Bridging Research to Industry The Technology Transfer from Communication Perspective (A Case Study at The Centre for Agrobased Industry)
BRIDGING RESEARCH TO INDUSTRY: THE TECHNOLOGY
TRANSFER FROM COMMUNICATION PERSPECTIVE
(A CASE STUDY AT THE CENTRE FOR AGRO-BASED INDUSTRY)
ANINDITA RUMANTI DIBYONO
GRADUATE SCHOOL
BOGOR AGRICULTURAL UNIVERSITY
BOGOR
2015
DECLARATION OF THESIS, SOURCES OF INFORMATION
AND DELEGATION OF COPYRIGHT
I hereby declare that the thesis entitled “Bridging Research to Industry:
The Technology Transfer from Communication Perspective (A Case Study at
The Centre for Agro-based Industry” is my original work produced through the
guidance of my academic advisors and that to the best of my knowledge. This
thesis also presented for the award of a degree in The University of Adelaide as a
double degree program between Bogor Agricultural University and The
University of Adelaide. All of the incorporated material originated from other
published or unpublished papers are stated clearly in the text as well as in the
bibliography.
I hereby delegate the copyright of my paper to the Bogor Agricultural
University.
Bogor, July 2015
Anindita Rumanti Dibyono
NRP. F351137041
SUMMARY
Anindita Rumanti Dibyono, 2015. Bridging Research To Industry: The
Technology Transfer From Communication Perspective (A Case Study At The
Centre For Agro-Based Industry). (Sukardi, Chairman and Machfud, Member
of Advisory Committee).
In the 21st century, countries throughout the world face the need to change
their focus on national strategic planning from a resource-based to a knowledgebased economy. Many countries increasingly use public research to generate
economic benefit from the technological opportunity and use public research as
their broad strategies in industrial development. Consequently, universities and
public research institutions (PRIs) become key institutions in the process of
economy “catch-up”. As public research conducted by PRIs and universities are
increasingly needed, technology transfer and commercialization become critical
areas that must be studied to help us understand how the process occurs.
As one of the research institutions under the Ministry of Industry, the Centre
for Agro-based Industry (CABI) is responsible to conduct research with a focus
on the agro-based products. However, the research at CABI still have a relatively
low application rate because most of the research were not commercially
implemented in the industry. This research project aims to identify the role of
communication in the technology transfer process that occurs in CABI and to
suggest a way to maximize the number of CABI’s R&D application to the SMEs.
The research uses a case study strategy, with an interpretive approach.
Data collection method uses semi-structured interviews with respondents consist
of CABI’s researchers and staff and SMEs. The data were analyzed by coding
method. The result shows that there are ten communication channels used by
CABI’s staff in technology transfer, namely: research collaboration; scientific
publication; research dissemination; “client hunting” program; CABI’s events
such as seminar and workshop; exhibition; free trial offer; leaflets or brochures;
and Forum Group Discussion. It implies that the bureaucratic characteristic of
CABI makes the organization not flexible in their internal communication and in
their response to the market and it eventually effects the technology transfer
process. The results also show that the interpersonal relationship between staffs
in CABI seems to create a set of barriers in the technology transfer process.
The research conclude that to deal with these problems, CABI must take
different approach to make its mechanistic organization more organic and
encourage daily internal interactions between staffs to increase their engagement
toward their job and organization. Moreover, a set of intellectual property (IP)
arrangement and incentives policy may avert the reluctance of the researcher in
sharing his/her knowledge to other staffs. In term of communication channels.
CABI must implement two phase of technology transfer process. The first step is
to narrowing down the potential users and focus on one or two of them, and then
CABI must maintain a good interactive process with the SMEs to make sure that
their technology meets the need and capacity of the SMEs.
Keywords: technology transfer, communication, organizational structure,
bureaucracy, research collaboration, interpersonal relationship
RINGKASAN
Anindita Rumanti Dibyono, 2015. Menjembatani Riset kepada Industri:
TRansfer Teknologi dari Perspektif Komunikasi (Studi Kasus di Balai Besar
INdustri Agro). (Sukardi, Ketua Komite Dosen Pembimbing and Machfud,
Anggota Komite Dosen Pembimbing)
Dalam era globalisasi ini, banyak negara mulai menggunakan institusi riset
publik sebagai bagian dari perencanaan strategik mereka untuk meningkatkan
perekonomian. Lembaga riset public dan universitas menjadi salah satu institusi
kunci dalam pengembangan teknologi industri, terutama bagi Industri Kecil dan
Menengah (IKM), dengan kegiatan transfer teknologi dan komersialisasi riset
mereka menjadi fokus utama. Dua kegiatan tersebut menjadi salah satu area kritis
yang harus bisa dikembangkan oleh lembaga riset di Indonesia agar riset-riset
yang dilakukan bersifat tepat guna.
Balai Besar Industri Agro (BBIA), sebagai salah satu institusi riset dan
pengembangan dibawah Kementerian Perindustrian memiliki tanggung jawab
untuk melaksanakan riset dengan fokus kepada produk produk agroindustri. Akan
tetapi, sampai saat ini riset-riset yang dihasilkan oleh BBIA masih memiliki
tingkat aplikasi yang relatif kurang efektif. Penelitian ini bertujuan untuk
mengindentifikasi peranan komunikasi dalam kegiatan transfer teknologi yang
dilakukan di BBIA untuk selanjutnya merumuskan rekomendasi dan strategi
untuk meningkatkan jumlah aplikasi riset dari BBIA ke IKM.
Penelitian ini menggunakan metode studi kasus dengan pendekatan
interpretatif. Data dikumpulkan menggunakan wawancara semi terstruktur dengan
responden yang berasal dari peneliti dan staff BBIA serta pelaku industri (IKM).
Hasil menunjukkan bahwa ada sepuluh jalur komunikasi antara BBIA dan
IKM, yaitu: Kolaborasi riset; Publikasi ilmiah; Diseminasi riset; Program “client
hunting”; Seminar dan workshop; Pameran; Penawaran Uji-Coba gratis; Brosur
dan leaflet; serta Forum Group Discussion (FGD). Dalam penelitian ini terlihat
bahwa karakter birokratik dari BBIA sebagai suatu lembaga penelitian pemerintah
membuat organisasi tidak fleksibel dalam komunikasi internal dan merespon
perubahan yang terjadi dipasar, dan pada akhirnya kondisi tersebut menghambat
proses transfer teknologi.
Untuk mengatasi hal tersebut, BBIA sebaiknya melakukan pendekatan yang
berbeda untuk mengurangi kondisi mekanistik yang dihasilkan dari birokrasi dan
membuat kondisi organisasi lebih organik. Interaksi internal harian sebaiknya di
stimulasi agar meningkatkan keterlibatan dan kemauan karyawan terhadap
transfer teknologi. Selain itu, penyusunan, pembagian, dan pengaturan kekayaan
intelektual serta kebijakan insentif mungkin akan berpengaruh untuk
meningkatkan kemauan peneliti untuk membagi pengetahuan mereka dengan
karyawan BBIA dan IKM. Selain itu BBIA sebaiknya menerapkan dua tahap
teknologi transfer, yaitu menentukan siapa pengguna potensial dari teknologi dan
kemudian memastikan teknologi tersebut bias digunakan oleh IKM.
Kata kunci: transfer teknologi, komunikasi, komunikasi interorganisasi, birokrasi,
kolaborasi riset, komunikasi interpersonal
Copyright ©2015 by Bogor Agricultural University
All rights reserved
1. No part or all of this thesis excerpted without inclusion or mentioning the
sources
a. Excerption only for research and education use, writing for
scientific papers, reporting, critical writing or reviewing of a
problem
b. Excerption does not inflict a financial loss in the proper interest of
Bogor Agricultural University
2. No part or all of this thesis may be transmitted and reproduced in any form
without a written permission from Bogor Agricultural University
BRIDGING RESEARCH TO INDUSTRY: THE TECHNOLOGY
TRANSFER FROM COMMUNICATION PERSPECTIVE
(A CASE STUDY AT THE CENTRE FOR AGRO-BASED INDUSTRY)
ANINDITA RUMANTI DIBYONO
Thesis
Submitted to the Graduate School in Partial Fulfillment of
Master Of Science
Degree In
Agroindustrial Technology
GRADUATE SCHOOL
BOGOR AGRICULTURAL UNIVERSITY
BOGOR
2015
External Examiner: Elisa Anggraeni, S.TP, M.Sc
Thesis Tittle : Bridging Research to Industry: The Technology Transfer from
Communication Perspective (A Case Study at The Centre for Agrobased Industry)
Nama
: Aninditar Rumanti Dibyono
NRP
: F351137041
Approved by
Advisory Comitee
Prof Dr Ir Sukardi, MM
Prof. Dr. Ir. MAchfud, MS
Chairman
Member
Acknowledged by
Head of Study Program of
Agro Industrial Technology
Dean of Graduate School
Prof. Dr. Ir. Machfud, MS
Dr Ir Dahrul Syah, MScAgr
Exam Date: 09 June 2015
Submission Date:
ACKNOWLEDGEMENTS
Praise and gratitude to Allah Subhanahu wa Ta’ala, because of Him, the author
can complete this thesis, with the title of Bridging Research To Industry: The
Technology Transfer Process from Communication Perspective (A Case Study at
The Centre for Agro-based Industry) as a requirement to get a Master Degree in
Bogor Agricultural University (IPB).
The writer wants to say thank you, especially for Prof. Dr. Ir Sukardi, MM as a
chairman of the advisory committee, Prof. Dr. Ir. Machfud, MS as an advisory
committee member, and Dr Allan O’Connor as an advisor lecturer from
University of Adelaide whose gave positive criticisms and guidance to shape the
outlook of this thesis. This thesis is a product of continuous learning from the
author as it came as an approach using different paradigm in seeing the problem
existed in most research institution. Therefore, in this section the author would
like to express her gratitude and appreciation toward Dr. Barry Elsey, Dr. Allan
O’Connor, and Ms. Amina Omarova from The University of Adelaide and thank
them for their relentless guidance in writing so that it came up as a structured and
thorough thesis.
The author also would like to express her gratitude to mother and father, also for
Arie Pratama and Dipta, for being a supportive family, husband, and son. No
words can express how grateful she was for having you all. Thank you for the
patience and never ending love, support, and trust so that the author can finally
finish her thesis.
In this opportunity, the author would also like to express gratitude to all the
respondents who have taken their time to conduct an interview. Last but not the
least, the author would like to show her gratitude to double degree IPBKemenperin friends, namely Nuni, Karim, Tri, Benny, Andar, Farda, Iwan, Nur
Aini, Dwi, Syarifa, Aditya, Dickie, Ahmad Rudh, Koko, Danang, and Yani for the
togetherness and support throughout the years, especially when we all lived in
Adelaide.
Bogor, July 2015
Anindita Rumanti Dibyono
i
TABLE OF CONTENT
LIST OF FIGURES
ii
LIST OF TABLES
ii
LIST OF APPENDICES
ii
I INTRODUCTION
1
Introduction
1
Statement of the Problem
1
Background and Need
2
Purpose of the Study
3
Research Questions
3
Significance and Contribution to the Field
3
Limitation
4
II LITERATURE REVIEW
4
Indonesian R&D: in a glance
5
The Concept of Technology Transfer
6
Mechanism of Technology Transfer
6
Communication in technology Transfer Process
7
Summary
9
III METHODOLOGY
11
Introduction
11
Setting
11
Research Framework
11
Participants
13
Measuremet Instruments and Protocols
13
Data Analysis
14
IV RESULTS AND DISCUSSION
15
Results
15
Discussion
18
Action Plan and Strategies recommendation
23
V CONCLUSION
25
Conclusion
25
Recommendation
26
Implication
26
BIBLIOGRAPHY
Error! Bookmark not defined.
APPENDICES
Error! Bookmark not defined.
AUTOBIOGRAPHY
Error! Bookmark not defined.
ii
LIST OF FIGURES
Figure 1 Linear model of innovation process in Indonesia (source: (Mulyanto
2014))
Figure 2 The technology transfer flowchart (source: (WIPO 2002))
Figure 3 The Berlo’s model of communication (Narula 2006)
5
7
8
LIST OF TABLES
Table 1 The number of research done by CABI in 2010-2014 periodsa)
2
Table 2 List of data expected from the interviews
12
Table 3 CABI’s communication channels in the technology transfer process
15
Table 4 Organizational factors influencing communication in the technology
transfer process
16
Table 5 Interpersonal relationship influencing communication in the technology
transfer process
17
LIST OF APPENDICES
Appendix 1 List of Interview Question
Appendix 2 Example of the Interview Protocols given in each interviews
Appendix 3 Summary of Data Analysis from RQ1
Appendix 4 Summary of Data Analysis from RQ2
Appendix 5 Summary of Data Analysis from RQ3
Appendix 6 Respondent’s Background
32
33
34
37
39
40
1
I INTRODUCTION
Introduction
In the 21st century, countries throughout the world face the need to change
their focus on national strategic planning from a resource-based to a knowledgebased economy. There is a need to develop a system for improving science,
technology, and innovation because these intellectual properties are gradually
measured as capital (Cooke and Leydesdorff 2006). The strategy developed in this
process involve the institutional arrangement of academic-industry-governments
relations and is then called as Triple Helix System. By means of the system,
government and academia through their research centres and universities should
play a significant role in bringing innovative ideas and inventions to the business
(Etzkowitz and Leydesdorff 2000).
Many countries increasingly use public research as their broad strategies in
industrial development. Consequently, universities and public research institutions
(PRIs) become key institutions in the process of economy “catch-up”. As public
research conducted by PRIs and universities are increasingly needed, technology
transfer and commercialization become critical areas that must be studied to help
us understand how the process occurs (Salter and Martin 2001, Cohen et al. 2002,
Mazzoleni and Nelson 2007).
Based on a study conducted by Mulyanto (2014), it was shown that the
Indonesian R&D performance has relatively low research productivity. One of
them is R&D institution beneath the Ministry of Industry. As one of the research
institutions under the Ministry of Industry, the Centre for Agro-based Industry
(CABI) is responsible to conduct research with a focus on the agro-based
products. Up to recent years, the research at CABI still has a relatively low
application rate because most of the research were not commercially implemented
in the industry. The implication that comes from the small number of research
application in CABI is that it affects the performance and credibility of CABI as a
research centre in providing assistance and support to the SMEs.
This research focuses more on the communication and relationship that occur
during the technology transfer process in CABI, with the overarching questions of
what role does communication play in facilitating technology transfer in CABI.
This research is necessary to help users understand why the application of
research in CABI (to the SMEs) is still underperforming. By exploring factors that
influence the technology transfer, we will be able to determine the positive and
negative factors and use them to increase CABI’s performance.
Statement of the Problem
One of the missions that the research institution carries out is to produce
applicable research that can be commercialized. However, this is not an easy task
since there are several factors that contribute to successful technology transfer
(Bozeman et al. 2015). The particular problems that will become the main focus
of the research is the inefficient relationship that exists in the technology transfer
process, resulting in the underperforming technology transfer process of CABI’s
R&D.
2
Based on this problem statement, there are three identifiable problem areas
in this research: In the first place is the lack of clarity in the process of technology
transfer that often occur due to different perspectives and approaches to it. The
second issue is about the organizational structure that may influence the
hierarchical relationship and cultural change within the organization. And the
third issue is the organizational performance that occurs in the process of
technology transfer.
The increasing expectation to enhance R&D’s technology transfer and
commercialization from R&D institution has become the central issue in the
innovation process. Many studies are trying to analyse the effectiveness of the
technology transfer process (Bozeman 2000). Other key factors that affect this
process beside the policy are people and procedures/processes. This explains the
need to understand the performance of organizations in technology transfer
activity (O'Shea et al. 2005).
Background and Need
Public R&D is one of the essential aspects of the innovation system.
Therefore, commercialization and knowledge transfer should become the main
objective to be achieved. Even though many countries and emerging economies
may have different strategies, each still share the same concerns and priorities in
the governance of innovation system and policy. They also share the same
concern on the support to the SMEs in term of innovation and entrepreneurship
(OECD 2014).
In Indonesia, the R&D activities still have a relatively low productivity.
Based on their funding sources, Mulyanto (2014) mentions that the performance
of government-funded R&D institution display less performance than institution
with self-sufficient funding. Aside of that, there is also a challenge in technology
transfer, as it is found that the level of research collaboration between PRIs and
industry in Indonesia is still low (OECD 2014). CABI is one of research
institutions under Ministry of Industry. One of CABI’s tasks is to disseminate its
research and applied them to SMEs. However, though some attempts in the
technology transfer process has been done, the research conducted at CABI still
have low successful application rate to the SMEs.
Table 1 The number of research done by CABI in 2010-2014 periodsa)
Year
Research
Research
IP Right
Collaboration
Application
Granted
a)
2010
15
2
3
-
2011
22
3
3
2
2012
14
3
2
-
2013
15
4
2
1
2014
10
CABI’s internal report
7
-
-
3
Based on Table 1, the number of IP Rights that produced by CABI is very
low. In 2013, there are 10 researchs that conducted in CABI but only one that
managed to be patented. The research collaboration activities, however, seems to
increase each year. It indicates that CABI has put an attention to research
collaboration and started to have a market-demand approach to the creation of
research.
Nowadays, the application and use of scientific research is no longer
considered as a separate part from the study itself. PRIs are increasingly expected
to fulfil their “complementary mission”, which is transferring knowledge and
technology to the SMEs (OECD 2014). Consequently, it is becoming crucial for
CABI to adjust to this mission by adapting its policy and governance arrangement
of technology transfer process.
Purpose of the Study
The objectives of this research project, namely:
1. To identify the role of communication in the technology transfer process
that occurs in CABI
2. To suggest a strategy to maximize the number of CABI’s R&D application
to the SMEs.
These objectives are expected to provide CABI with the framework of technology
transfer process in order to achieve its missions. How to best harness their
strengths, overcome their weaknesses and create a sound framework for
technology transfer process at CABI.
Research Questions
In this research, there are three main research questions, which are:
1. What are the channels of communication used by CABI’s staff in the
technology transfer process?
2. How do organizational structures in CABI influence communication in the
technology transfer process?
3. How do interpersonal relationships in CABI influence communication in
the technology transfer process?
Significance and Contribution to the Field
Most of the studies in the technology transfer process usually limit their
focus to university research and emerging technologies. Only limited research
have been conducted in the technology transfer process that occurs in government
research institution. This research will reduce the gap on a limited study of
Indonesian R&D performance. In addition, the nature of PRIs under nonuniversity R&D is somewhat different from that of the universities, in terms of the
objectives given by the government and also their research funding sources. These
conditions will increase their flexibility to conduct the research (Mulyanto 2014).
PRIs might be less flexible in terms of technology transfer policies and might also
have less focus on gaining revenue through technology transfer and the
commercialization process compared to private R&D institution. This condition
has arisen due to the nature of PRIs that still have a dependency in the
4
government funding and policies (Lazear 1999).
Aside of that, there are also limited studies that investigate the process of
technology transfer that occurs in developing countries. The developing countries
are different from developed countries in many ways. Some of them are shown in
their weak innovation systems and low R&D intensity (UNESCO 2010). For
instances, most of the SMEs in developing countries are found to have capital
constraints, low human capabilities and low technological capabilities (Gibson
and Van der Vaart 2008, Tambunan 2008). All of these characteristics may make
the SMEs in developing economies to perform less R&D activities than PRIs and
therefore, make the need for technology transfer is higher than those in developed
countries.
Moreover, there are limited studies that concentrate in the commercialization
of agro-based product research. This locus of interest had a very dynamic progress
in innovation and technology development. The combination of agro product
characteristic such as perishable, seasonal, climate-influenced and scattered
production, may become barriers in the implementation of the technology to the
SMEs. Therefore, this research may be able to give some insight into other
government research institutions, particularly one that deals in the same fields of
agro-industrial development.
Limitation
There are several limitations that occur in this research project, namely:
1. This study does not examine in detail the psychological aspect that occurs
in the process of technology transfer. It might have an impact on the
entrepreneurial traits that exhibited by the researchers and SMEs. It might
also influence the perception of the researchers and the SMEs in seeing the
technology
2. The approach that this study uses does not include the motivation of
researchers that may affect the engagement of researcher in the technology
transfer process.
3. This study focuses more on the formal communication that occurs during
the technology transfer process. It did not concentrate in the informal
networking, how they relate using it in the absence of good formal
networking.This research has limitation on the data collected from
interview. There are seven participants consisting of four researchers, one
CABI’s marketing staff, and two SMEs. These data may cannot be
generalized for all SMEs. However, this study focuses more on the
condition within the CABI and less in the SMEs’ perspectives. As it is a
single case study, the result might only valid be for implementation in a
research organization that has a similar condition with CABI. Moreover,
the action plan and policy design may be needed to further create a better
condition for technology transfer at CABI.
5
II LITERATURE REVIEW
Indonesian R&D: in a glance
The economic challenge that the globalization brings has made many
businesses fail to thrive in the international market. To deal with this issue,
Indonesian Government has pay more attention in the productivity of governmentfunded research, in the hope that the technology transfer will support SMEs in
their innovation process (Mulyanto 2014). Research productivity in public
research institution (PRIs) has always become the concern of many nations as
loads of investment is given to the public R&D centre. People want to see that
their money is well spent and not wasted. Therefore, the pressure for PRIs to
produce applicable research is increasing (OECD 2014). Small number of
research application to the SMEs has long been the concern of CABI and this
study focuses on the communication that occurs during technology transfer
process in CABI. In the next section we will discuss about research areas that are
related to the statement of the problem mentioned in previous chapter.
Based on Mulyanto (2014), Public R&D Institutions (PRIs) in Indonesia are
categorized into 4 types which are: Universities; Non-Ministerial Government
Research Institution (GRI-NMs); Ministerial Research and Development
Agencies (R&D-Ms); and State-owned Enterprises R&D Agencies (R&D-SOs).
The linear model of innovation process in Indonesia as well as the role of each
type of PRIs can be seen in the Figure 1 below
Figure 1 Linear model of innovation process in Indonesia (source: (Mulyanto
2014))
The source of funding for these types of R&D institution is different. Universities
(State Universities) have source of funding that is primarily derived from market
mechanism and only small amount of them comes from government budgets;
GRI-NMs and R&D-Ms have source of funding that mainly derived from
government budget mechanism; and R&D-SOs are usually gathered its funding
sources from their self-sufficient internal funding (Mulyanto 2014). Research
activities in Indonesia are mainly funded by the government. Because of this,
there is a growing attention to the effectiveness and productivity of the research
system to make sure that the investment are well returned (Lakitan et al. 2012).
6
The Concept of Technology Transfer
Technology transfer is defined in many different ways, referring to the
purpose and discipline to which the research applies. This interdisciplinary
dimension of technology transfer allows the definition and concept of technology
transfer to be described from many perspectives. Most definitions of technology
transfer viewed technology as something that does not change during the transfer
process. One of the first definitions of technology transfer was introduced by
Rogers (2010), who describe technology transfer as a process of innovation
adoption that occurs between two organizations. In addition to that, Bozeman
(2000) describes technology transfer as:
“the processes by which ideas, proofs-of-concept, and prototypes move from
research-related to production-related phases of product development.”
However, other researcher studying the technology transfer process argue
that the technology transfer process is essentially a communication process. Autio
and Laamanen (1995) suggest that technology transfer is:
“ intentional, goal-oriented interaction between two or more social entities,
during which the pool of technological knowledge remains stable or increases
through the transfer of one or more components of technology.”
Both of the researcher see technology transfer as an interactive process
between two entities. Other definition of technology transfer is coming from
Rogers (2002) that sees technology transfer as
“a two-way, interactive process with messages flowing in both directions.”
It implies that in the process of technology transfer, individuals may become
a receptor organization if he actively seek for answers about their problem from
R&D organizations or other source of information.
Mechanism of Technology Transfer
Technology transfer and commercialization is a multidisciplinary area of
study and forms a complex system of networks. One study aims to understand the
connection between each involving factor of the technology transfer process and it
divides technology transfer into five factors, which are transfer agents; transfer
medium; transfer object; transfer recipient; and demand environment. (Bozeman,
Rimes, & Youtie, 2015).
Technology transfer arises via various channels of communication, both
public and personal, such as spin-off, licensing, publications, meetings or personto-person interaction, and, cooperatives R&D agreements (Rogers et al. 2001).
Aside of that, there are also informal/personal information exchange and
consulting (Cohen et al. 2002). Based on World Intellectual Property
Organizations (WIPO), there are three phases in technology transfer mechanism,
which are creation; protection; and exploitation, as shown on Figure 2.
7
Figure 2 The technology transfer flowchart (source: (WIPO 2002))
The success of research transfer depends on the very nature of its research
type and technology. Each field may have a different level of risk as well as
chance to be successfully implemented in the industry. The supporting policies
and regulation, organization, and market context may also be influential in the
technology transfer and commercialization process of research (Lowe, 1993;
Markman et al., 2008).
Communication in technology Transfer Process
Communication is a process of conveying information from one person to
another. Based on Merriam-Webster dictionary, the definition of communication
is:
“a process by which information is exchanged between individuals
through a common system of symbols, signs, or behavior; exchange
of information”
There are 3 types of communication. The first one is verbal communication
where the method to convey the message or information is oral. The second type
is written communication where the messages are conveyed by written words,
such as memos, emails, proposals, manuals, etc. The third type is the non verbal
communication that is often delivered through gestures and voice intonations.
Originally, communication categorized into two models, which are linear
model and non –linear model. In linear model, communication is seen as a simple
process that works more as a one way act where it usually happen vertical and not
cyclical two-way process. In the non-linear model, the communication comprises
into four most important elements, which are the concept of information,
feedback, network, and purposes. It emphasizes the importance of the
communication network in information sharing process (Narula 2006).
8
There are several theories of communication model offered by scholars.
Among the first is the communication model proposed by Shannon and Weaver.
In this model, they divide the communication into three primary parts, which are
a sender, channels, and a receiver. This model is originally used for mathematical
theory of communication, but due to its simplicity, generality, and quantifiability,
it became an attractive model to human communication and information theory.
However, as it is a mathematical communication theory, it did not take into
account the feedback given by the receiver during the process. The second
famously known model is a model proposed by Wilbur Schramm, which divided
the communication process into four parts, namely: Source (S), Message (M),
Channel (C), and Receiver (R), each with different factors that may affect the
communication process (Narula 2006). Below in Figure 3, we can see the factors
of Belo’s communication model:
Source
Encodes
Communication
skills
Attitudes
Knowledge
Social System
Culture
Message
Content
Elements
Treatment
Structure
Code
Channel
Hearing
Seeing
Touching
Smelling
Tasting
Decodes
Receiver
Communication
skills
Attitudes
Knowledge
Social System
Culture
Figure 3 The Berlo’s model of communication (Narula 2006)
Communication has been found to be one of the most essential factor in the
success of technology transfer (Williams and Gibson 1990, Kremic 2003). With
uncertainty and complexity that follows the technology transfer process, the
increasing expectation in enhancing technology transfer from R&D institution had
become one of the issues in the innovation process. During the technology
transfer process, there are two communication linkage that are important to the
successful process of technology transfer. These factors comprise functional
linkages between the internal organization and its networks linkage with other
organizations. Both linkages are correlated to the communication patterns that
exist in the organization and play an important role in understanding the value of
intangible organizational assets. (Tidd 2001, Ritter 2003, Hargie and Tourish
2009).
According to Allen (1984), internal communication within the organization
is very important in technology transfer since it can help increase technical
performance of the technology being transferred. There are two criteria in
choosing communication channels. The first one is accessibility, which reflects
how easy it is to contact and approach the channel. The second criteria is technical
ability, which reflect the reliability of the channel in generating information. Each
9
criterion is equally important in communication and is chosen based on the
individuals’ perception towards his environment.
Within each organization, there are two types of organizational structure and
its communication, which are formal and informal organizations. Formal
organizations represent the organizational design and occurs in a form of
hierarchy, regulations, rules, and formal communication. Aside of that, there is
also an informal organization. An informal organization often indicates the actual
system of how the organization works. This informal organization is not designed
by the management and it exists through informal communication and
arrangements, based mainly on personal relationships and norms (Eunson 2005).
Government agencies are known for the bureaucracy and hierarchy that exist
within the organization. The issues that often occurs in this type of organization
are the presence of deep bureaucratic structures, weak change culture, and highpowered incentives. This kind of company tends to be internally focused and has a
slow response to the market changes (Teece 1996).
The technology transfer conducted by government research institution
usually differs than of the corporation technology transfer in term of motives and
method. Government agencies perform technology transfer as an obligation to the
legal mandates that are given to them and often these motives do not well-disperse
within the organization. It makes the research output from government R&D
laboratories is rarely at the level desired by the firms. Aside of that, the
technology transfer conducted by government agencies are intended to be widely
disseminated to as many SMEs as possible. That is why the methods used in the
process are very general and “distant” (Kremic 2003).
In addition, the presence of particular independent organization that
handles commercialization process is important to foster the relationship between
the university and the industry in technology transfer and commercialization.
Liaison offices or units are needed because not all of the researchers have the
ability in marketing and management area, all of which are important in the
commercialization of research. Furthermore, other factors such as the existence of
well-defined incentive policy also give researchers good motivation to
commercialize their ideas (Debackere and Veugelers 2005, Raine and Beukman
2002).
It is important to gain commitment from upper management in the process
of technology transfer. _ENREF_27Siegel et al. (2003) suggest that the
productivity of the institution in technology transfer depend on the organizational
practices, with the most critical organizational factors that occurs in universityindustry technology transfer (UITT), which are rewards systems, compensation
and HRD systems on TTO, and action taken by management to terminate
informational and cultural barriers. Full support from management is essential in
the development of a suitable structure for the technology transfer process (Lam
2011).
Summary
Based on all of the above reviews, it can be concluded that technology
transfer is an interactive process, and the communication become the critical
factor that are affecting the technology transfer process. Inadequate attention to
10
the communication process will affect the effectiveness of the technology transfer
process. Aside of that, organizational factors and interpersonal relationship is also
important in the process of technology transfer as both can affect the
communication pattern that exist in the inter-organizational and intraorganizational linkage.
Nonetheless, limited studies in government technology transfer process that
deal with agro-industrial development, particularly ones in developing countries
create a gap with previous research studies. Therefore, this research attempts to
investigate further about the technology transfer process from the perspective of
communication process in the hope that it may be able to give some insight into
other government research institutions, particularly one that deals in the same
fields of agro-industrial development.
11
III METHODOLOGY
Introduction
As stated in the previous chapter, in order for the research institution to be
well performed in R&D activities, it should be able to effectively deliver
applicable research and being actively involved in innovation system. In the
current state of CABI’s research section, the implementation of research to the
industry is still considered low. Therefore, there is an attempt to increase the
performance of CABI’s R&D using an effective technology transfer process.
This chapter focuses on the design and methodology of this research project,
how to collect and analyse the data, and provide answers to the research questions
mentioned above. In order to holistically understand the phenomenon that occurs
in a real-life event, this study uses a descriptive single-case study approach. A
case study is often used as a tool in social science to describe a complex process
or phenomena. This approach helps the researcher to obtain the whole
characteristic and pattern that occurs in real- life event (Yin 2013). Even so, the
researcher also aware of the limitation that occurs in case study approach. A case
study approach can only provide a limited basis for scientific generalization
because it is only specific to the environment of the sample being investigate.
Aside from that, the other limitation that occurs is the theoretical framework that
is being used in the case study that often builds a specific perspective for the
researcher to see the phenomenon (Yin 2013).
Setting
This study was conducted in Bogor Regency, with Centre for Agro-based
Industry (CABI) as a case study. CABI is one of research institutions under The
Ministry of Industry that provides research and technical services to the industrial
community, particularly agro-industry community.
CABI’s organizational structure consists of one director that supervises the
entire organization with the help of five division heads. There are five divisions in
CABI’s organization, which are: HRD and Administration Division, Technical
Service Development Division, Research and Standardization Division,
Competency Development and Technology Transfer Division, and Testing,
Certification, and Calibration Division. Each division has specifics task, serves to
increase the institution’s research quality and public services.
Research Framework
This study applies a case study approach and the data collection is gained through
interviews and CABI’s annual report. The framework for the research can be seen
in this Figure 4 below:
12
Figure 4 Research framework
The data expected to collect during the interviews are shown below:
Table 2 List of data expected from the interviews
Research Questions
Data Expected
What are the channels of
•List of communication channels
communication used by
used by CABI’s staff in the
CABI’s staff in the technology
technology transfer process.
transfer process?
•List of communication channels
perceived by the SMEs in the
technology transfer process.
•Issues
arising
from
the
communication process that
occur during the process of
technology transfer
How do organizational
•Current condition regarding the
structures in CABI influence
procedures in technology
communication in the
transfer process
technology transfer process?
•Relationship between divisions
involved In the technology
transfer process
How do inter-personal
•Relationship
between
relationship in CABI influence
individuals involved In the
communication in the
technology transfer process
technology transfer process?
Sources
•CABI’s
staff
•SMEs
•CABI’s
staff
•CABI’s
staff
13
The data expected during the interview (Table 3) will provide the scope of the
research and each of them then translated to interview question lists
Participants
Sampling
This study seeks to explain about the current situation in the technology
transfer process and understand better about its performance. Based on this
reason, the sampling approach that is chosen in this study is single case study with
interviews as a way to collect the data. Yin (2013) mentions that case study allows
researchers to explore complex social phenomena holistically. The participants are
chosen using purposive sampling. All of the respondents are chosen for their
experience in technology transfer process. The researchers and staff are chosen
based on their activities in delivering research result to the SMEs, while the SMEs
are chosen based on their current experience in research collaboration with CABI.
Participant Descriptions
There are seven participants that involved in this study as respondents. Four
researchers and two officers are from the CABI whereas two other respondents
are from the SMEs. These four researchers are chosen out of eighteen researchers
because of their experience in technology transfer. Currently, their research
projects are chosen in science park projects funded by government. The aim of the
project is to build a scale up version of the research. Each of their experience will
be explained more in the appendices. One other of CABI’s respondent is a head
section of marketing division and he is responsible in the research dissemination
program. Two other respondents are from SMEs’ side, and both of them are
selected for their experience and involvement in contract research.
Measuremet Instruments and Protocols
Measurement instrument being used in this study is the interview question
list. The data were collected through a semi-structured interview where 6 sets of
open-ended main questions and 11 subset of questions were prepared. Semistructured interview was chosen to explore new ideas and perspectives that might
be brought up by the interviewees during the interview. This method allows the
researcher to probe the information and clarification provide by the interviewee’s
answers. (Louise Barriball and While 1994).
In this research, interview results become the main data source, with
secondary data comes from observation, reports, and other legal documents.
Specific topics and themes were chosen to provide guidelines for the interview.
Total of 8 interviews are conducted for 45-60 minutes. Face to face interviews and
international phone calls are arranged for the interview, followed up by emails
and text messages. In the interview process, there were two respondents that
interviewed at the same time and place. The reason for this was they were only
willing to participate if they were interviewed together.
14
Data Analysis
The first step in data analysis is the preparation of data. In this stage, the
data obtained through notes and recording then transcribed verbatim. After that,
initial reading then administered to the transcribed interview to get insights and
understandings of a phenomenon that emerged from the data. In this stage, the
data started to be coded and then categorized based on themes that emerge. Next,
themes that are being produced from the coding stage then identified and clustered
based on the research questions. The last stage is the translation of data from
Indonesian language to English. The translation has been kept to the last stage to
avoid misperception and misinterpretation.
15
IV RESULTS AND DISCUSSION
This study attempts to elaborate the condition that exist in technology
transfer activities at CABI with special concern to the communication perspective.
In this study, the researcher tries to investigate how the communication affects the
technology transfer process in Indonesian government research institution, with a
case study at CABI. Using methodology mentioned in the previous chapter, this
study has collected data through interviews. During the interviews, it is found that
communication is influential in the success of technology transfer, with both
organizational factors and interpersonal relationship is affecting the internal
communication linkage. This chapter is dedicated to report and discuss the finding
generated from the analysis.
Results
Based on the data analysis, there are several themes that emerge during the
interviews. Those themes then categorized based on research questions. The
finding of this study can be seen in the table below:
Table 3 CABI’s communication channels in the technology transfer process
RQ1. What are channels of communication used by CABI’s staff in the technology transfer
process?
Researcher
Channels
Cited
Sample text
Seminar/Workshop 3
“The promotion is done by dissemination, seminar, exhibition…”
(R3)
Exhibition
3
“…By exhibition we can display our research products to
advertise our institution, what is important is to make CABI
known by the SMEs” (R3)
CABI’s website
1
“..we can also use CABI’s website. In the website, we’ve
uploaded our research abstract, but unfortunately many SMEs do
not know it..” (R2)
“Client
hunting” 4
“…Starting this year, marketing section invite me to join their
program
program to visit the industry…we promote our services, including
R&D services…” (R2)
Research
4
“..involved in research dissemination and promotional activities of
dissemination
research services” (R5)
Forum
group 1
“..in FGD and research dissemination, SMEs’s problems usually
Discussion (FGD)
fastly handled because they can consult straight to the researcher
itself” (R1)
Free trial offer
2
“..for small industries, what matter is whether the technology is
free or not. If it is free and he/she can increase the product quality,
he/she will gladly accept the offer” (R3)
Scientific
4
“a research must also be able to write as a scientific publication
publication
for publication interest” (R2)
Leaflet/ Brochures 1
“research result can also be made as leaflet as a promotion to
SMEs” (R4)
Research
4
“in 2013, there are research collaboration with Ministry of
collaboration
Research and Technology (MoRT) and PT. Tama Coklat…” (R2)
Table 3 CABI’s communication channels in the technology transfer process
(Cont.)
16
RQ1. What are channels of communication used by CABI’s staff in the technology transfer
process?
SMEs
Channels
Cited
Sample text
Seminar/Workshop 2
“the second time is when I was invited to cocoa convention in
Bogor. One of the speaker is CABI director” (SM1)
Research
2
“I have had a research collaboration with CABI about coffee from
Collaboration
dates seeds” (SM2)
Consultation
2
“The idea came from me. It occurs because I saw my housemaid
services
throwing kilos of dates seeds and I wonder whether we can make
something from it and not just waste it away …then I came to
CABI and consult about it, we agree to make some research on
it…” (SM2)
Based on Table 3, the analysis of interviews suggests that there are ten
communication channels used by CABI’s staffs in the technology transfer
process. All of them represent the attempt CABI has made to introduce research to
the SMEs. However, from the perspective of SMEs, they mentioned only three
channels of communication that lead them to the technology transfer process.
Those are seminars/workshops; research collaborations; and consultation services.
The latter is perceived by the SME as a way of how they know about CABI’s
R&D services for the first time.
Table 4 Organizational factors influencing communication in the technology
transfer process
RQ2. How do organizational structures in CABI influence communication in the
technology transfer process?
Researcher
Organizational
Cited Sample text
factors
No
SOP
for 3
“..there should be collaboration. It seems that there is no
technology
standard procedure on it….the research itself comes from
transfer process
R&D section while the commercialization, promotion, and
marketing technology are the responsibility of Technical
Services Division; and Competency Development and
Technology Transfer Division. They work individually…
(R1)
Three
sections 3
“..R&D collaboration and consultation deals with SMEs
have
an
and they have overlapping tasks…relationship and
overlapping task
internal communication in technology transfer still
and function
“knotty”..” (R2)
Bureaucratic
1
“For the institution, I think it will be difficult since it
characteristic
involving regulations and laws that is being made by the
government not by us…Every time we need to test our
product, we have to go through the same regulation with
other company and it takes some time to finish. This
condition is sometimes difficult to be understood by the
SMEs..” (R2)
Table 4 Organizational factors influencing
TRANSFER FROM COMMUNICATION PERSPECTIVE
(A CASE STUDY AT THE CENTRE FOR AGRO-BASED INDUSTRY)
ANINDITA RUMANTI DIBYONO
GRADUATE SCHOOL
BOGOR AGRICULTURAL UNIVERSITY
BOGOR
2015
DECLARATION OF THESIS, SOURCES OF INFORMATION
AND DELEGATION OF COPYRIGHT
I hereby declare that the thesis entitled “Bridging Research to Industry:
The Technology Transfer from Communication Perspective (A Case Study at
The Centre for Agro-based Industry” is my original work produced through the
guidance of my academic advisors and that to the best of my knowledge. This
thesis also presented for the award of a degree in The University of Adelaide as a
double degree program between Bogor Agricultural University and The
University of Adelaide. All of the incorporated material originated from other
published or unpublished papers are stated clearly in the text as well as in the
bibliography.
I hereby delegate the copyright of my paper to the Bogor Agricultural
University.
Bogor, July 2015
Anindita Rumanti Dibyono
NRP. F351137041
SUMMARY
Anindita Rumanti Dibyono, 2015. Bridging Research To Industry: The
Technology Transfer From Communication Perspective (A Case Study At The
Centre For Agro-Based Industry). (Sukardi, Chairman and Machfud, Member
of Advisory Committee).
In the 21st century, countries throughout the world face the need to change
their focus on national strategic planning from a resource-based to a knowledgebased economy. Many countries increasingly use public research to generate
economic benefit from the technological opportunity and use public research as
their broad strategies in industrial development. Consequently, universities and
public research institutions (PRIs) become key institutions in the process of
economy “catch-up”. As public research conducted by PRIs and universities are
increasingly needed, technology transfer and commercialization become critical
areas that must be studied to help us understand how the process occurs.
As one of the research institutions under the Ministry of Industry, the Centre
for Agro-based Industry (CABI) is responsible to conduct research with a focus
on the agro-based products. However, the research at CABI still have a relatively
low application rate because most of the research were not commercially
implemented in the industry. This research project aims to identify the role of
communication in the technology transfer process that occurs in CABI and to
suggest a way to maximize the number of CABI’s R&D application to the SMEs.
The research uses a case study strategy, with an interpretive approach.
Data collection method uses semi-structured interviews with respondents consist
of CABI’s researchers and staff and SMEs. The data were analyzed by coding
method. The result shows that there are ten communication channels used by
CABI’s staff in technology transfer, namely: research collaboration; scientific
publication; research dissemination; “client hunting” program; CABI’s events
such as seminar and workshop; exhibition; free trial offer; leaflets or brochures;
and Forum Group Discussion. It implies that the bureaucratic characteristic of
CABI makes the organization not flexible in their internal communication and in
their response to the market and it eventually effects the technology transfer
process. The results also show that the interpersonal relationship between staffs
in CABI seems to create a set of barriers in the technology transfer process.
The research conclude that to deal with these problems, CABI must take
different approach to make its mechanistic organization more organic and
encourage daily internal interactions between staffs to increase their engagement
toward their job and organization. Moreover, a set of intellectual property (IP)
arrangement and incentives policy may avert the reluctance of the researcher in
sharing his/her knowledge to other staffs. In term of communication channels.
CABI must implement two phase of technology transfer process. The first step is
to narrowing down the potential users and focus on one or two of them, and then
CABI must maintain a good interactive process with the SMEs to make sure that
their technology meets the need and capacity of the SMEs.
Keywords: technology transfer, communication, organizational structure,
bureaucracy, research collaboration, interpersonal relationship
RINGKASAN
Anindita Rumanti Dibyono, 2015. Menjembatani Riset kepada Industri:
TRansfer Teknologi dari Perspektif Komunikasi (Studi Kasus di Balai Besar
INdustri Agro). (Sukardi, Ketua Komite Dosen Pembimbing and Machfud,
Anggota Komite Dosen Pembimbing)
Dalam era globalisasi ini, banyak negara mulai menggunakan institusi riset
publik sebagai bagian dari perencanaan strategik mereka untuk meningkatkan
perekonomian. Lembaga riset public dan universitas menjadi salah satu institusi
kunci dalam pengembangan teknologi industri, terutama bagi Industri Kecil dan
Menengah (IKM), dengan kegiatan transfer teknologi dan komersialisasi riset
mereka menjadi fokus utama. Dua kegiatan tersebut menjadi salah satu area kritis
yang harus bisa dikembangkan oleh lembaga riset di Indonesia agar riset-riset
yang dilakukan bersifat tepat guna.
Balai Besar Industri Agro (BBIA), sebagai salah satu institusi riset dan
pengembangan dibawah Kementerian Perindustrian memiliki tanggung jawab
untuk melaksanakan riset dengan fokus kepada produk produk agroindustri. Akan
tetapi, sampai saat ini riset-riset yang dihasilkan oleh BBIA masih memiliki
tingkat aplikasi yang relatif kurang efektif. Penelitian ini bertujuan untuk
mengindentifikasi peranan komunikasi dalam kegiatan transfer teknologi yang
dilakukan di BBIA untuk selanjutnya merumuskan rekomendasi dan strategi
untuk meningkatkan jumlah aplikasi riset dari BBIA ke IKM.
Penelitian ini menggunakan metode studi kasus dengan pendekatan
interpretatif. Data dikumpulkan menggunakan wawancara semi terstruktur dengan
responden yang berasal dari peneliti dan staff BBIA serta pelaku industri (IKM).
Hasil menunjukkan bahwa ada sepuluh jalur komunikasi antara BBIA dan
IKM, yaitu: Kolaborasi riset; Publikasi ilmiah; Diseminasi riset; Program “client
hunting”; Seminar dan workshop; Pameran; Penawaran Uji-Coba gratis; Brosur
dan leaflet; serta Forum Group Discussion (FGD). Dalam penelitian ini terlihat
bahwa karakter birokratik dari BBIA sebagai suatu lembaga penelitian pemerintah
membuat organisasi tidak fleksibel dalam komunikasi internal dan merespon
perubahan yang terjadi dipasar, dan pada akhirnya kondisi tersebut menghambat
proses transfer teknologi.
Untuk mengatasi hal tersebut, BBIA sebaiknya melakukan pendekatan yang
berbeda untuk mengurangi kondisi mekanistik yang dihasilkan dari birokrasi dan
membuat kondisi organisasi lebih organik. Interaksi internal harian sebaiknya di
stimulasi agar meningkatkan keterlibatan dan kemauan karyawan terhadap
transfer teknologi. Selain itu, penyusunan, pembagian, dan pengaturan kekayaan
intelektual serta kebijakan insentif mungkin akan berpengaruh untuk
meningkatkan kemauan peneliti untuk membagi pengetahuan mereka dengan
karyawan BBIA dan IKM. Selain itu BBIA sebaiknya menerapkan dua tahap
teknologi transfer, yaitu menentukan siapa pengguna potensial dari teknologi dan
kemudian memastikan teknologi tersebut bias digunakan oleh IKM.
Kata kunci: transfer teknologi, komunikasi, komunikasi interorganisasi, birokrasi,
kolaborasi riset, komunikasi interpersonal
Copyright ©2015 by Bogor Agricultural University
All rights reserved
1. No part or all of this thesis excerpted without inclusion or mentioning the
sources
a. Excerption only for research and education use, writing for
scientific papers, reporting, critical writing or reviewing of a
problem
b. Excerption does not inflict a financial loss in the proper interest of
Bogor Agricultural University
2. No part or all of this thesis may be transmitted and reproduced in any form
without a written permission from Bogor Agricultural University
BRIDGING RESEARCH TO INDUSTRY: THE TECHNOLOGY
TRANSFER FROM COMMUNICATION PERSPECTIVE
(A CASE STUDY AT THE CENTRE FOR AGRO-BASED INDUSTRY)
ANINDITA RUMANTI DIBYONO
Thesis
Submitted to the Graduate School in Partial Fulfillment of
Master Of Science
Degree In
Agroindustrial Technology
GRADUATE SCHOOL
BOGOR AGRICULTURAL UNIVERSITY
BOGOR
2015
External Examiner: Elisa Anggraeni, S.TP, M.Sc
Thesis Tittle : Bridging Research to Industry: The Technology Transfer from
Communication Perspective (A Case Study at The Centre for Agrobased Industry)
Nama
: Aninditar Rumanti Dibyono
NRP
: F351137041
Approved by
Advisory Comitee
Prof Dr Ir Sukardi, MM
Prof. Dr. Ir. MAchfud, MS
Chairman
Member
Acknowledged by
Head of Study Program of
Agro Industrial Technology
Dean of Graduate School
Prof. Dr. Ir. Machfud, MS
Dr Ir Dahrul Syah, MScAgr
Exam Date: 09 June 2015
Submission Date:
ACKNOWLEDGEMENTS
Praise and gratitude to Allah Subhanahu wa Ta’ala, because of Him, the author
can complete this thesis, with the title of Bridging Research To Industry: The
Technology Transfer Process from Communication Perspective (A Case Study at
The Centre for Agro-based Industry) as a requirement to get a Master Degree in
Bogor Agricultural University (IPB).
The writer wants to say thank you, especially for Prof. Dr. Ir Sukardi, MM as a
chairman of the advisory committee, Prof. Dr. Ir. Machfud, MS as an advisory
committee member, and Dr Allan O’Connor as an advisor lecturer from
University of Adelaide whose gave positive criticisms and guidance to shape the
outlook of this thesis. This thesis is a product of continuous learning from the
author as it came as an approach using different paradigm in seeing the problem
existed in most research institution. Therefore, in this section the author would
like to express her gratitude and appreciation toward Dr. Barry Elsey, Dr. Allan
O’Connor, and Ms. Amina Omarova from The University of Adelaide and thank
them for their relentless guidance in writing so that it came up as a structured and
thorough thesis.
The author also would like to express her gratitude to mother and father, also for
Arie Pratama and Dipta, for being a supportive family, husband, and son. No
words can express how grateful she was for having you all. Thank you for the
patience and never ending love, support, and trust so that the author can finally
finish her thesis.
In this opportunity, the author would also like to express gratitude to all the
respondents who have taken their time to conduct an interview. Last but not the
least, the author would like to show her gratitude to double degree IPBKemenperin friends, namely Nuni, Karim, Tri, Benny, Andar, Farda, Iwan, Nur
Aini, Dwi, Syarifa, Aditya, Dickie, Ahmad Rudh, Koko, Danang, and Yani for the
togetherness and support throughout the years, especially when we all lived in
Adelaide.
Bogor, July 2015
Anindita Rumanti Dibyono
i
TABLE OF CONTENT
LIST OF FIGURES
ii
LIST OF TABLES
ii
LIST OF APPENDICES
ii
I INTRODUCTION
1
Introduction
1
Statement of the Problem
1
Background and Need
2
Purpose of the Study
3
Research Questions
3
Significance and Contribution to the Field
3
Limitation
4
II LITERATURE REVIEW
4
Indonesian R&D: in a glance
5
The Concept of Technology Transfer
6
Mechanism of Technology Transfer
6
Communication in technology Transfer Process
7
Summary
9
III METHODOLOGY
11
Introduction
11
Setting
11
Research Framework
11
Participants
13
Measuremet Instruments and Protocols
13
Data Analysis
14
IV RESULTS AND DISCUSSION
15
Results
15
Discussion
18
Action Plan and Strategies recommendation
23
V CONCLUSION
25
Conclusion
25
Recommendation
26
Implication
26
BIBLIOGRAPHY
Error! Bookmark not defined.
APPENDICES
Error! Bookmark not defined.
AUTOBIOGRAPHY
Error! Bookmark not defined.
ii
LIST OF FIGURES
Figure 1 Linear model of innovation process in Indonesia (source: (Mulyanto
2014))
Figure 2 The technology transfer flowchart (source: (WIPO 2002))
Figure 3 The Berlo’s model of communication (Narula 2006)
5
7
8
LIST OF TABLES
Table 1 The number of research done by CABI in 2010-2014 periodsa)
2
Table 2 List of data expected from the interviews
12
Table 3 CABI’s communication channels in the technology transfer process
15
Table 4 Organizational factors influencing communication in the technology
transfer process
16
Table 5 Interpersonal relationship influencing communication in the technology
transfer process
17
LIST OF APPENDICES
Appendix 1 List of Interview Question
Appendix 2 Example of the Interview Protocols given in each interviews
Appendix 3 Summary of Data Analysis from RQ1
Appendix 4 Summary of Data Analysis from RQ2
Appendix 5 Summary of Data Analysis from RQ3
Appendix 6 Respondent’s Background
32
33
34
37
39
40
1
I INTRODUCTION
Introduction
In the 21st century, countries throughout the world face the need to change
their focus on national strategic planning from a resource-based to a knowledgebased economy. There is a need to develop a system for improving science,
technology, and innovation because these intellectual properties are gradually
measured as capital (Cooke and Leydesdorff 2006). The strategy developed in this
process involve the institutional arrangement of academic-industry-governments
relations and is then called as Triple Helix System. By means of the system,
government and academia through their research centres and universities should
play a significant role in bringing innovative ideas and inventions to the business
(Etzkowitz and Leydesdorff 2000).
Many countries increasingly use public research as their broad strategies in
industrial development. Consequently, universities and public research institutions
(PRIs) become key institutions in the process of economy “catch-up”. As public
research conducted by PRIs and universities are increasingly needed, technology
transfer and commercialization become critical areas that must be studied to help
us understand how the process occurs (Salter and Martin 2001, Cohen et al. 2002,
Mazzoleni and Nelson 2007).
Based on a study conducted by Mulyanto (2014), it was shown that the
Indonesian R&D performance has relatively low research productivity. One of
them is R&D institution beneath the Ministry of Industry. As one of the research
institutions under the Ministry of Industry, the Centre for Agro-based Industry
(CABI) is responsible to conduct research with a focus on the agro-based
products. Up to recent years, the research at CABI still has a relatively low
application rate because most of the research were not commercially implemented
in the industry. The implication that comes from the small number of research
application in CABI is that it affects the performance and credibility of CABI as a
research centre in providing assistance and support to the SMEs.
This research focuses more on the communication and relationship that occur
during the technology transfer process in CABI, with the overarching questions of
what role does communication play in facilitating technology transfer in CABI.
This research is necessary to help users understand why the application of
research in CABI (to the SMEs) is still underperforming. By exploring factors that
influence the technology transfer, we will be able to determine the positive and
negative factors and use them to increase CABI’s performance.
Statement of the Problem
One of the missions that the research institution carries out is to produce
applicable research that can be commercialized. However, this is not an easy task
since there are several factors that contribute to successful technology transfer
(Bozeman et al. 2015). The particular problems that will become the main focus
of the research is the inefficient relationship that exists in the technology transfer
process, resulting in the underperforming technology transfer process of CABI’s
R&D.
2
Based on this problem statement, there are three identifiable problem areas
in this research: In the first place is the lack of clarity in the process of technology
transfer that often occur due to different perspectives and approaches to it. The
second issue is about the organizational structure that may influence the
hierarchical relationship and cultural change within the organization. And the
third issue is the organizational performance that occurs in the process of
technology transfer.
The increasing expectation to enhance R&D’s technology transfer and
commercialization from R&D institution has become the central issue in the
innovation process. Many studies are trying to analyse the effectiveness of the
technology transfer process (Bozeman 2000). Other key factors that affect this
process beside the policy are people and procedures/processes. This explains the
need to understand the performance of organizations in technology transfer
activity (O'Shea et al. 2005).
Background and Need
Public R&D is one of the essential aspects of the innovation system.
Therefore, commercialization and knowledge transfer should become the main
objective to be achieved. Even though many countries and emerging economies
may have different strategies, each still share the same concerns and priorities in
the governance of innovation system and policy. They also share the same
concern on the support to the SMEs in term of innovation and entrepreneurship
(OECD 2014).
In Indonesia, the R&D activities still have a relatively low productivity.
Based on their funding sources, Mulyanto (2014) mentions that the performance
of government-funded R&D institution display less performance than institution
with self-sufficient funding. Aside of that, there is also a challenge in technology
transfer, as it is found that the level of research collaboration between PRIs and
industry in Indonesia is still low (OECD 2014). CABI is one of research
institutions under Ministry of Industry. One of CABI’s tasks is to disseminate its
research and applied them to SMEs. However, though some attempts in the
technology transfer process has been done, the research conducted at CABI still
have low successful application rate to the SMEs.
Table 1 The number of research done by CABI in 2010-2014 periodsa)
Year
Research
Research
IP Right
Collaboration
Application
Granted
a)
2010
15
2
3
-
2011
22
3
3
2
2012
14
3
2
-
2013
15
4
2
1
2014
10
CABI’s internal report
7
-
-
3
Based on Table 1, the number of IP Rights that produced by CABI is very
low. In 2013, there are 10 researchs that conducted in CABI but only one that
managed to be patented. The research collaboration activities, however, seems to
increase each year. It indicates that CABI has put an attention to research
collaboration and started to have a market-demand approach to the creation of
research.
Nowadays, the application and use of scientific research is no longer
considered as a separate part from the study itself. PRIs are increasingly expected
to fulfil their “complementary mission”, which is transferring knowledge and
technology to the SMEs (OECD 2014). Consequently, it is becoming crucial for
CABI to adjust to this mission by adapting its policy and governance arrangement
of technology transfer process.
Purpose of the Study
The objectives of this research project, namely:
1. To identify the role of communication in the technology transfer process
that occurs in CABI
2. To suggest a strategy to maximize the number of CABI’s R&D application
to the SMEs.
These objectives are expected to provide CABI with the framework of technology
transfer process in order to achieve its missions. How to best harness their
strengths, overcome their weaknesses and create a sound framework for
technology transfer process at CABI.
Research Questions
In this research, there are three main research questions, which are:
1. What are the channels of communication used by CABI’s staff in the
technology transfer process?
2. How do organizational structures in CABI influence communication in the
technology transfer process?
3. How do interpersonal relationships in CABI influence communication in
the technology transfer process?
Significance and Contribution to the Field
Most of the studies in the technology transfer process usually limit their
focus to university research and emerging technologies. Only limited research
have been conducted in the technology transfer process that occurs in government
research institution. This research will reduce the gap on a limited study of
Indonesian R&D performance. In addition, the nature of PRIs under nonuniversity R&D is somewhat different from that of the universities, in terms of the
objectives given by the government and also their research funding sources. These
conditions will increase their flexibility to conduct the research (Mulyanto 2014).
PRIs might be less flexible in terms of technology transfer policies and might also
have less focus on gaining revenue through technology transfer and the
commercialization process compared to private R&D institution. This condition
has arisen due to the nature of PRIs that still have a dependency in the
4
government funding and policies (Lazear 1999).
Aside of that, there are also limited studies that investigate the process of
technology transfer that occurs in developing countries. The developing countries
are different from developed countries in many ways. Some of them are shown in
their weak innovation systems and low R&D intensity (UNESCO 2010). For
instances, most of the SMEs in developing countries are found to have capital
constraints, low human capabilities and low technological capabilities (Gibson
and Van der Vaart 2008, Tambunan 2008). All of these characteristics may make
the SMEs in developing economies to perform less R&D activities than PRIs and
therefore, make the need for technology transfer is higher than those in developed
countries.
Moreover, there are limited studies that concentrate in the commercialization
of agro-based product research. This locus of interest had a very dynamic progress
in innovation and technology development. The combination of agro product
characteristic such as perishable, seasonal, climate-influenced and scattered
production, may become barriers in the implementation of the technology to the
SMEs. Therefore, this research may be able to give some insight into other
government research institutions, particularly one that deals in the same fields of
agro-industrial development.
Limitation
There are several limitations that occur in this research project, namely:
1. This study does not examine in detail the psychological aspect that occurs
in the process of technology transfer. It might have an impact on the
entrepreneurial traits that exhibited by the researchers and SMEs. It might
also influence the perception of the researchers and the SMEs in seeing the
technology
2. The approach that this study uses does not include the motivation of
researchers that may affect the engagement of researcher in the technology
transfer process.
3. This study focuses more on the formal communication that occurs during
the technology transfer process. It did not concentrate in the informal
networking, how they relate using it in the absence of good formal
networking.This research has limitation on the data collected from
interview. There are seven participants consisting of four researchers, one
CABI’s marketing staff, and two SMEs. These data may cannot be
generalized for all SMEs. However, this study focuses more on the
condition within the CABI and less in the SMEs’ perspectives. As it is a
single case study, the result might only valid be for implementation in a
research organization that has a similar condition with CABI. Moreover,
the action plan and policy design may be needed to further create a better
condition for technology transfer at CABI.
5
II LITERATURE REVIEW
Indonesian R&D: in a glance
The economic challenge that the globalization brings has made many
businesses fail to thrive in the international market. To deal with this issue,
Indonesian Government has pay more attention in the productivity of governmentfunded research, in the hope that the technology transfer will support SMEs in
their innovation process (Mulyanto 2014). Research productivity in public
research institution (PRIs) has always become the concern of many nations as
loads of investment is given to the public R&D centre. People want to see that
their money is well spent and not wasted. Therefore, the pressure for PRIs to
produce applicable research is increasing (OECD 2014). Small number of
research application to the SMEs has long been the concern of CABI and this
study focuses on the communication that occurs during technology transfer
process in CABI. In the next section we will discuss about research areas that are
related to the statement of the problem mentioned in previous chapter.
Based on Mulyanto (2014), Public R&D Institutions (PRIs) in Indonesia are
categorized into 4 types which are: Universities; Non-Ministerial Government
Research Institution (GRI-NMs); Ministerial Research and Development
Agencies (R&D-Ms); and State-owned Enterprises R&D Agencies (R&D-SOs).
The linear model of innovation process in Indonesia as well as the role of each
type of PRIs can be seen in the Figure 1 below
Figure 1 Linear model of innovation process in Indonesia (source: (Mulyanto
2014))
The source of funding for these types of R&D institution is different. Universities
(State Universities) have source of funding that is primarily derived from market
mechanism and only small amount of them comes from government budgets;
GRI-NMs and R&D-Ms have source of funding that mainly derived from
government budget mechanism; and R&D-SOs are usually gathered its funding
sources from their self-sufficient internal funding (Mulyanto 2014). Research
activities in Indonesia are mainly funded by the government. Because of this,
there is a growing attention to the effectiveness and productivity of the research
system to make sure that the investment are well returned (Lakitan et al. 2012).
6
The Concept of Technology Transfer
Technology transfer is defined in many different ways, referring to the
purpose and discipline to which the research applies. This interdisciplinary
dimension of technology transfer allows the definition and concept of technology
transfer to be described from many perspectives. Most definitions of technology
transfer viewed technology as something that does not change during the transfer
process. One of the first definitions of technology transfer was introduced by
Rogers (2010), who describe technology transfer as a process of innovation
adoption that occurs between two organizations. In addition to that, Bozeman
(2000) describes technology transfer as:
“the processes by which ideas, proofs-of-concept, and prototypes move from
research-related to production-related phases of product development.”
However, other researcher studying the technology transfer process argue
that the technology transfer process is essentially a communication process. Autio
and Laamanen (1995) suggest that technology transfer is:
“ intentional, goal-oriented interaction between two or more social entities,
during which the pool of technological knowledge remains stable or increases
through the transfer of one or more components of technology.”
Both of the researcher see technology transfer as an interactive process
between two entities. Other definition of technology transfer is coming from
Rogers (2002) that sees technology transfer as
“a two-way, interactive process with messages flowing in both directions.”
It implies that in the process of technology transfer, individuals may become
a receptor organization if he actively seek for answers about their problem from
R&D organizations or other source of information.
Mechanism of Technology Transfer
Technology transfer and commercialization is a multidisciplinary area of
study and forms a complex system of networks. One study aims to understand the
connection between each involving factor of the technology transfer process and it
divides technology transfer into five factors, which are transfer agents; transfer
medium; transfer object; transfer recipient; and demand environment. (Bozeman,
Rimes, & Youtie, 2015).
Technology transfer arises via various channels of communication, both
public and personal, such as spin-off, licensing, publications, meetings or personto-person interaction, and, cooperatives R&D agreements (Rogers et al. 2001).
Aside of that, there are also informal/personal information exchange and
consulting (Cohen et al. 2002). Based on World Intellectual Property
Organizations (WIPO), there are three phases in technology transfer mechanism,
which are creation; protection; and exploitation, as shown on Figure 2.
7
Figure 2 The technology transfer flowchart (source: (WIPO 2002))
The success of research transfer depends on the very nature of its research
type and technology. Each field may have a different level of risk as well as
chance to be successfully implemented in the industry. The supporting policies
and regulation, organization, and market context may also be influential in the
technology transfer and commercialization process of research (Lowe, 1993;
Markman et al., 2008).
Communication in technology Transfer Process
Communication is a process of conveying information from one person to
another. Based on Merriam-Webster dictionary, the definition of communication
is:
“a process by which information is exchanged between individuals
through a common system of symbols, signs, or behavior; exchange
of information”
There are 3 types of communication. The first one is verbal communication
where the method to convey the message or information is oral. The second type
is written communication where the messages are conveyed by written words,
such as memos, emails, proposals, manuals, etc. The third type is the non verbal
communication that is often delivered through gestures and voice intonations.
Originally, communication categorized into two models, which are linear
model and non –linear model. In linear model, communication is seen as a simple
process that works more as a one way act where it usually happen vertical and not
cyclical two-way process. In the non-linear model, the communication comprises
into four most important elements, which are the concept of information,
feedback, network, and purposes. It emphasizes the importance of the
communication network in information sharing process (Narula 2006).
8
There are several theories of communication model offered by scholars.
Among the first is the communication model proposed by Shannon and Weaver.
In this model, they divide the communication into three primary parts, which are
a sender, channels, and a receiver. This model is originally used for mathematical
theory of communication, but due to its simplicity, generality, and quantifiability,
it became an attractive model to human communication and information theory.
However, as it is a mathematical communication theory, it did not take into
account the feedback given by the receiver during the process. The second
famously known model is a model proposed by Wilbur Schramm, which divided
the communication process into four parts, namely: Source (S), Message (M),
Channel (C), and Receiver (R), each with different factors that may affect the
communication process (Narula 2006). Below in Figure 3, we can see the factors
of Belo’s communication model:
Source
Encodes
Communication
skills
Attitudes
Knowledge
Social System
Culture
Message
Content
Elements
Treatment
Structure
Code
Channel
Hearing
Seeing
Touching
Smelling
Tasting
Decodes
Receiver
Communication
skills
Attitudes
Knowledge
Social System
Culture
Figure 3 The Berlo’s model of communication (Narula 2006)
Communication has been found to be one of the most essential factor in the
success of technology transfer (Williams and Gibson 1990, Kremic 2003). With
uncertainty and complexity that follows the technology transfer process, the
increasing expectation in enhancing technology transfer from R&D institution had
become one of the issues in the innovation process. During the technology
transfer process, there are two communication linkage that are important to the
successful process of technology transfer. These factors comprise functional
linkages between the internal organization and its networks linkage with other
organizations. Both linkages are correlated to the communication patterns that
exist in the organization and play an important role in understanding the value of
intangible organizational assets. (Tidd 2001, Ritter 2003, Hargie and Tourish
2009).
According to Allen (1984), internal communication within the organization
is very important in technology transfer since it can help increase technical
performance of the technology being transferred. There are two criteria in
choosing communication channels. The first one is accessibility, which reflects
how easy it is to contact and approach the channel. The second criteria is technical
ability, which reflect the reliability of the channel in generating information. Each
9
criterion is equally important in communication and is chosen based on the
individuals’ perception towards his environment.
Within each organization, there are two types of organizational structure and
its communication, which are formal and informal organizations. Formal
organizations represent the organizational design and occurs in a form of
hierarchy, regulations, rules, and formal communication. Aside of that, there is
also an informal organization. An informal organization often indicates the actual
system of how the organization works. This informal organization is not designed
by the management and it exists through informal communication and
arrangements, based mainly on personal relationships and norms (Eunson 2005).
Government agencies are known for the bureaucracy and hierarchy that exist
within the organization. The issues that often occurs in this type of organization
are the presence of deep bureaucratic structures, weak change culture, and highpowered incentives. This kind of company tends to be internally focused and has a
slow response to the market changes (Teece 1996).
The technology transfer conducted by government research institution
usually differs than of the corporation technology transfer in term of motives and
method. Government agencies perform technology transfer as an obligation to the
legal mandates that are given to them and often these motives do not well-disperse
within the organization. It makes the research output from government R&D
laboratories is rarely at the level desired by the firms. Aside of that, the
technology transfer conducted by government agencies are intended to be widely
disseminated to as many SMEs as possible. That is why the methods used in the
process are very general and “distant” (Kremic 2003).
In addition, the presence of particular independent organization that
handles commercialization process is important to foster the relationship between
the university and the industry in technology transfer and commercialization.
Liaison offices or units are needed because not all of the researchers have the
ability in marketing and management area, all of which are important in the
commercialization of research. Furthermore, other factors such as the existence of
well-defined incentive policy also give researchers good motivation to
commercialize their ideas (Debackere and Veugelers 2005, Raine and Beukman
2002).
It is important to gain commitment from upper management in the process
of technology transfer. _ENREF_27Siegel et al. (2003) suggest that the
productivity of the institution in technology transfer depend on the organizational
practices, with the most critical organizational factors that occurs in universityindustry technology transfer (UITT), which are rewards systems, compensation
and HRD systems on TTO, and action taken by management to terminate
informational and cultural barriers. Full support from management is essential in
the development of a suitable structure for the technology transfer process (Lam
2011).
Summary
Based on all of the above reviews, it can be concluded that technology
transfer is an interactive process, and the communication become the critical
factor that are affecting the technology transfer process. Inadequate attention to
10
the communication process will affect the effectiveness of the technology transfer
process. Aside of that, organizational factors and interpersonal relationship is also
important in the process of technology transfer as both can affect the
communication pattern that exist in the inter-organizational and intraorganizational linkage.
Nonetheless, limited studies in government technology transfer process that
deal with agro-industrial development, particularly ones in developing countries
create a gap with previous research studies. Therefore, this research attempts to
investigate further about the technology transfer process from the perspective of
communication process in the hope that it may be able to give some insight into
other government research institutions, particularly one that deals in the same
fields of agro-industrial development.
11
III METHODOLOGY
Introduction
As stated in the previous chapter, in order for the research institution to be
well performed in R&D activities, it should be able to effectively deliver
applicable research and being actively involved in innovation system. In the
current state of CABI’s research section, the implementation of research to the
industry is still considered low. Therefore, there is an attempt to increase the
performance of CABI’s R&D using an effective technology transfer process.
This chapter focuses on the design and methodology of this research project,
how to collect and analyse the data, and provide answers to the research questions
mentioned above. In order to holistically understand the phenomenon that occurs
in a real-life event, this study uses a descriptive single-case study approach. A
case study is often used as a tool in social science to describe a complex process
or phenomena. This approach helps the researcher to obtain the whole
characteristic and pattern that occurs in real- life event (Yin 2013). Even so, the
researcher also aware of the limitation that occurs in case study approach. A case
study approach can only provide a limited basis for scientific generalization
because it is only specific to the environment of the sample being investigate.
Aside from that, the other limitation that occurs is the theoretical framework that
is being used in the case study that often builds a specific perspective for the
researcher to see the phenomenon (Yin 2013).
Setting
This study was conducted in Bogor Regency, with Centre for Agro-based
Industry (CABI) as a case study. CABI is one of research institutions under The
Ministry of Industry that provides research and technical services to the industrial
community, particularly agro-industry community.
CABI’s organizational structure consists of one director that supervises the
entire organization with the help of five division heads. There are five divisions in
CABI’s organization, which are: HRD and Administration Division, Technical
Service Development Division, Research and Standardization Division,
Competency Development and Technology Transfer Division, and Testing,
Certification, and Calibration Division. Each division has specifics task, serves to
increase the institution’s research quality and public services.
Research Framework
This study applies a case study approach and the data collection is gained through
interviews and CABI’s annual report. The framework for the research can be seen
in this Figure 4 below:
12
Figure 4 Research framework
The data expected to collect during the interviews are shown below:
Table 2 List of data expected from the interviews
Research Questions
Data Expected
What are the channels of
•List of communication channels
communication used by
used by CABI’s staff in the
CABI’s staff in the technology
technology transfer process.
transfer process?
•List of communication channels
perceived by the SMEs in the
technology transfer process.
•Issues
arising
from
the
communication process that
occur during the process of
technology transfer
How do organizational
•Current condition regarding the
structures in CABI influence
procedures in technology
communication in the
transfer process
technology transfer process?
•Relationship between divisions
involved In the technology
transfer process
How do inter-personal
•Relationship
between
relationship in CABI influence
individuals involved In the
communication in the
technology transfer process
technology transfer process?
Sources
•CABI’s
staff
•SMEs
•CABI’s
staff
•CABI’s
staff
13
The data expected during the interview (Table 3) will provide the scope of the
research and each of them then translated to interview question lists
Participants
Sampling
This study seeks to explain about the current situation in the technology
transfer process and understand better about its performance. Based on this
reason, the sampling approach that is chosen in this study is single case study with
interviews as a way to collect the data. Yin (2013) mentions that case study allows
researchers to explore complex social phenomena holistically. The participants are
chosen using purposive sampling. All of the respondents are chosen for their
experience in technology transfer process. The researchers and staff are chosen
based on their activities in delivering research result to the SMEs, while the SMEs
are chosen based on their current experience in research collaboration with CABI.
Participant Descriptions
There are seven participants that involved in this study as respondents. Four
researchers and two officers are from the CABI whereas two other respondents
are from the SMEs. These four researchers are chosen out of eighteen researchers
because of their experience in technology transfer. Currently, their research
projects are chosen in science park projects funded by government. The aim of the
project is to build a scale up version of the research. Each of their experience will
be explained more in the appendices. One other of CABI’s respondent is a head
section of marketing division and he is responsible in the research dissemination
program. Two other respondents are from SMEs’ side, and both of them are
selected for their experience and involvement in contract research.
Measuremet Instruments and Protocols
Measurement instrument being used in this study is the interview question
list. The data were collected through a semi-structured interview where 6 sets of
open-ended main questions and 11 subset of questions were prepared. Semistructured interview was chosen to explore new ideas and perspectives that might
be brought up by the interviewees during the interview. This method allows the
researcher to probe the information and clarification provide by the interviewee’s
answers. (Louise Barriball and While 1994).
In this research, interview results become the main data source, with
secondary data comes from observation, reports, and other legal documents.
Specific topics and themes were chosen to provide guidelines for the interview.
Total of 8 interviews are conducted for 45-60 minutes. Face to face interviews and
international phone calls are arranged for the interview, followed up by emails
and text messages. In the interview process, there were two respondents that
interviewed at the same time and place. The reason for this was they were only
willing to participate if they were interviewed together.
14
Data Analysis
The first step in data analysis is the preparation of data. In this stage, the
data obtained through notes and recording then transcribed verbatim. After that,
initial reading then administered to the transcribed interview to get insights and
understandings of a phenomenon that emerged from the data. In this stage, the
data started to be coded and then categorized based on themes that emerge. Next,
themes that are being produced from the coding stage then identified and clustered
based on the research questions. The last stage is the translation of data from
Indonesian language to English. The translation has been kept to the last stage to
avoid misperception and misinterpretation.
15
IV RESULTS AND DISCUSSION
This study attempts to elaborate the condition that exist in technology
transfer activities at CABI with special concern to the communication perspective.
In this study, the researcher tries to investigate how the communication affects the
technology transfer process in Indonesian government research institution, with a
case study at CABI. Using methodology mentioned in the previous chapter, this
study has collected data through interviews. During the interviews, it is found that
communication is influential in the success of technology transfer, with both
organizational factors and interpersonal relationship is affecting the internal
communication linkage. This chapter is dedicated to report and discuss the finding
generated from the analysis.
Results
Based on the data analysis, there are several themes that emerge during the
interviews. Those themes then categorized based on research questions. The
finding of this study can be seen in the table below:
Table 3 CABI’s communication channels in the technology transfer process
RQ1. What are channels of communication used by CABI’s staff in the technology transfer
process?
Researcher
Channels
Cited
Sample text
Seminar/Workshop 3
“The promotion is done by dissemination, seminar, exhibition…”
(R3)
Exhibition
3
“…By exhibition we can display our research products to
advertise our institution, what is important is to make CABI
known by the SMEs” (R3)
CABI’s website
1
“..we can also use CABI’s website. In the website, we’ve
uploaded our research abstract, but unfortunately many SMEs do
not know it..” (R2)
“Client
hunting” 4
“…Starting this year, marketing section invite me to join their
program
program to visit the industry…we promote our services, including
R&D services…” (R2)
Research
4
“..involved in research dissemination and promotional activities of
dissemination
research services” (R5)
Forum
group 1
“..in FGD and research dissemination, SMEs’s problems usually
Discussion (FGD)
fastly handled because they can consult straight to the researcher
itself” (R1)
Free trial offer
2
“..for small industries, what matter is whether the technology is
free or not. If it is free and he/she can increase the product quality,
he/she will gladly accept the offer” (R3)
Scientific
4
“a research must also be able to write as a scientific publication
publication
for publication interest” (R2)
Leaflet/ Brochures 1
“research result can also be made as leaflet as a promotion to
SMEs” (R4)
Research
4
“in 2013, there are research collaboration with Ministry of
collaboration
Research and Technology (MoRT) and PT. Tama Coklat…” (R2)
Table 3 CABI’s communication channels in the technology transfer process
(Cont.)
16
RQ1. What are channels of communication used by CABI’s staff in the technology transfer
process?
SMEs
Channels
Cited
Sample text
Seminar/Workshop 2
“the second time is when I was invited to cocoa convention in
Bogor. One of the speaker is CABI director” (SM1)
Research
2
“I have had a research collaboration with CABI about coffee from
Collaboration
dates seeds” (SM2)
Consultation
2
“The idea came from me. It occurs because I saw my housemaid
services
throwing kilos of dates seeds and I wonder whether we can make
something from it and not just waste it away …then I came to
CABI and consult about it, we agree to make some research on
it…” (SM2)
Based on Table 3, the analysis of interviews suggests that there are ten
communication channels used by CABI’s staffs in the technology transfer
process. All of them represent the attempt CABI has made to introduce research to
the SMEs. However, from the perspective of SMEs, they mentioned only three
channels of communication that lead them to the technology transfer process.
Those are seminars/workshops; research collaborations; and consultation services.
The latter is perceived by the SME as a way of how they know about CABI’s
R&D services for the first time.
Table 4 Organizational factors influencing communication in the technology
transfer process
RQ2. How do organizational structures in CABI influence communication in the
technology transfer process?
Researcher
Organizational
Cited Sample text
factors
No
SOP
for 3
“..there should be collaboration. It seems that there is no
technology
standard procedure on it….the research itself comes from
transfer process
R&D section while the commercialization, promotion, and
marketing technology are the responsibility of Technical
Services Division; and Competency Development and
Technology Transfer Division. They work individually…
(R1)
Three
sections 3
“..R&D collaboration and consultation deals with SMEs
have
an
and they have overlapping tasks…relationship and
overlapping task
internal communication in technology transfer still
and function
“knotty”..” (R2)
Bureaucratic
1
“For the institution, I think it will be difficult since it
characteristic
involving regulations and laws that is being made by the
government not by us…Every time we need to test our
product, we have to go through the same regulation with
other company and it takes some time to finish. This
condition is sometimes difficult to be understood by the
SMEs..” (R2)
Table 4 Organizational factors influencing