8/7/2019 Univs Open Source Innovating for SD http://slidepdf.com/reader/full/univs-open-source-innovating-for-sd 1/50 Universities Innovating for Sustainable Development: Universities Innovating for Sustainable Development: Commercialization or Free/Open Source Licensing? Commercialization or Free/Open Source Licensing? World Innovation Forum: Innovating Through World Innovation Forum: Innovating Through Sustainability Sustainability Kuala Lumpur Convention Centre, Malaysia Kuala Lumpur Convention Centre, Malaysia Plenary 4, 2:00 p.m., August 11, 2007 Plenary 4, 2:00 p.m., August 11, 2007 Roger Petry Roger Petry Luther College at the University of Regina Luther College at the University of Regina Regina, SK Canada S4S 0A2 Regina, SK Canada S4S 0A2 Co Co-coordinator, Regional Centre of Expertise on Education coordinator, Regional Centre of Expertise on Education for Sustainable Development Saskatchewan for Sustainable Development Saskatchewan (RCE Saskatchewan) (RCE Saskatchewan) Phone: 306 Phone: 306-585 585-5295, FAX: 306 5295, FAX: 306-585 585-5267 5267 E E-Mail: Mail: [email protected][email protected] , Web: , Web: www.saskrce.ca www.saskrce.ca
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Universities Innovating for Sustainable Development:Universities Innovating for Sustainable Development:
Commercialization or Free/Open Source Licensing?Commercialization or Free/Open Source Licensing?
World Innovation Forum: Innovating ThroughWorld Innovation Forum: Innovating Through
Sustainability Sustainability
Kuala Lumpur Convention Centre, MalaysiaKuala Lumpur Convention Centre, Malaysia
Plenary 4, 2:00 p.m., August 11, 2007 Plenary 4, 2:00 p.m., August 11, 2007
Roger Petry Roger Petry
Luther College at the University of ReginaLuther College at the University of Regina
Regina, SK Canada S4S 0A2Regina, SK Canada S4S 0A2CoCo--coordinator, Regional Centre of Expertise on Educationcoordinator, Regional Centre of Expertise on Education
for Sustainable Development Saskatchewanfor Sustainable Development Saskatchewan
Formal Commitments for CommercializationFormal Commitments for Commercializationof Canadian University Researchof Canadian University Research
Government of Canada and the Association of Government of Canada and the Association of
Universities and Colleges of Canada (AUCC):Universities and Colleges of Canada (AUCC):F ramework of Agreed Principles on F ederally F unded F ramework of Agreed Principles on F ederally F unded
University ResearchUniversity Research (2002)(2002)
AUCC committed Canadian universities to:AUCC committed Canadian universities to:
doubledouble their research performance by 2010their research performance by 2010
tripletriple their levels of commercialization by 2010their levels of commercialization by 2010
from $23.4 million income in 1999 to $70.2from $23.4 million income in 1999 to $70.2
million in 2010million in 2010
Government of Canada agreed to increase its fundingGovernment of Canada agreed to increase its funding
of university research:of university research:
$5.0 Billion in sponsored research in 2004 (a 51.5%$5.0 Billion in sponsored research in 2004 (a 51.5%
University Commitments to SustainableUniversity Commitments to SustainableDevelopment Research (SD)Development Research (SD)
TheThe G lobal Higher Education for Sustainability PartnershipG lobal Higher Education for Sustainability Partnership(GHESP) unites four higher education initiatives for SD(GHESP) unites four higher education initiatives for SD
International Association of Universities (IAU):International Association of Universities (IAU): KyotoKyoto
DeclarationDeclaration (as of 2004 had over 650 member(as of 2004 had over 650 member
universities)universities)
University Leaders for a Sustainable Future (ULSF):University Leaders for a Sustainable Future (ULSF):
secretariat for thesecretariat for the Talloires DeclarationTalloires Declaration on SD (overon SD (over
280 signatories)280 signatories)
Copernicus Campus managing theCopernicus Campus managing the University Charter University Charter for Sustainable Development for Sustainable Development (over 300 signatories),(over 300 signatories),
UNESCO: UN agency responsible for managing ChapterUNESCO: UN agency responsible for managing Chapter
36 of 36 of Agenda 21 Agenda 21 (chapter for universities from(chapter for universities from RioRio
Why are universities central to SD Research?Why are universities central to SD Research?University Institutional Capacity for SDUniversity Institutional Capacity for SD
knowledge production central toknowledge production central touniversity mandateuniversity mandate
established networks for knowledgeestablished networks for knowledgesharing (university and nonsharing (university and non--university networks)university networks)
holding breadth of knowledgeholding breadth of knowledge(social, economic, and ecological)(social, economic, and ecological)
needed for SDneeded for SD
often holder of unique knowledgeoften holder of unique knowledge
(e.g. short and lengthy time horizons)(e.g. short and lengthy time horizons)
ability to integrate knowledge holdingsability to integrate knowledge holdings
(e.g. interdisciplinarity) within a single(e.g. interdisciplinarity) within a single
institutioninstitution
Institutional autonomy and ability to applyInstitutional autonomy and ability to applySD technology to own organization (e.g.SD technology to own organization (e.g.
Power of Academic DecisionPower of Academic Decision--Makers inMakers inCanadian Universities To ChooseCanadian Universities To Choose
Commercialization or Free LicensingCommercialization or Free Licensing Institutional policies in universities and researchInstitutional policies in universities and research
hospitals generally determining who owns intellectualhospitals generally determining who owns intellectualproperty (IP):property (IP):
84.5% policy84.5% policy--determined for inventions, 81.5% fordetermined for inventions, 81.5% for
copyrighted materials, 75.9% for educational materials incopyrighted materials, 75.9% for educational materials in2004 (see Read:2006)2004 (see Read:2006)
Researchers frequently sole owners of IP (or jointResearchers frequently sole owners of IP (or joint
ownersowners----in parenthesis):in parenthesis):
46.0% of policies with researchers as sole owners of 46.0% of policies with researchers as sole owners of inventions (21.3% joint), 51.1% for software orinventions (21.3% joint), 51.1% for software or
databases (18.5% joint), and 69.3% for educationaldatabases (18.5% joint), and 69.3% for educational
materials (8.6% joint)materials (8.6% joint)
90.3% of IP policies grant researchers the right90.3% of IP policies grant researchers the right
G eneral Research QuestionG eneral Research Question:: Is the trend toward Is the trend toward
commercialization of university research appropriatecommercialization of university research appropriatefor universities with a commitment to knowledgefor universities with a commitment to knowledge
production for sustainable development (SD)? production for sustainable development (SD)?
Secondary QuestionsSecondary Questions::
W hat is the understanding of academic faculty (asW hat is the understanding of academic faculty (as
key organizational decision makers) of the relativekey organizational decision makers) of the relative
merits of commercialization and F ree/Open Sourcemerits of commercialization and F ree/Open Source
licensing models in achieving the sustainability licensing models in achieving the sustainability goals of their specific SD research projects? goals of their specific SD research projects?
How does this understanding influence their ownHow does this understanding influence their own
(1)(1) natural capital natural capital : maintaining minimal stocks: maintaining minimal stocks
of natural capital (i.e.,of natural capital (i.e., strongstrong sustainability)sustainability) (2)(2) human capital human capital : meeting basic needs: meeting basic needs
(including health and security), sustaining(including health and security), sustaining
capabilities/freedoms, and improving quality of capabilities/freedoms, and improving quality of
life (i.e., human welllife (i.e., human well--being; see MEA:2003)being; see MEA:2003)
Involves: (1) sustaining capital stocks,Involves: (1) sustaining capital stocks,
relationships, and processes; (2) managingrelationships, and processes; (2) managing
Knowledge commercialization:Knowledge commercialization: the commercialthe commercial
exploitation of intellectual property (IP) to generateexploitation of intellectual property (IP) to generaterevenues through the production of distinctiverevenues through the production of distinctivemarketable products and services made possible bymarketable products and services made possible by
the exercise of the exclusive uses associated withthe exercise of the exclusive uses associated withthe IP prevented to market rivals. For example:the IP prevented to market rivals. For example:
revenues from the sale and formal transfer of IPrevenues from the sale and formal transfer of IP
obtaining royalties from licensing IP (eitherobtaining royalties from licensing IP (either
exclusively to a single firm or nonexclusively to a single firm or non--exclusively toexclusively toseveral firms)several firms)
ownership of a spinownership of a spin--off company created tooff company created to
produce the particular good or service exploitingproduce the particular good or service exploiting
Note: distinguished from material inNote: distinguished from material in
the public domain (due to expirationthe public domain (due to expirationof the term of the IP right or formalof the term of the IP right or formal
consignment to the public domain)consignment to the public domain)
Free/Open Source Licensing: anFree/Open Source Licensing: an
owner¶s licensing of intellectualowner¶s licensing of intellectual
property to allow others the ability toproperty to allow others the ability toexercise the exclusive rights grantedexercise the exclusive rights granted
Free Licenses Designed to Leverage theFree Licenses Designed to Leverage theProduction of more Free Licensed MaterialProduction of more Free Licensed Material
Legal requirement that those whoLegal requirement that those whoincorporate Free Licensed software intoincorporate Free Licensed software intotheir work and distribute the new softwaretheir work and distribute the new software
to license the new software under the sameto license the new software under the sameterms as the original Free Software Licenseterms as the original Free Software License
no further restrictions can be placed onno further restrictions can be placed on
usersusers
³copyleft´ provisions or ³share ³copyleft´ provisions or ³share--andand--
shareshare--alike´ alike´
E.g., the popular GNU General PublicE.g., the popular GNU General Public
3. Description of Case Studies3. Description of Case StudiesExaminedExamined
University of Regina located in prairie region of University of Regina located in prairie region of
Canada and capital city of the Province of Canada and capital city of the Province of SaskatchewanSaskatchewan
a smaller research university yet witha smaller research university yet withsubstantial research growth (research incomesubstantial research growth (research income
of $9.93 million in 2000 to $23.94 million inof $9.93 million in 2000 to $23.94 million in
5 Research Case Studies funded by U of R:5 Research Case Studies funded by U of R:
³Interactive Learning about Sustainable Resource ³Interactive Learning about Sustainable Resource
Usage´ Usage´
³Objective and Subjective Assessment of Traffic ³Objective and Subjective Assessment of TrafficNoise Impact To Residential Areas and TrafficNoise Impact To Residential Areas and Traffic
Noise Control in Regina´ Noise Control in Regina´
³Total Product Assessment for Sustainable ³Total Product Assessment for Sustainable
Consumption´ Consumption´
³Web ³Web--based Intelligent Systems for Sustainablebased Intelligent Systems for Sustainable
Communities´ Communities´
³Effects of Pavement Types and Conditions to the ³Effects of Pavement Types and Conditions to the
Environmental Noise of Urban Areas´ Environmental Noise of Urban Areas´
4. Discussion of Findings4. Discussion of Findings
Minority with direct prior experiences withMinority with direct prior experiences withcommercialization or F/OS licensing of owncommercialization or F/OS licensing of ownworkwork
Awareness of both options in academic work:Awareness of both options in academic work: ³Well, I have two computers here. One is Unix. One ³Well, I have two computers here. One is Unix. One
is Windows. In the world of Unix almost everythingis Windows. In the world of Unix almost everythingis Open Source. In the world of Windows almostis Open Source. In the world of Windows almostnothing is Open Source«. So one was primarilynothing is Open Source«. So one was primarilycreated by academics with some researchcreated by academics with some researchlaboratories, corporate laboratories involved, that'slaboratories, corporate laboratories involved, that'sUnix. One was created primarily by a company withUnix. One was created primarily by a company witha number of other companies involved all looking fora number of other companies involved all looking forprofit« I work in both worlds everyday.´ profit« I work in both worlds everyday.´
Nature of ContributionsNature of ContributionsObserved in SD ProjectsObserved in SD Projects
Relying on local knowledgeRelying on local knowledge
e.g. local transportation networks ande.g. local transportation networks andusage, local use and pricing of resourcesusage, local use and pricing of resources
Reliance on outside organizations forReliance on outside organizations fordata contributions (e.g. local/municipaldata contributions (e.g. local/municipalgovernment)government)
Relying on general domain expertiseRelying on general domain expertise Involving theoretical contributions fromInvolving theoretical contributions from
Relying onRelying on support for scholarly work support for scholarly work
Targeted funding by university for SD researchTargeted funding by university for SD research(e.g. hiring graduate students)(e.g. hiring graduate students)
Funding for research equipmentFunding for research equipment Use of Open Source tools and other freelyUse of Open Source tools and other freely
available materials (e.g. data made availableavailable materials (e.g. data made availablein open sources)in open sources)
Relying onRelying on places for situated testing places for situated testing E.g. Highway department and testing of roadE.g. Highway department and testing of road
surfacing materials; Science Centre andsurfacing materials; Science Centre andobserving children experimenting with gameobserving children experimenting with gamefor SDfor SD
Challenges in Commercialization:Challenges in Commercialization:Impact on ContributionsImpact on Contributions
Potential loss of contributions of others if Potential loss of contributions of others if turned into a commercial productturned into a commercial product
Dependence on user input and possibleDependence on user input and possible
demand for return if commercializeddemand for return if commercialized Some contributions potentially central toSome contributions potentially central to
Challenge finding industry partners in right lineChallenge finding industry partners in right lineof business to commercialize productof business to commercialize product
Challenges in Commercialization:Challenges in Commercialization:Small M arket SizeSmall M arket Size
Limited size of marketLimited size of market
Distinctiveness of users for which technologyDistinctiveness of users for which technologydesigned (e.g. small city with distinct challenges)designed (e.g. small city with distinct challenges)
Requiring customization for usability/optimal useRequiring customization for usability/optimal use
e.g. social factors: language, local travele.g. social factors: language, local travelpatterns, types of infrastructure/buildingpatterns, types of infrastructure/buildingmaterialsmaterials
e.g. natural factors: geography, local weathere.g. natural factors: geography, local weatherconditionsconditions
Lacking ability and resources to customize technologyLacking ability and resources to customize technology
Potentially lacking knowledge of relevant conditionsPotentially lacking knowledge of relevant conditionselsewhereelsewhere
Requiring ongoing updating of data as human andRequiring ongoing updating of data as human andnatural systems evolvenatural systems evolve
Financial gain not identified as primaryFinancial gain not identified as primarymotive (despite universitymotive (despite universityencouragement)encouragement)
Though willingness to help economic
Though willingness to help economicsustainability goals as form of public servicesustainability goals as form of public service
Commercialization requiring skills andCommercialization requiring skills andresources beyond those of the researcherresources beyond those of the researcher Lack of funding to develop and test prototypeLack of funding to develop and test prototype
Challenge determining contractual balanceChallenge determining contractual balance(given uncertainty of benefits and variety of (given uncertainty of benefits and variety of contributors)contributors)
Concerns regarding publication delays (andConcerns regarding publication delays (andpossible pressure not to publicize results)possible pressure not to publicize results)
Risk of technology not being applied if startRisk of technology not being applied if start--upup
company failscompany fails Risk of foreclosing opportunity to further developRisk of foreclosing opportunity to further develop
technology if sold to private firmtechnology if sold to private firm
Risk regarding integrity of work if perceived asRisk regarding integrity of work if perceived as
undermining commercial interestsundermining commercial interests E.g. technology being bought out by dominantE.g. technology being bought out by dominant
Potential For Related CommercialPotential For Related CommercialBenefits with Uptake of TechnologyBenefits with Uptake of Technology
Market value of data gathered fromMarket value of data gathered fromtechnology usagetechnology usage
Service provision in customizingService provision in customizing
technology to specialized needstechnology to specialized needs
Value of demand for downstream orValue of demand for downstream orrelated productsrelated products
e.g. increased demand for materials such ase.g. increased demand for materials such asscrap tiresscrap tires
e.g. developing market for ecologically friendlye.g. developing market for ecologically friendlyproducts and transportation typesproducts and transportation types
Viewing F/OS licensing as compatible withViewing F/OS licensing as compatible withacademic culture:academic culture:
Openness and academic publishingOpenness and academic publishing
Openness required for peer review/verifyingOpenness required for peer review/verifyingfindingsfindings
State university funding and duty for publicState university funding and duty for publicavailability and availability to all market firmsavailability and availability to all market firms
(vs. specific ones)(vs. specific ones) Reducing barriers for other academics toReducing barriers for other academics to
participate in scholarly endeavorsparticipate in scholarly endeavors
potential government, community and individualpotential government, community and individualsupport for F/OSS development linked tosupport for F/OSS development linked totechnology goalstechnology goals
Open Source potentially increasing exposure,Open Source potentially increasing exposure,
experimentation, and takeexperimentation, and take--upup Though still other barriers: e.g. hardware,Though still other barriers: e.g. hardware,
expertise needed to use technology, labour toexpertise needed to use technology, labour tosupport technology within organizationsupport technology within organization
Potential for others to distribute technologyPotential for others to distribute technologythrough nonthrough non--market meansmarket means
e.g. Science Centre distributing softwaree.g. Science Centre distributing softwareprogram to school childrenprogram to school children
Need to consider goals of academyNeed to consider goals of academyand individual researchers engagedand individual researchers engagedin SD research in harnessingin SD research in harnessing
University capacity to innovate forUniversity capacity to innovate forSD:SD:
Faculty researchers choosingFaculty researchers choosingtechnology direction based ontechnology direction based oncuriosity/scholarly interestcuriosity/scholarly interest
Often not a financial motiveOften not a financial motive
Some related to tensions betweenSome related to tensions betweenconditions needed to generate SDconditions needed to generate SDtechnology in universities and conditionstechnology in universities and conditionsneeded for their commercializationneeded for their commercialization
Some challenges due to regionalSome challenges due to regionalchallenges in New Economy (seechallenges in New Economy (seeappendix); implies possible divergence of appendix); implies possible divergence of IP strategies between regionsIP strategies between regions
Some challenges linked to tensionsSome challenges linked to tensionsbetween academic goals of researchersbetween academic goals of researchersand risks with commercializationand risks with commercialization
Free/Open Source Licensing and SD ProjectsFree/Open Source Licensing and SD Projects
Free/Open Source licensing potentially supportive of Free/Open Source licensing potentially supportive of researcher goals for SD researchresearcher goals for SD research
some F/OSS risks needing to be mitigatedsome F/OSS risks needing to be mitigated
Licensing of technologies should build on how SDLicensing of technologies should build on how SD
technologies are being developed in academic settingstechnologies are being developed in academic settingsin the first placein the first place
E.g. continue to build on voluntary contributions if E.g. continue to build on voluntary contributions if possiblepossible
Potential for downstream significant business andPotential for downstream significant business and
livelihood opportunities (including commercialization)livelihood opportunities (including commercialization)with broad takewith broad take--up of some SD technologiesup of some SD technologies
New Economy strategies need to factor in potentiallyNew Economy strategies need to factor in potentiallydisruptive market technologies developed by thedisruptive market technologies developed by theacademic community (given IP control of faculty)academic community (given IP control of faculty)
Appendix: Regina, SK, Appendix: Regina, SK,Geographic Challenges in theGeographic Challenges in the
New EconomyNew Economy Average growth in Information andAverage growth in Information and
Communication Technology (ICT) paidCommunication Technology (ICT) paidemployment in Canada between 1990 andemployment in Canada between 1990 and2000 was 72.6% (Beckstead2000 was 72.6% (Beckstead et al.: 2003)et al.: 2003)
vs. Saskatchewan ICT workersvs. Saskatchewan ICT workers declined declined byby
8.9%8.9%
Average growth of ICT paid workers inAverage growth of ICT paid workers in
(de¿ned as Census Metropolitan Areas (CMAs)(de¿ned as Census Metropolitan Areas (CMAs)with populations over 100,000) was 79%with populations over 100,000) was 79%
vs. Reginavs. Regina declined by declined by 17%17%