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© Marc Isabelle 20061 Knowledge, Finance and Innovation International Symposium, Dunkerque, France 26-30 September 2006 Marc ISABELLE IMRI (Université Paris-Dauphine) & CEA http://marc.isabelle.free.fr/ Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation
© Marc Isabelle 20062 Outline of the presentation Introduction –K & T transfer: a third new mission for public research? Overview –A new taxonomy than expands on Pasteurs quadrant –Changes in profiles are towards more applied research Implications for public policy and perspectives Main references –The linear model and its parricide children –Strong substitution features show at the margin –Tracking sources of financial support is the main drive for change Results –Research activities are distributed rather than dichotomous Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation –The increased relevance of public research: some pitfalls –Why using the expanded taxonomy at CEA? –The survey / the sample
© Marc Isabelle 20063 K & T transfer: a third new mission for public research? Reforms since 1980s, first experienced in US (Bayh-Dole act) –more collaboration between PROs and firms –growth in patent filing by PROs –increase in commercialisation of Knowledge & Technologies by PROs Reforms have double purpose = increased pressure for relevance of public research (Pavitt, 2001) –speed the innovation rate in the economy –increase leveraging of resources from their activities by PROs Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation Traditional missions = research, higher education connected to surge of biotechs and ICT NB– applies to universities – but for government research centres, traditional missions have long been research and K & T transfer does this increased pressure for relevance apply to them?
© Marc Isabelle 20064 Linear model = innovation stems from scientific knowledge development born 1945, 1980 In practice, especially since 1980s –multiple feedback loops (Kline & Rosenberg, 1986) –highly interactive process (triple helix: Leydesdorff & Etzkowitz, 1996) –multidisciplinary (Gibbons et al., 1994) –use-inspired basic research (Stokes, 1997) Applied research & Develop ment New products & processe s Basic research in principle, zero pressure for relevance (not in practice) research activities are not exogenous (irrelevant?) anymore The linear model and its parricide children Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation
© Marc Isabelle 20065 The increased relevance of public research: some pitfalls (1) Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation Skewing problem (Florida & Cohen, 1999) = shift to more short-term and applied research in response to the requirements of industrial partners Market misallocation of research resources = can not trigger research activities that arent expected to be useful but that can end up extremely useful empirical evidence =Yes (Rahm; Morgan; Henderson & al., 1998; Blumenthal & al., 1986; Goddard & Isabelle, 2006) No (Hicks & Hamilton, 1999; Ranga & al., 2003; Van Looy & al., 2004) Tragedy of anti-commons (Heller & Eisenberg, 1998) = IP over basic inventions fragments the S&T knowledge base – coordination costs to gather complementary inventions for innovation –slows down innovation as well as further research empirical evidence in upstream research = Yes (Murray & Stern, 2006) No (Walsh, Cho & Cohen, 2005)
© Marc Isabelle 20066 The increased relevance of public research: some pitfalls (2) Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation i.Secrecy problem (Florida & Cohen, 1999) = delays and restrictions over disclosure of results imposed by industrial partners empirically documented (Cohen & al., 1994; Blumenthal & al., 1997; Isabelle & Goddard, 2006) – more empirical studies required to provide clear-cut answers – do these pitfalls come together of separately? – what exactly are the drives for change? Restrictions on formal (i.) or informal (ii.) scientific communication –slow down further research –duplicate efforts i.Withholding of results, restrictions on informal exchange empirical evidence = Yes (Walsh & Hong, 2003; Goddard & Isabelle, 2006) No (Blumenthal & al., 1997)
© Marc Isabelle 20067 Stokes 2D taxonomy of research activities NoYes Pure basic research (Bohr) Use-inspired basic research (Pasteur) No Pure applied research (Edison) Considerations of use? Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation A new taxonomy than expands on Pasteurs quadrant Quest for fundamental understanding? The expanded taxonomy Technical achievements Curiosity-driven Use-inspired Open access Proprietary – more complete (proprietary vs. open-access) – more precise (e.g. room for activities that are use-inspired and curiosity-driven) – operational (?) Fundamental knowledge
© Marc Isabelle 20068 Why using the expanded taxonomy at CEA? A government research centre, not a university Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation 2 nd largest public research organisation in France CEA Scientific research S&T fields Energy Defence Information & Health Technological research Activities distributed over large bandwidth of the Science – Technology spectrum while focused on three S&T fields – ranks 4 th in France in terms of publications quality (citations) – 3 rd French applicant of European patents (2000) – specific technological missions, a scientific pool – no statutory difference between scientists and engineers – two divisions dedicated to SR, three TR – an established capacity to design, build and operate large scientific instruments every dimension of expanded taxonomy anticipated to apply more than marginally
© Marc Isabelle 20069 First wave to test expanded taxonomy (January 2006) Target = network of outstanding researchers within CEA (Research Directors) Likert-scale based questionnairequestionnaire Distributed over CEAs divisions, over S&T fields The sample 37 answers (very good response rate, over 80%) Division of Matter Sciences over-represented Division of Nuclear Energy under-represented bias towards basic research vs. applied research as compared to whole CEA Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation The survey
© Marc Isabelle 200610 Yes, essentially Use-inspired Yes, to a lower extent No Curiosity-driven Yes, essentially Yes, to a lower extent No 5%62%11% 16%0% Yes, essentially Technical Yes, to a lower extent achievements No Fundamental knowledge Yes, essentially Yes, to a lower extent No 3%51%3% 24%3% 8%0% Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation Research activities are distributed rather than dichotomous Yes, essentially Proprietary Yes, to a lower extent No Open-access Yes, essentially Yes, to a lower extent No 3%27%5% 38%11%0% 11%0% Stokes taxonomy cannot grasp this mixed picture
© Marc Isabelle 200611 Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation Changes in profiles are towards more applied research …but not that clearly towards less basic research 1=Much more2 = More3 = Unchanged4 = Less5 = Much less
© Marc Isabelle 200612 Strong substitution features show at the margin When one type of research is said to be increasing, the other is systematically said to be decreasing of left unchanged –use-inspired vs. curiosity-driven Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation –technical achievements vs. fundamental knowledge generation –proprietary vs. open-access
© Marc Isabelle 200613 49% of respondents answer that sources of financial support are essential drive for change (competitive resources include government grants, European projects, contracts with firms) For these researchers, changes are very homogenously biased towards more applied research and less fundamental research Tracking sources of financial support is the main drive for change More & Much more Less & Much less Technical achievements Use-inspiredProprietary Fundamental knowledge Curiosity- driven Open-access 78% (46%) 94% (68%) 72% (51%) 28% (16%) 50% (30%) 33% (16%) % subset (% whole sample) All types of research are impacted (no differences between subset profile and whole sample profile) Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation
© Marc Isabelle 200614 Implications for public policy… THANK YOU! Pressure for increased relevance of research also at play in government labs (not only universities) Increase sample size by launching surveys second wave Perform non-parametric statistical tests to better assess robustness of results Design and run econometric ordered logit model to better analyse relations between research style, changes and sources of change Balance between recurring / non-recurring financial support has strong impact on research style Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation funding policies should be explicit about their choice in terms of the relative volumes of fundamental and applied research Changes occur homogenously across various dimensions of expanded taxonomy and exhibit substitution features … and perspectives
© Marc Isabelle 200615 Main references Florida R., Cohen W.M., (1999), Engine or infrastructure? The university role in economic development, in: L.M. Branscomb, F. Kodama, Florida R., (eds), Industrializing Knowledge. University-Industry Linkages in Japan and the United States, Cambridge: MIT Press. Heller M., Eisenberg R., (1998), Can Patents Deter Innovation? The Anticommons in Biomedical Research, Science, Vol. 280. Henderson R., Jaffe A.B., Trajtenberg M., (1998), Universities as a source of commercial technology: a detailed analysis of university patenting, 1965-1988, The Review of Economics and Statistics, 80, 119-27. Pavitt K., (2001), Public policies to support basic research: What can the rest of the world learn from US theory and practice? (And what they should not learn), Industrial and Corporate Change, 10(3), 761-779. Ranga L.M., Debackere K., von Tunzelmann N., (2003), Entrepreneurial universities and the dynamics of academic knowledge production: A case study of basic vs. applied research in Belgium, Scientometrics, 58(2), 301-20. Van Looy B., Ranga M., Callaert J., Debackere K., Zimmermann E., (2004), Combining entrepreneurial and scientific performance in academia: towards a compounded and reciprocal Matthew-effect?, Research Policy, 33, 425-41. Hicks D., Hamilton K., (1999), Does university-industry collaboration adversely affect university research?, Issues in Science and Technology, Real Numbers. Expanding Pasteurs Quadrant with the proprietary vs. open-access dimension: Illustration in a large public research organisation Murray F., Stern S., (2006), Do formal intellectual property rights hinder the free flow of scientific knowledge? An empirical test of the anti-commons hypothesis, Paper presented at the Druid Summer Conference, Copenhagen, June 18-20. Walsh J.P., Cho C., Cohen W.M., (2005), Patents, Material Transfers and Access to Research Inputs in Biomedical Research, Final Report to the National Academy of Sciences Committee on Intellectual Property Rights in Genomic and Protein-Related Inventions, September.
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