NOTE: it is important to ensure the information in square brackets after the title is included in all citations of this article.
  • Author Response 04 Aug 2015
    Nathan Vanderford, Markey Cancer Center and Department of Toxicology and Cancer Biology, College of Medicine, University of Kentucky, Lexington, 40506, USA
    04 Aug 2015
    Author Response
    Dear Dr. Silvaggi,
     
    We greatly appreciate the time you dedicated to review our article. We found your comments very helpful as we revised the article. We are happy that you found ... Continue reading
COMMENTS ON THIS REPORT
  • Author Response 04 Aug 2015
    Nathan Vanderford, Markey Cancer Center and Department of Toxicology and Cancer Biology, College of Medicine, University of Kentucky, Lexington, 40506, USA
    04 Aug 2015
    Author Response
    Dear Dr. Silvaggi,
     
    We greatly appreciate the time you dedicated to review our article. We found your comments very helpful as we revised the article. We are happy that you found ... Continue reading

Comments on this article Comments (0)

Version 2
VERSION 2 PUBLISHED 28 May 2015
Comment
Alongside their report, reviewers assign a status to the article:
Approved - the paper is scientifically sound in its current form and only minor, if any, improvements are suggested
Approved with reservations - A number of small changes, sometimes more significant revisions are required to address specific details and improve the papers academic merit.
Not approved - fundamental flaws in the paper seriously undermine the findings and conclusions
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