Innovation and Green Development 2 (2023) 100076

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Innovation and Green Development

journal homepage: www.journals.elsevier.com/innovation-and-green-development

Full Length Article

Conceptual framework of green technology transfer at public university

scope Brazilian
Luan Carlos Santos Silva a, *, Carla Schwengber Ten Caten b, Silvia Gaia c
a
Federal University of Grande Dourados (UFGD), Dourados, Brazil
b
Department of Production Engineering of Federal University of Rio Grande do Sul (UFRGS), Porto Alegre, Brazil
c
Department of Production Engineering, Federal University of Technology – Paran

a (UTFPR), Ponta Grossa, Brazil

A R T I C L E I N F O A B S T R A C T

Keywords: Technology transfer has played an important role in promoting the development of technologies for green
Green technologies innovation around the world. The objective of the article was to develop a conceptual model of green technology
Green innovation transfer within the university-industry ambit. The methodological procedures were carried out in four distinct
Technology transfer model
phases. The first phase consisted of a literature search regarding technology transfer conceptual models; this
Industry-university ambit
Sustainability
bibliographic review was performed using the ISI (Web of Science) platform, grounded on articles published over
a period of 27 years from 1995 to 2022. The second search phase was based on the value chain. The third phase
had as its objective to apply a questionnaire with open questions to several Brazilian universities. The last phase
consisted in developing the conceptual model. From the results, it is possible to integrate the pre-development and
post-transfer technology activities, and the process of green technology transfer can be carried out by focusing on
the commercial results of technology licensing, including commercial advantages with a sustainable focus.
Notwithstanding, the Brazilian government should create public policies aiming to stimulate the participation of
companies in partnership with universities, allowing universities to help them by developing green technologies
and patents.

1. Introduction
Green innovation has become an increasingly important focus for
universities in recent years. The need for sustainable practices and
technologies to address climate change has prompted universities to
incorporate green innovation into their research, education, and opera-
tions. Several recent studies have highlighted the importance of green
innovation for universities and the benefits it can bring.
Concerns about the environment led to the development of greener
technologies, having been a major importance theme in diverse global
events over the last decades, such as in the World Conference on Man and
the Environment, Stockholm, Sweden, 1972, considered the first mile-
stone in the environment discussions. Another event was the Conference
of United Nations in Rio, known as ECO-92, which took place in Rio de
Janeiro, Brazil, in 1992, and following the agenda of the UN climate
summit, the 21st Climate Conference (COP21) held in Paris, France,
2015, was an event aimed to create common agreements and policies in
order to limit greenhouse gas emissions by reducing 2  C from the global
temperature until 2100.
Due to rapid climate change green technologies have taken a very
important position in the development of global sustainability. In an
international agreement, since 2009, governments in nations such as
Japan, Israel, South Korea, the United Kingdom, the United States,
Australia, and Canada become to recognize the relevance of the patent
granting procedure as a mechanism to stimulate green technologies in
the market. Inventions should relate to waste management, alternative
energy, agriculture, transport, and energy conservation, as well as the
reduction of the impact of climate change, greenhouse gas emissions, and
the removal of CO2 from the atmosphere.
It is important to remind that the technology transfer process is
extremely important and strategic for industries and universities in terms
of sustainability and resource scarcity Schlie, Radnor, and Wad (1987);
Seror (1996); Sedaitis (2000); Amessea and Cohendet (2001), McAdam,
Keogh, Galbraith, and Laurie (2005); Clark and Oxman (2001); Silva,
Gaia, Ten Caten, and Faco (2017).
In literature, several authors have created process models aiming to
enable the transfer of technologies, such as Trott, Cordey-Hayes, and
Seaton (1995), Stock and Tatikonda (2000), Bozeman (2000), Malik

* Corresponding author.
E-mail address: luancarlos@ufgd.edu.br (L.C.S. Silva).

https://doi.org/10.1016/j.igd.2023.100076
Received 22 December 2022; Received in revised form 23 February 2023; Accepted 17 May 2023
Available online xxxx
2949-7531/© 2023 The Author(s). Published by Elsevier B.V. on behalf of Business School, Zhengzhou University. This is an open access article under the CC BY
license (http://creativecommons.org/licenses/by/4.0/).
L.C.S. Silva et al.
(2002), Di Benedetto, Calantone, and Zhang (2003), Siegel, Waldman,
Atwater, & Link, 2004, Gorschek, Wohlin, Garre, and Feldt (2006),
Sharma, Kumar, and Lalande (2006), Coppola and Elliot (2007), War-
oonkun and Stewart (2008), Gotham et al. (2011), Fontana (2011),
Genet, Errabi, and Gauthier (2012), Khabiri, Rast, and Senin (2012),
Landry, Amara, Cloutier, & Halilem, 2013, Necoechea-Mondrag
on,
Pineda-Domínguez, and Soto-Flores (2013) and Heinzl, Kor, Orange, &
Kaufmann, 2013. However, among these studies, there are still no models
that contemplate and take into account the characteristics concerning
Green Technology Transfer (GTT).
In recent years, there has been a growing recognition of the impor-
tance of green technology innovation in addressing environmental
challenges. Technology transfer, particularly from universities to in-
dustry, has been identified as a key driver of green innovation (Zhang,
Yan, Gao, Xie, & Yu, 2023). Environmental regulations have been found
to influence real and strategic green technology innovation (Zhang et al.,
2023). Corporate green technology innovation can be induced by central
environmental protection inspection (Cheng & Yu, 2023). Green tech-
nology innovation spillover effects have been observed in Chinese cities,
contributing to urban eco-efficiency convergence (Shang, Jiang, & Pan,
2022).
Low-carbon regulation can accelerate the efficiency of green tech-
nology innovation for carbon mitigation (Ding & Hu, 2022). Collabora-
tion among stakeholders is essential for green building technology
innovation (Zhang, Tang, Zhang, and Wang, 2023). Renewable energy
technology innovation and investment have been shown to reduce car-
bon emissions in China (Kuang, Akmal, & Li, 2022). Digital finance can
influence green technology innovation in China by addressing financing
constraints (Lin & Ma, 2022).
Renewable energy technology innovation can facilitate industrial
structure upgrading and green development in China, with green finance
as a moderating factor (Ge, Cai, & Song, 2022). Blockchain technology
has been identified as a game changer for green innovation, with the
potential for the dynamic capability of value appropriation in
ecosystem-based business models (Chin, Shi, & Ferraris, 2022). Green
entrepreneurship and blockchain technology have been proposed as a
roadmap for green economic sustainability in Peru (Polas, Kabir, &
Tabash, 2022). Renewable energy technology innovation has been found
to contribute to industrial structure upgrading and green development
across China's provinces (Su & Fan, 2022).
Within this context, the objective of this study was to develop a
conceptual model of green technology transfer in the university-industry
scope by answering two main guiding questions: how green technologies
can be transferred? And which impacts should be monitored during
transference?
The importance of green innovation for universities is increasingly
being recognized as a means of promoting sustainable development,
improving economic performance, and addressing environmental chal-
lenges. These studies highlight the need for universities to take a pro-
active role in promoting green innovation and collaborating with other
stakeholders to achieve these goals.
This research proposes a technology transfer model that can enhance
the green innovation capacity of universities and industry and demon-
strates the importance of technology transfer for green innovation for
universities in addressing climate change, promoting sustainable devel-
opment, and achieving economic and environmental sustainability.
As universities continue to play a critical role in driving innovation
and shaping the future, incorporating green innovation into their
research, education, and operations is essential for creating a more sus-
tainable world. By collaborating with other stakeholders and promoting
green innovation, universities can help drive the transition to a more
sustainable future.
There are currently no technology transfer models in the literature
that focus on sustainability. The technology transfer from universities to
the industry is crucial for promoting green technology innovation, with
the potential to address environmental challenges and contribute to
2
Innovation and Green Development 2 (2023) 100076
sustainable development. Various factors, including environmental
regulation, collaboration, and finance, can influence green technology
innovation. The findings of these studies have important implications for
policymakers, industry practitioners, and academics seeking to promote
green innovation.
2. Material and methods
This research has applied nature, from the point of view of the ob-
jectives it is classified as a descriptive and exploratory study, with a
qualitative approach.
Even with the influence of the studies and events from the last de-
cades, there are still no models focused on enabling the transfer of green
technologies. So, the purpose of this paper is to fill this gap and develop a
new conceptual model for GTT (Green Technology Transfer). The present
study was focused on Brazilian public universities, being developed in
four distinct phases:
The first phase consisted of bibliographic searching for conceptual
models of technology transfer to better understand the models already
created, verifying the existence or not of a model specifically designed for
the transference of green technologies. The review was done through the
ISI (Web of Science) platform and based on articles published over a
period of 27 years, from 1995 to 2021.
The second phase consisted of the development of the TTO (Tech-
nology Transfer Office) value chain, the main agent for the GTT of the
universities. For this, the ‘Customer Value Chain Analysis (CVCA) by
Donaldson, Ishii, and Sheppard (2006) was applied. The objective of this
phase was to better understand the entire value chain and to highlight the
main agents in this process.
The third phase consisted of the application of a questionnaire con-
taining the following questions.
1) What are the main supporting and stimulating factors for the process
of transferring green technology?
2) What are the barriers encountered in this process?
3) How many green technologies are currently being developed in the
university and/or research group/laboratory?
4) How many technologies have already been patented or are being
analyzed by INPI?
The questionnaire was applied to 255 research groups/laboratories
and their respective TTOs, from both universities and research institutes,
the population searched was registered in the Research Groups Directory
from the National Council for Scientific and Technological Development
(CNPq), Brazil.
Information was gathered on activities directly related to the devel-
opment of green technologies. Priority was given to areas belonging to
the “green patents” a program from the National Institute of Industrial
Property of Brazil (INPI) which are: Agriculture, Energy (conservation
and alternative energy), Waste Management, and Transportation.
The objective of applying the questionnaire in the TTOs and in the
research groups of the same institutions had as main objective, to un-
derstand stimulating factors, barriers; and if they are currently devel-
oping green technologies.
Due to the existence of some complex information related to the
TTO functions, and the management activities in the research groups,
the application of the questionnaire with the leaders allowed more
authenticity in the analysis capacity of the information regarding the
real scenario. Then, the managers were selected to answer the ques-
tionnaires. We obtained 55 responses from the managers of the TTOs
and groups/research laboratories of the universities, from 19/10/2021
to 03/12/2021, revised in 2022 in the same period, thereby corre-
sponding to a 22% return rate. The application of the questionnaire
occurred through Google forms doc.
The fourth phase consisted of the development of the conceptual
model and its validation within the focus groups. These groups consisted
L.C.S. Silva et al.
of a discussion with groups of experts and researchers who develop green
technologies. The use of this technique allowed an opportunity for self-
knowledge, affirmation, conceptual revision of the proposed model,
and critical reflection on routine activities regarding the transfer of green
technologies.
In this sense, the focus group technique was performed with TTO's
professionals and researchers in order to get benefits from the detailing
and description of unspecified contexts, based on the use of the other
techniques of data gathering, besides allowing the observation of the
interaction between participants. The focus group made it possible to
obtain information from group sessions between individuals sharing a
common trait. To analyze the data, two sessions were held at the Federal
University of Rio Grande do Sul, Brazil.
3. Technology transfer
Eighteen conceptual models found in literature served as the theo-
retical basis for the construction of the proposed model described in this
study first, Trott al., (1995) proposed the model of internal technology
transfer in an interactive process. The conceptual framework of this
model was developed in order to identify the four main components of
the technology transfer process in companies, these are: “consciousness”;
“association”; “assimilation”; and “application".
Stock & Tatikonda (2000) presented an Internal Technology Transfer
Model at the Project Level. The structure of this model is grounded on a
conceptual typology of internal technology transfer, explicitly consid-
ering the transfer of technology in the project, rather than in the com-
pany. They have characterized the three dimensions of the typology: the
uncertainty of the technology being transferred; the organizational
interaction between the technology source and the recipient, and the
transfer efficiency.
Bozeman (2000) developed the Effective Contingent Model of Tech-
nology Transfer. The structure of the model includes five broad di-
mensions to determine effectiveness: (1) characteristics of the transfer
agent; (2) characteristics of the transfer media; (3) characteristics of the
transfer object; (4) the demand environment; and (5) characteristics of
the recipient of the transfer.
Malik (2002) created the Conceptual Model for the Transfer of
Technology in Companies. Their model functions as a “toolkit”, assisting
management and drawing on implications such as trust build and shared
understanding, and also creating integrated project teams that are sen-
sitive to the organization's transmitter and receiver capacity. The
so-called “broadcasting” model is simple for the technology transfer
process, which shows a message (which has particular transfer modes) to
be sent to a receiver and a transmitter. So, the “feedback mode”, from the
receiver to the transmitter, provides some insight into the use of the
transferred technology.
Di Benedetto et al., (2003) created the International Model of Product
Technology through the Acceptance of Technology (TAM). The author
constructed and empirically tested an extension of the technology
acceptance model (TAM) for the study of international product tech-
nology transfer. The TAM model is derived from Davis (1986). The model
considered only two antecedents in attitude towards IT adoption: the
perceived utility of the system and perceived ease of use. The model
analyzes three steps: “behavioral intentions antecedents”; “effects of the
perception of ease of use in attitude towards adoption” and “background
to perceived benefits".
Siegel, Waldman, Atwater, and Link (2004) developed the Effective
Model of Knowledge Transfer between University-Industry. The structure
of their model is divided into seven phases: (1) it begins with a researcher's
discovery at the university; (2) the researcher is obliged to present and
disclose the invention with the TTO, once developed; (3) the TTO decides
whether the innovation will be patented; (4) analyzes the marketing po-
tential; (5) identifies potential corporate licensees; (6) negotiates a
licensing agreement; and (7) finally the technology is converted into a
marketed product.
3
Innovation and Green Development 2 (2023) 100076
Gorschek et al., (2006) have created the Technology Transfer Model
in Practice. Their model was structured in seven steps: (1) identifying
areas of potential improvement based on what the industry needs,
through process evaluation and observation activities; (2) formulating a
research agenda using various assessments to find and research topics
and formulate problem statements while studying the domain field; (3)
establishing a candidate to solve cooperation with the industry; (4)
conducting laboratory validation; (5) Performing static validation; (6)
performing the final validation; and (7) launching the solution while
remaining open to minor changes and additions.
Sharma et al., (2006) created the Model of Technology Transfer
Mechanisms between University-Industry. This model is structured by
three mechanisms: (1) transferring of non-commercial technology
(seminars and field studies, symposiums, and scientific colloquia, pub-
lications, conferences, and informal contacts and exchanges); (2) com-
mercial technology transfer (collaborative research, the industry
contracted research, assessment and technical services, licensing and sale
of IP); and (3) generation of new companies (spin-outs in universities).
Baek, Sul, Hong, and Lee (2007) developed the Technology Valuation
Model for the Process of Technology Transfer Negotiations. The structure
of this technology valuation model is based on a method approaching
yield and real options and can express the value of a specific technology
in economic terms. The model is divided into three steps: (1) the ex-
pected return analysis; (2) the analysis of the contribution of technology;
and (3) the buyer's technology assessment.
Coppola and Elliot (2007) created the Technology Transfer Model to
Evaluate the Program of Technical Communication. The structure of this
conceptual model is divided into four phases: (1) looking for a technol-
ogy that can meet your needs, as well as other forms of evaluation,
meeting the needs of similar researchers; (2) focusing on the elaboration
of the model and detailing the student's results (the research project at
this stage comprises a set of eight core competencies); (3) teachers come
together to collaboratively evaluate e-Portfolios; and (4) demonstrating
and begin communication.
Waroonkun and Stewart (2008) developed the Model of International
Technology Transfer in Projects. The structure of their model includes
five process facilitators: environment transfer, learning environment,
assignee characteristics, assignor characteristics, and value-added tech-
nology transfer.
Gotham et al. (2011) created the Network Technology Transfer Model
Oriented to the Innovation Process. Their model is structured in five
phases: (1) creation development - initially, evaluating an innovation (an
idea, technology, treatment, or method); (2) translation - explaining the
essential elements and relevance of an innovation in order to facilitate
disclosure; (3) dissemination - promoting innovation awareness, with the
objective of facilitating adoption and implementation; (4) adoption - the
process of deciding whether or not to use an innovation; (5) imple-
mentation - containing a breakthrough in routine practice.
Fontana (2011) created the iterative dynamic technology transfer
model. The proposed technology development process is structured on
the following components: (1) technology development director; (2)
marketing/licensing team; (3) patent committee; (4) business advisory
group, and (5) inventor. If the inventor intends to exploit the commercial
potential of the invention, the university should initiate the evaluation
process, which consists of the following steps (order may vary): (1)
motivation (what led to the invention?); (2) public disclosures; (3)
brainstorming; and (4) warranties.
Genet et al., (2012) created the Technology Transfer Model for
nanotechnology. The model is based on institutional coping networks in
a way that represents each category of the actor involved: universities,
non-profit institutions, government institutions, hospitals, and com-
panies, which are represented by size (small, medium or large, very big).
Khabiri et al., (2012) have created the Justified Model of broadcast
technology transfer. The model was based on the broadcasting technol-
ogy model presented by Malik (2002), and the simple and generic model
of Schlie et al., (1987). The model has eight elements effective in the TT
L.C.S. Silva et al.
process between university-industry (assignor, assignee, technology,
transfer mechanism, transferor environment, transferee environment,
and largest environment).
Landry, Amara, Cloutier, and Halilem (2013) developed the Technol-
ogy Transfer Model in Services and Business based on Value Chain. The
conceptual framework of the model involves a value chain of services and
value-added, comprising three primary phases: (1) exploitation of
knowledge-based opportunities consisting of services designed to help
companies to specify research and technological needs and access Relevant
technologies, equipment, and patents; (2) technical validation of
knowledge-based opportunities refers to services designed to assist com-
panies with prototypes, extensions, patents, and certification; and (3)
exploration of knowledge-based opportunities, consisting of services
designed to assist companies in legal matters, access to capital and
marketing.
Necoechea-Mondrag
on et al., (2013) created the Conceptual Model of
Technology Transfer for Mexican Public Universities. The structure of the
model has three basic dimensions and the connection of each dimension
with a group of actors that represent the variables of the model. The first
category refers to institutions that provide the technology. The second
category refers to the institutions that are at the end of the receipt. And
the third category involves the government, acting as the interface be-
tween the two. The factors influencing the performance of technology
transfer are classified into three categories: agent-related factors,
receiving factors related to the agent, and transaction-related environ-
mental factors.
Finally, Heinzl, Kor, Orange, and Kaufmann (2013) created the
Technology Transfer Model for Austrian universities. The model was
structured in frame concepts: (1) generic model of technological transfer;
(2) idiosyncrasies of the model within the Austrian Universities of
Applied Sciences; (3) idiosyncrasies - effects of the technology transfer
model; and (4) idiosyncrasies - technology transfer and accumulated
effects of the model.
All models presented in this session were analyzed and served as the
basis for the model proposed in this study, but no one took into account
the specificities of green technologies and the impacts generated by this
type of technology.
3.1. Technology transfer and green innovation
Green innovation is a vital aspect of addressing climate change and
promoting sustainable development. Technology transfer is a significant
driver of green innovation, as it enables the diffusion and adoption of
advanced technologies across nations, universities, and industries. This
topic discusses the importance of technology transfer for developing
green technology innovation and evidence from recent research studies
about the topic.
Peng, Zou, Zhao, and Chang (2022) in the study “Economic policy
uncertainty and green innovation” examined the relationship between
economic policy uncertainty and green innovation. They found that
higher economic policy uncertainty could impede green innovation by
reducing investment in research and development (R&D) and increasing
the cost of capital. The authors suggested that policymakers should
provide stable and predictable economic policies to encourage firms to
invest in green innovation.
Yin, Chang, and Wang (2022) in a study about “Monetary policy and
green innovation” investigated the impact of monetary policy on green
innovation using a global sample. They found that accommodative
monetary policy could stimulate green innovation by lowering the cost of
capital and increasing access to finance. The authors suggested that
central banks could play a significant role in promoting green innovation
by designing appropriate monetary policies.
(Yang et al., 2022) studied the effect of political risk on green tech-
nology improvement using a global dataset. They found that political risk
could discourage green technology improvement by increasing uncer-
tainty and transaction costs. The authors suggested that governments
4
Innovation and Green Development 2 (2023) 100076
should provide a stable and supportive policy environment to attract
green technology investment and transfer.
Fu, Gong, Zhao, and Chang (2022) in a study about “International
sanctions and green innovations” examined the impact of international
sanctions on green innovations using a case study of China. They found
that international sanctions could stimulate green innovation by spurring
domestic firms to develop indigenous green technologies. The authors
suggested that international collaboration and technology transfer could
promote green innovation and mitigate the negative effects of sanctions.
Wen, Zhao, and Chang (2021) in a study about “Extreme events and
energy price risk” investigated the impact of extreme events on energy
price risk using a panel dataset. They found that extreme events such as
natural disasters and geopolitical tensions could increase energy price
risk and affect investment in renewable energy. The authors suggested
that governments and firms should develop risk management strategies
to address the impact of extreme events on energy markets.
And Wang, Tang, and Hu (2022) studied the impact of digital finance
on green innovation using a sample of provinces in China. They found
that digital finance could facilitate green innovation by increasing access
to finance and reducing transaction costs. The authors suggested that
policymakers could promote the development of digital finance to sup-
port green innovation.
Recent scientific research indicates that technology transfer plays a
critical role in promoting green innovation by enabling the diffusion and
adoption of advanced technologies. Recent studies have highlighted the
importance of stable economic policies, accommodative monetary pol-
icies, supportive policy environments, international collaboration, risk
management, and digital finance in promoting green innovation. Poli-
cymakers and firms should collaborate to develop strategies and mech-
anisms to facilitate technology transfer and promote green innovation.
4. Results and discussion
Through the research performed within Brazilian public universities,
and according to their respective research groups, it was possible to
observe the main barriers and stimulus factors in the process of transfer
of green technology.
The transfer of green technology is still not widely understood in
TTOs and research groups. Still, in the Brazilian scenario, with some
exceptions, technology transfer itself, is still a great challenge, especially
in Brazilian federal universities.
In many cases, the Technology Transfer team is multidisciplinary,
with engineers, administrators, economists, geographers, and intellectual
property experts. This multiplicity of views enables improvements in the
transfer process.
Table 1 presents the main barriers and supporting/stimulus factors
observed in the research groups/laboratories and Technology Transfer
Office (TTO) surveyed.
Throughout the research, it was observed that it is not just about
green technology; the problem is the same for all technologies pointed
out in the questionnaire. The bureaucracy of the formalization processes
of partnership and technology transfer still lingers, due to the lack of
definition of internal flows, good practices, and a weak legal framework.
As can be seen in Table 1, there is a lot of encouragement and support
for GTT, but this did not make it possible to increase the development of
green technologies or record contracts. No researched university has
transferred technology that fits like green technology.
The universities developed 26 technologies that are green in the year
2015. A small number, compared to the average annual deposits number
in the INPI which reaches 33 thousand patent application deposits.
Knowledge about the barriers and stimulus factors of the Brazilian
universities researched allowed a better understanding of how the agents
are involved in the process of transfer of green technology, as well as to
know the key activities in this process. This information was fundamental
for the construction of the CVCA tool and the outline of the activities of
the proposed conceptual model.
L.C.S. Silva et al. Innovation and Green Development 2 (2023) 100076

Table 1 After this division, the critical parts in the process, that is, the most
Observed barriers and supporting/stimulus factors. important agents in the construction of the value chain were evidenced.
Barriers Supporting/stimulus factors These parts can be seen in the bold blocks of Fig. 1.
With the application of the CVCA, it was possible to verify that there
- Inadequate speech; - Support in negotiations
- Delays in the administrative and legal - In-depth knowledge of technology; are activities in the technology pre-transfer process, during the transfer
area of the university in the contract process, and after the transfer process, this information served as a
agreement; framework for constructing the conceptual model.
- Low flexibility to reallocate resources - Core experience in the previous
of the partnership or hiring of licensing;
personnel due to the way the contract is
4.2. Model proposal
managed in the university;
- Need for protection to the technology - Participation in courses, events, and The conceptual model in the transfer of green technology was divided
transfer. fairs; into three macro phases, nine phases, six “gates”, and seventy-six oper-
- Personnel; - Follow-up in the technology
ational activities for the application of the model in Brazilian universities.
negotiation;
- Training; - Partnership with various This systematic division of steps was influenced by the product devel-
organizations; opment area, specifically the product development model as proposed by
- Specific budget; - Facilitation of access to information; Rozenfeld et al. (2006).
- Processes; - High recognition of the inventor in
In the models studied and based on the literature for the GTT pro-
academia and by the industry in the
technical-scientific area of technology;
posal, there is no such division by pre-transference macro phases,
- Technology Valuation; - High level of technical quality and transference development, and post-transference. It is possible to observe
expectation of financial return; these macro phases through the application of the value chain tool
- Bureaucracy; - Flexibility of changes in internal (CVCA).
processes.
In the first macro phase, the “pre-transfer”, there are three phases,
- Publication of information by the - Formalization of the partnership by
university/nucleus on the partnership; means of contracts favoring legal three Gates, and thirty activities, as shown below:
certainty; The first phase consists of “anthropo-technological evaluation”,
- Access to information; - Approach with the attorney ship to whose objective is to evaluate and diagnose the anthropo-technological
enable the drafting of contracts and
scenario of the technological powers to be transferred.
agreements;
- GTT is still not widely spread; - Recruitment of qualified personnel;
The concept of anthropo-technology was created by Wisner (1994),
- University immatureness in TT; - Support for the viability of these being a combination of ergonomic and macroeconomic aspects that in-
technologies in the market; volves the technology transfer process. His studies have shown partial or
- University initiating research on this - Internal projects; total failures in many contexts involving the process of technology
subject;
transfer, more specifically: reduction of equipment use, insignificant
- Institutional culture that has not yet - External development;
incorporated TT; product quality, many equipment breakdowns, and several common ac-
- Absence of financial support; - Financial and personnel resources; cidents in the process.
- Few incentives for researchers in the - Relationship with industry; For Wisner (1984) the industrialization of the nations in the process
industry. - Development agencies and private of industrial development and the technology transfer present many
companies;
- Tax breaks;
difficulties, regardless of the fact that the essential development issues
- Alignment of actions from the are not discussed. Several issues arise in all transfer contexts of a given
beginning of the research; technology, albeit with a great diversity of significance from one nation
- Termination of agreements; to another. The analysis of this unity and diversity is the starting point of
- Commitment and innovation;
anthropo-technology.
- Environmental impact of currently
used energies; Emphasizing that the conceptual models of the technology transfer
- Shorter time for granting a charter. process present in the literature do not contemplate this evaluation
phase.
The results from this type of evaluation can be used in two ways: to
4.1. Brazilian TTO’S value chain provide people, in the technology negotiation process, with means of
thinking on economic, political, and ideological strategies and, on the
The CVCA “Customer Value Chain Analysis” is a strategic and other hand, for transfers to be successful through the use of a method
tactical tool, implemented from a business model organization, which adapted to each transfer step.
has seven phases: (i) describe the business model of a strategic unit of In this step, the activities in the model include: (i) planning the
your company; (ii) verify the parts involved with the product; (iii) research strategy; (ii) defining the team; (iii) defining activities and
determine how the parts are related; (iv) identify relationships between sequence; (iv) drawing up a schedule; (v) defining tools for anthropo-
parts by defining the flows between them; (v) analyze the resulting CVC technological evaluation; (vi) define performance indicators; (vii)
(customer value chain) to determine critical customers and their analyze reference site data; (viii) design future scenario; (ix) gate 1 -
propositions; (vi) include the information in the product definition evaluate strategies, and (x) prepare a final report.
assessment (PDA); and (vii) use the CVCA results in the product design The second stage is the “evaluation of the technology transfer”. The
process (Donaldson et al., 2006). objective of this phase is to evaluate and diagnose the management
The application of CVCA allowed the identification comprehen- structure of the technology transfer process of the TTOs and Research
sively, of interested and relevant stakeholders, their relations with each Groups which exist in the university.
other, and their role in the technology life cycle. It enabled an increase In many cases, agents in a technology transfer process do not make a
in the capacity to recognize the diverse demands of the technology and prior diagnosis concerning the management structure of TTOs. Many
priorities to define the conceptual model of transfer of green problems can be previously avoided if a diagnosis is made and then an
technology. action plan for the partial or total elimination of the gaps found.
Fig. 1 shows the value chain of Brazilian TTOs. The parties were In this step, the activities of the model include: (i) planning research
divided into three groups: (i) those involved directly with the GTT pro- strategy; (ii) defining team; (iii) defining activities and sequence; (iv)
cess and its practical function; (ii) those responsible for enabling tech- drawing up a schedule; (v) defining tools for evaluation; (Viii) determine
nology to work properly; and (iii) involved indirectly. methodologies for eliminating constraints; (ix) cost/benefit analysis; (x)

5
L.C.S. Silva et al. Innovation and Green Development 2 (2023) 100076

Fig. 1. Brazilian TTO's value chain. List of Acronyms: TTO - Technology Transfer Office, ANVISA - National Agency for Sanitary Surveillance; INMETRO - National
Institute of Metrology; INPI - National Institute of Intellectual Property; USPTO - United States Patent and Trademark Office; WIPO - World Intellectual Property
Organization; EPO - European Patent Office; IDA - International Depositary Authorities; MCTI - Science, Technology and Innovation Ministry; MDIC - Development,
Industry, and Foreign Trade Ministry; MMA - Environment Ministry; MSE - Micro and Small Enterprise; UFRGS – Federal University of Rio Grande do Sul.

prepare corrective plan; (xi) conduct action plan; (xii) gate 2 - evaluate
strategies, and (Xiii) draw up a final report.
The third phase called “entrepreneurial education”, aims at fostering
an entrepreneurship and sustainability culture within the university.
Many barriers in the GTT process can be eliminated or pre-diagnosed
if the agents involved in the internal process of the university (TTO
professionals, professors, researchers, students) have a culture that favors
entrepreneurship and sustainability. The development of this culture will
allow a greater approximation and integration between the internal
agents of the university and greater knowledge about the reality and
market needs.
In Fig. 2, it is possible to observe the framework of the conceptual
model proposed.
At this stage, the activities of the model include: (i) planning peda-
gogical strategies for sustainable entrepreneurship education; (ii)
developing intellectual property culture, innovation, and sustainability;
(iii) developing workshops and practical training; (iv) integrating the
TTO with the research groups/laboratories, graduation and postgraduate
courses, (v) gate 3 - evaluate entrepreneurial strategy and, (vi) encourage
the development of green technologies.
In the second macro phase, there are three phases concerning the
“transference development”, three gates and twenty-four activities, as
follows:
The first phase consists of “intellectual property” management, whose
objective is to develop the intellectual property plan for the university.
This phase is the most common in the models studied since it involves
all the management activities in the intellectual productions that can be
protected and patented. The proposed model reinforces this phase and
integrates it with the others developed.
In this step, the activities of the model include: (i) identifying green
technologies; (ii) prospecting technological foresight; (iii) evaluating
technology, (iv) searching for inventors; (v) gate 4 – management; and
(vi) protection (writing, deposit, and follow-up). In the second phase, the
“valuation” aims to develop the technology valuation plan.
To value technology is one of the greatest difficulties in the tech-
nology transfer process, as there are not many professionals with
knowledge of the tools to value an invention.
Baek et al., (2007) developed a Model for Technology Valuation in
the Technology Transfer Negotiation Process, according to the authors;
the structure of the technology valuation model must be based on an
income approach method and the actual options which can express the
value of a specific technology in economic terms.
In this step, the activities of the proposed model comprise: (i) plan-
ning valuation strategy; (ii) defining team; (iii) defining activities and
sequence; (iv) drawing up schedule; (v) defining tools for technology
valuation; (vi) analyze technology opportunities and risks; (vii) analyze

Fig. 2. A proposed conceptual model for the Green Technology Transfer (GTT). Source: Prepared by the author.

6
L.C.S. Silva et al. Innovation and Green Development 2 (2023) 100076

Table 2
Detailing the GTT model.
Macro phase Phase Phase objective Phase activities

Pre-transference Anthropo-technological evaluation Evaluate and diagnose the anthropo-technological scenario Plan research strategy
of the technological powers to be transferred Define team
Define activities and sequence
Draw up schedule
Define tools for the anthropo-technological evaluation
Define performance indicators
Analyze reference site data
Design future scenario
Gate 1 – Evaluate strategies
Prepare final report
Evaluation and diagnosis of the Evaluate and diagnose the technology transfer structure Plan research strategy
technology transfer structure from the TTOs/research groups in universities Define team
Define activities and sequence
Draw up schedule
Define tools for evaluation
Conduct the research
Measure the results
Define methodologies to eliminate the bottlenecks
Cost/benefit analysis
Elaborate corrective plan
Conduct the action plan
Gate 2 – Evaluate strategies
Prepare final report
Entrepreneurial Education Support the culture of entrepreneurship and sustainability Plan pedagogical strategies for the Entrepreneurial and
sustainable education
Develop a culture of Intellectual Property, innovation,
and sustainability.
Develop workshops and practical training.
Integrate TTO with the research groups, graduation,
and post-graduation courses.
Gate 3 – Evaluate entrepreneurial strategy.
Support the development of green technologies.
Transference Intellectual property Develop a plan for Intellectual property with the university Identify green technologies
development Search for technological antecedents.
Evaluate the technology
Search for investors.
Gate 4 – Evaluate managerial strategies.
Protection (writing, deposit, and follow-up)
Valuation Develop the plan for a technological valuation Plan valuation strategy
Define team
Define activities and sequence
Draw up schedule
Define valuation tools
Analyze technology opportunities and risks.
Commercial potential analysis
Analyze technical aspects of the technology
Gate 5 – Evaluate the valuation plan
Technology value analysis
Technology transfer management Develop a plan and process for the technology management Define integration plan with the TTO, research groups,
and incubator with the production sector
Define technology disclosure strategy
Define technology transfer strategy
Define the technology transfer mechanisms
Prospect possible national and international customers
(companies and entrepreneurs)
Elaborate negotiation plan
Gate 6 – Evaluate the management plan
Record the technology contract
Post transference Market Diagnose the Market scenario for transferred Technologies Plan research strategy
Define team
Define activities and sequence
Draw up schedule
Define a monitoring plan for the technology present in
the targeted market
Define tools for the market monitoring
Monitoring the presence of similar products
(competitors)
Prepare final report
Society Diagnose the social impacts of transferred technologies Plan research strategy
Define team
Define activities and sequence
Draw up schedule
Define evaluation tools
(continued on next page)

7
L.C.S. Silva et al.
Table 2 (continued )
Macro phase Phase Phase objective
Environment Diagnose the environmental impacts of the transferred
technology
commercial potential; (viii) analyze technical aspects of technology; (ix)
gate 5 - evaluate valuation plan, and (x) analyze technology value.
The third phase consists of “technology transfer management”, and its
main objective is to develop the technology management plan and
process.
At this point in the process, there follows every step of TTO integra-
tion within the university and the implementation of GTT. TTO managers
should be aware of the dynamics that occur in the company's organiza-
tional structure, the negotiations with the market at this stage of the
process, and the flexibility to make everything happen as planned.
At this stage, the activities of the model include: (i) defining the TTO
integration plan, research groups/laboratories, and incubator in the
productive sector; (ii) defining the technology dissemination strategy;
(iii) defining the technology transfer strategy; (iv) defines technology
transfer mechanisms; (v) prospect possible national and international
clients (companies and entrepreneurs); (vi) prepare negotiation plan;
(vii) gate 6 - evaluate management plan; and (viii) record the technology
contract form.
In the third macro phase called “post-transfer”, there are three phases
and twenty-two activities, as follows:
The first phase consists of the “market” analysis; its objective is to
diagnose the market scenario of the technologies that were transferred.
The idea of monitoring the technology that has been transferred to
the consumer market is to try and understand the consumption scenario
in different markets and contexts, and that this information can be used
to support management for future negotiations and transfers.
In this step, the activities of the model include: (i) planning research
strategy; (ii) defining team; (iii) defining activities and sequence; (iv)
drawing up a schedule; (v) defining a monitoring plan for technology
presence in the market; (vi) define tools for market monitoring; (vii)
monitor the participation of similar products (competitors); and (viii)
prepare the final report.
The second phase consists in the “society” analysis, whose objective is
to diagnose the social impacts of the technologies that have been
transferred.
The technology transfer may not be successful if society does not
adapt well to the transferred technology. Accompanying the actual im-
pacts in the consumer society could be an alternative for this process,
verifying if it occurs in the best way possible, and with fewer negative
impacts. The intention is to perceive this reality and try and minimize
these impacts.
In this step, the activities of the model include: (i) Planning research
strategy, (ii) Define team, (iii) Define activities and sequence, (iv)
Drawing up a schedule, (v) Define tools for evaluation, (vi) Evaluate
social impacts from the transferred technology, (vii) to prepare a final
report.
The third phase consists of the analysis of the “environment”. The
objective is to diagnose the environmental impacts of the technologies
that have been transferred.
8
Innovation and Green Development 2 (2023) 100076
Phase activities
Evaluate the social impacts of the transferred
technology
Elaborate final report
Plan research strategy
Define team
Define activities and sequence
Draw up a schedule
Define tools for environmental evaluation and
monitoring
Evaluate the environmental impacts of the transferred
technology
Elaborate final report
Universities should concentrate their efforts on ensuring sustain-
ability. The endpoint of the GTT model is to supervise the technology life
cycle and its environmental impacts, thus generating information from
reports. That information can serve as a basis for future plans with the
industrial sector and the definition of public policies for environmental
issues.
In this step, the activities of the model include: (i) planning research
strategy; (ii) defining team; (iii) defining activities and sequence; (iv)
drawing up schedule; (v) defining tools for environmental assessment
and monitoring; (vi) evaluate the environmental impacts of the trans-
ferred technology; and (vii) prepare the final report.
The details of the macro phases, phases, phase objectives, and ac-
tivities of the proposed GTT model can be observed in Table 2.
The information produced in the last three post-transfer reports can
serve as support and guidance in the first two macro phases. The phases
of the proposed conceptual model can be applied independently. What
should be taken into account is the actual situation of the university and
the market needs.
5. Conclusions
The transfer of green technology has not yet become a widely spread
concept. Concerning the Brazilian scenario, the transfer of green tech-
nology is still a great challenge, especially in federal universities.
Through the research in the international literature, the application of
a questionnaire to the public universities (TTOs and research groups on
green technologies), and the development of the value chain (CVCA), it
was possible to develop the conceptual model for the transfer of green
technology. The applied focus groups allowed the validation of the pro-
posed model.
Through the developed GTT model, it will be possible to integrate
pre-development and post-transfer technology activities. We sought to
expand the model beyond those that exist in the international literature.
The following suggestions are recommended for actions regarding the
management strategies of TTOs and research groups.
 Green technologies in TTOs should be negotiated with companies in
different ways, assessing the technological maturity degree.
 Create a policy and incentives in the institution, allowing greater
dedication to the end/core activity.
 The management of TTOs should be well articulated with the R & D
managers of the groups. The partnership in this work will enable the
improvement of the TT process as a whole.
 Create a systematic evaluation of the technologies, in the economic,
social, environmental, and political-institutional aspects.
 Promote actions to understand the needs of the market and the impact
of the development of new technologies classified as “green".
 Create policies to encourage the development of these green tech-
nologies in research groups. It is necessary that the researchers begin
L.C.S. Silva et al.
oriented to solve existing real problems. The closer to industry a
research project is, the greater the chances of future licensing.
 Empowering research groups through technological tools to further
disseminate the culture of product or technology development in
industries/companies.
 To promote a change in the structure of TTO within the University,
this is dependent on the pro-rectory, in addition to all its structure of
contracts and services that depend on specific sectors of the
university.
 Develop pedagogical and methodological proposals that promote
appropriate technologies for the historical and concrete context of
local productive arrangements.
 Seek support at the Technological Development Center of other
institutions.
 Create incentive programs with banks of ideas and scholarship pay-
ments to support the development of green technologies research.
 Create a policy to stimulate the development of green technologies,
focusing on the development of collaborative projects between
companies and universities, using the researchers' knowledge to solve
problems of companies that can be solved through green
technologies.
 Promote a pgreater exchange between the two spheres and an
improved entrepreneur awareness of the fact that the university can
be a partner, but also that it is necessary that the company also
contribute with resources. Many entrepreneurs have the wrong belief
that the partnership comes down to being a free assessment from the
university.
 Maintain a communication network with students and teachers of
higher education schools, in order to work as a team to develop green
and efficient technologies.
 Creation of a specific system for green technology that can prioritize
this type of research and strengthen partnerships with companies
seeking that technology.
Future studies could analyze any aspects of the challenges addressed
in this work, among them.
 Creation of a tool to evaluate technology transfer activities in Bra-
zilian public universities;
 Proposal of a process model for technology transfer by knowledge
area for Brazilian universities, with the TTO as the intermediary agent
in this process.
The technology transfer process can be performed by focusing on the
commercial results of the technology licensing, including the business
advantages with a sustainable focus. So, the Brazilian government should
create public policies aimed at stimulating the participation of companies
in universities, allowing the universities' laboratories to develop tech-
nologies that may fit as Green Technologies/Patents.
Author contributions
Names of authors: Luan Carlos Santos Silva, Carla Schwengber Ten
Caten and Silvia Gaia.
Luan Carlos Santos Silva: Carried out the survey, Wrote the manu-
script. Marcones Monteiro: Silvia Gaia in data analysis especially
regarding the techology transfer. Carla Ten Canten Silva: Helped to su-
pervise the project.
The research was funded by CAPES Coordenaç~ao de Aperfeiçoamento
de Pessoal de Nível Superior.
Declaration of competing Interest
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper.
9
Innovation and Green Development 2 (2023) 100076
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