Research Policy最新文献

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“Meet me at the backdoor”: A multiple case study of academic entrepreneurs bypassing their technology transfer offices "后门见"：学术企业家绕过技术转让办公室的多重案例研究

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-28 DOI: 10.1016/j.respol.2024.105156

Norrin Halilem, Balla Diop

This article investigates the underexplored phenomenon of technology transfer office (TTO) bypassing in academic entrepreneurship. While TTOs are established to centralize and support intellectual property-based commercialization, a significant portion of entrepreneurial projects avoid the TTO. Relying on both economic (transaction cost theory) and ethical (Tyler's justice model) considerations, this study explores the motivations and contextual factors behind a researcher's decision to commercialize an invention using means other than the TTO. This multiple case study employs an in-depth exploratory qualitative approach to investigate five academic entrepreneurs across different disciplines in Canadian universities who chose to bypass their TTO, often in contravention of institutional policies. Our findings reveal a complex interplay among individual motivations, institutional policies, and market realities. We identified four paths of awareness and strategic intent in this process ranging from unintentional non-compliance to tactical avoidance which challenge a simplistic perception of TTO bypassing as merely unintentional rather than deliberate. The study also reveals four overlapping contexts that promote TTO bypassing: confidence in personal expertise, previous negative experience of using the TTO, peer-influenced skepticism, and external partner challenges. Furthermore, the findings show that the reasons for bypassing include both economic and ethical motivations which steer academic entrepreneurs toward alternative, privately managed commercialization paths. The article concludes with some implications for university managers and policymakers related to how to address the multifaceted motivations for TTO bypassing.

本文研究了学术创业中绕过技术转让办公室（TTO）这一未被充分探索的现象。虽然设立技术转让办公室的目的是集中和支持以知识产权为基础的商业化，但相当一部分创业项目却避开了技术转让办公室。本研究基于经济学（交易成本理论）和伦理学（泰勒的正义模型）两方面的考虑，探讨了研究人员决定使用技术性贸易机会以外的手段将发明商业化背后的动机和背景因素。这项多案例研究采用了深入的探索性定性方法，调查了加拿大大学不同学科的五位学术创业者，他们选择绕过技术性贸易机会，往往违反了机构政策。我们的研究结果揭示了个人动机、机构政策和市场现实之间复杂的相互作用。在这一过程中，我们发现了四种意识和战略意图的路径，从无意的不遵守到策略性的回避，这些路径挑战了将绕过技术性贸易机会仅仅视为无意而非故意的简单看法。研究还揭示了促进绕过技术性贸易机会的四种重叠背景：对个人专业知识的信心、以前使用技术性贸易机会的负面经验、受同行影响的怀疑态度以及外部合作伙伴的挑战。此外，研究结果表明，绕过技术性贸易机会的原因包括经济和道德动机，这些动机引导学术创业者选择其他私人管理的商业化道路。文章最后就如何解决绕过技术性贸易机会的多方面动机，对大学管理者和政策制定者提出了一些启示。

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引用次数: 0

Governance of knowledge development in a public-private partnership: NASA's efforts to design the Space Shuttle 公私伙伴关系中的知识开发管理：美国国家航空航天局（NASA）设计航天飞机的努力

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-23 DOI: 10.1016/j.respol.2024.105151

Raja Roy

What conceptual opportunities for the theory of innovation governance are uncovered by analyzing the knowledge development required to design the first reusable spacecraft, the Space Shuttle, through a public-private partnership? Using data collected from various sources, this study provides insights into how NASA, a public agency, governed knowledge development while engaging private actors in anticipation of creating a long-running shuttle program. First, within each phase of the design process, knowledge was developed through knowledge generation, knowledge filtration, and knowledge combination and involved a division of labor. Second, knowledge reinforcing—whereby the knowledge developed in the previous phase was innovated upon using new knowledge—occurred between phases. In summary, the paper highlights how public-private partnerships govern knowledge development by managing division of labor and reinforcing knowledge. These insights pave the way for future investigations at the intersection of governance mechanisms and innovation processes.

通过分析公私合作设计第一艘可重复使用航天器--航天飞机所需的知识发展，为创新治理理论提供了哪些概念性机遇？本研究利用从各种来源收集到的数据，深入探讨了作为公共机构的美国国家航空航天局（NASA）如何管理知识开发，同时让私人参与者参与进来，以期待创建一个长期运行的航天飞机项目。首先，在设计过程的每个阶段，知识都是通过知识生成、知识过滤和知识组合来发展的，并涉及分工。其次，知识的强化--即利用新知识对前一阶段开发的知识进行创新--发生在各阶段之间。总之，本文强调了公私合作伙伴关系如何通过管理分工和强化知识来管理知识发展。这些见解为今后研究治理机制与创新过程的交叉点铺平了道路。

引用次数: 0

Interfaces, social information processing, and diversity cascades: How board diversity influences invention output 界面、社会信息处理和多样性级联：董事会多样性如何影响发明产出

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-16 DOI: 10.1016/j.respol.2024.105148

Daniel Z. Mack , Guoli Chen , Po-Hsuan Hsu , Yen Teik Lee , Gerard George

Although recent studies report a positive relationship between board diversity and firms' invention output, less is known about the mechanisms by which they operate, given that boards are typically far removed from on-the-ground invention activities. Drawing from research on interfaces and social information processing, we propose a theory of diversity cascades across the organizational hierarchy. Specifically, we posit that board diversity has a positive––albeit indirect––influence on firms' invention output. This relationship is mediated by the diversity of top management teams and inventor diversity, as board diversity cascades from the top to lower ranks of an organization. This indirect effect is strengthened by the presence of inside executive directors who span the board-TMT interface, especially in terms of demographic diversity. We find support for our hypotheses by investigating a longitudinal sample of S&P 1500 firms and their patenting activities over the period 2000–2018.

尽管最近的研究报告称，董事会多样性与公司的发明产出之间存在正相关关系，但由于董事会通常远离实地发明活动，因此人们对其运作机制知之甚少。借鉴界面和社会信息处理方面的研究，我们提出了一种跨组织层级的多样性级联理论。具体来说，我们认为董事会的多样性对企业的发明产出有积极影响，尽管是间接影响。这种关系通过高层管理团队的多样性和发明人的多样性来调节，因为董事会的多样性会从组织的高层级联到低层。这种间接影响因内部执行董事的存在而得到加强，他们跨越了董事会和高层管理团队之间的界面，尤其是在人口多样性方面。我们对 2000-2018 年期间 S&P 1500 家公司及其专利活动进行了纵向抽样调查，结果支持了我们的假设。

引用次数: 0

The Government Patent Register: A new resource for measuring U.S. government-funded patenting 政府专利登记簿：衡量美国政府资助专利的新资源

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-14 DOI: 10.1016/j.respol.2024.105142

Daniel P. Gross , Bhaven N. Sampat

We introduce new historical administrative data identifying U.S. government-funded patents since the early twentieth century. In addition to the funding agency, the data report whether the government has title to the patent (“title” patents) or funded a patent assigned to a private organization (“license” patents). The data include a large number of “license” patents that cannot be linked to government funding from patent text or other sources. Combining the historical data with modern administrative sources, we present a public, consolidated data series measuring U.S. government-funded patents — including funding agencies — through 2020, and we provide code to extend this series in the future. We use the data to document long-run patterns in U.S. government-funded patents and federal patent policy, propose ways in which these data can be used in future research, and discuss limitations of the data.

我们引入了新的历史行政数据，以确定自 20 世纪初以来美国政府资助的专利。除了资助机构外，数据还报告了政府是否拥有专利所有权（"所有权 "专利）或资助了转让给私人机构的专利（"许可 "专利）。数据中包括大量 "许可 "专利，这些专利无法通过专利文本或其他来源与政府资助联系起来。结合历史数据和现代行政来源，我们提出了一个公开的、综合的数据系列，用于衡量直至 2020 年的美国政府资助专利（包括资助机构），我们还提供了将来扩展该系列的代码。我们利用这些数据记录了美国政府资助的专利和联邦专利政策的长期模式，提出了在未来研究中使用这些数据的方法，并讨论了数据的局限性。

引用次数: 0

Tracing productivity growth channels in the UK 追踪英国生产力增长渠道

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-13 DOI: 10.1016/j.respol.2024.105149

Daniel Garcia-Macia , Julia Korosteleva

What drove the UK productivity slowdown post-Global Financial Crisis, and how is the post-Covid recovery expected to differ? This paper traces the sources of TFP growth in the UK over the last two decades through the lens of a structural model of innovation, using registry data on the universe of firms. The dominant innovation source in the pre-GFC decade were improvements by incumbent firms on their own products, whereas creation of new varieties by entrants took a leading role post-GFC. In the Covid recovery, survey data (as of July 2021) suggested that creative destruction (i.e., innovation replacing other firms' products) was expected to gain importance. Innovation remains key for the UK economy to secure sustainable productivity growth. Once the recovery is underway, growth policies should prioritize labor and capital reallocation across firms, in addition to R&D support and human capital investment.

是什么导致了全球金融危机后英国生产率的放缓，科维德事件后的复苏预计会有何不同？本文通过创新结构模型的视角，利用企业总体的登记数据，追溯了过去二十年英国全要素生产率增长的来源。全球金融危机前十年的主要创新来源是在位企业对自身产品的改进，而在全球金融危机后，新进入企业创造的新品种占据了主导地位。在科维德复苏时期，调查数据（截至 2021 年 7 月）显示，创造性破坏（即替代其他公司产品的创新）的重要性有望提高。创新仍是英国经济确保生产率可持续增长的关键。一旦复苏开始，除了研发支持和人力资本投资外，增长政策应优先考虑劳动力和资本在企业间的重新分配。

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Assessing the productivity and abatement effects of the 1990 Clean Air Act Amendment 评估 1990 年《清洁空气法修正案》的生产力和减排效果

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-12 DOI: 10.1016/j.respol.2024.105145

Jason Campbell , Steven Levkoff

How does environmental regulation affect productivity and emissions? Measuring these disparate effects is important for effective eco-policy design, but these channels have been difficult to disentangle. We leverage a new methodology to model the joint production of output and multiple pollutants at the plant level. Exploiting variation from the 1990 Clean Air Act Amendment, our novel and versatile Generalized By-production approach allows us to conduct the first evaluation of the policy that explicitly models efficiencies of output (electricity), as well as efficiencies of NO_x and SO₂ reductions for coal-fired power plants. Our analysis highlights not only the production-pollution trade-off plants face, but also complementary effects of pollution abatement across pollutants. We show that the 1990 announcement of the policy induced anticipatory responses despite the regulation not requiring strict compliance until 1995. Plants forced to comply with the policy’s Phase I SO₂ reductions (i.e. assigned nonattainment designation), on average, suffered greater efficiency losses in productivity and showed larger improvements in both pollutant reductions, relative to lightly regulated (attainment) plants. Regulation-induced impacts vary by plant vintage, state environmental quality, and eco-friendly behaviors. Crucially, improvements in pollutant reductions outweigh the countervailing contractions in electricity generation.

环境监管如何影响生产力和排放？衡量这些不同的影响对于有效的生态政策设计非常重要，但这些渠道一直难以区分。我们利用一种新方法，在工厂层面建立产出和多种污染物联合生产的模型。利用 1990 年《清洁空气法案修正案》的变异，我们采用了新颖、多用途的 "广义副产品 "方法，首次对燃煤电厂的产出效率（电力）以及氮氧化物和二氧化硫减排效率进行了明确的政策评估。我们的分析不仅强调了发电厂面临的生产与污染之间的权衡，还强调了不同污染物之间污染减排的互补效应。我们的分析表明，尽管该法规直到 1995 年才要求严格遵守，但 1990 年公布的政策诱发了预期反应。被迫遵守该政策第一阶段二氧化硫减排要求的工厂（即被指定为非达标工厂），平均而言，相对于轻度监管（达标）工厂，在生产效率方面遭受了更大的损失，在两种污染物的减排方面都有更大的改善。监管引发的影响因工厂年份、州环境质量和生态友好行为而异。最重要的是，污染物减排的改善超过了发电量的逆势收缩。

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引用次数: 0

Who stands on the shoulders of Chinese (Scientific) Giants? Evidence from chemistry 谁站在中国（科学）巨人的肩膀上？化学证据

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-12 DOI: 10.1016/j.respol.2024.105147

Shumin Qiu , Claudia Steinwender , Pierre Azoulay

China’s rise in science has the potential to push forward the knowledge frontier, but mere production of knowledge does not guarantee that others are able to build on it. We ask whether chemistry research originating from China offers broad shoulders for follow-on scientists to stand on. We show that even after carefully controlling for the quality of Chinese research, Chinese scientists’ articles receive on average 28% fewer citations from US researchers, relative to scientists from other countries. Only Chinese researchers with unusually deep networks in the US can overcome, at least in part, the citation discount.

中国在科学领域的崛起有可能推动知识前沿的发展，但仅仅生产知识并不能保证其他人能够在此基础上更上一层楼。我们要问的是，源自中国的化学研究是否能为后继科学家提供广阔的发展空间。我们的研究表明，即使对中国研究的质量进行了仔细的控制，中国科学家的文章从美国研究人员那里获得的引用次数也比其他国家的科学家平均少 28%。只有在美国拥有异常深厚网络的中国研究人员才能克服（至少部分克服）引用折扣。

引用次数: 0

Institutionalising the digital transition: The role of digital innovation intermediaries 数字化转型的制度化：数字创新中介机构的作用

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-11 DOI: 10.1016/j.respol.2024.105146

Ana Colovic , Annalisa Caloffi , Federica Rossi , Margherita Russo

We examine how digital innovation intermediaries, mandated to support the digital transition as part of digital policy agendas, engage in institutional work to facilitate the adoption and diffusion of digital technologies. Building on neoinstitutional theory and the socio-technical transitions literature, our investigation aims to uncover intermediaries' institutional work on cultural-cognitive, normative, and regulative institutions across three levels of intermediation: organisation-, network- and ecosystem level. Based on a large evidence base related to 18 publicly-funded digital innovation intermediaries in France, including primary and secondary sources, we uncover the various forms of institutional work intermediaries engage in while facilitating the digital transition. We find that intermediaries' institutional work focuses on disrupting symbolic systems, creating relational systems and artefacts, and creating and maintaining routines. Intermediaries carry out different kinds of institutional work at different levels of intermediation. Furthermore, different types of intermediaries focus on distinct levels of intermediation and different institutions. Implications for policy and management are discussed.

作为数字政策议程的一部分，数字创新中介机构的任务是支持数字转型，我们将研究这些中介机构如何开展制度工作，促进数字技术的采用和传播。在新制度理论和社会技术转型文献的基础上，我们的调查旨在揭示中介机构在组织、网络和生态系统三个中介层次上的文化认知、规范和监管制度方面的制度工作。基于与法国 18 家政府资助的数字创新中介机构相关的大量证据（包括第一手和第二手资料），我们揭示了中介机构在促进数字转型过程中开展的各种形式的制度工作。我们发现，中介机构的机构工作主要集中在破坏符号系统、创建关系系统和人工制品，以及创建和维护常规。中介人在不同的中介层次开展不同类型的机构工作。此外，不同类型的中间人专注于不同的中介层次和不同的机构。本文讨论了对政策和管理的影响。

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引用次数: 0

Understanding the role of internal governance units in the process of social innovation: The case of Shared Lives Plus in England 了解内部治理单位在社会创新过程中的作用：英格兰 "共享生活+"案例

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-10 DOI: 10.1016/j.respol.2024.105152

Carl Purcell , Jill Manthorpe , Juliette Malley

Amid increasing demand for public services and stretched resources policymakers often promote ‘social innovation’ to address these tensions. However, critics argue that social innovation may just be a ‘fashionable concept’ or ‘buzzword’ in public policy discourse and that more empirical research is needed to help improve our understanding of the actors and mechanisms that drive effective social innovations. In response this article draws upon a case study of the development of Shared Lives as an alternative national model of adult social care in England over the past 40 years. Drawing on interviews with 50 individuals carried-out between late-2021 and early-2023, including those involved in four different local schemes, we highlight the positive role played by the organisation Shared Lives Plus, which we conceptualise as an ‘internal governance unit’ (IGU), in terms of establishing and maintaining a ‘community innovation infrastructure’. However, the example of Shared Lives also illustrates the difficult challenges IGUs can face in trying to move social innovations beyond an institutional ‘niche’.

面对日益增长的公共服务需求和捉襟见肘的资源，政策制定者往往提倡 "社会创新 "来解决这些矛盾。然而，批评者认为，社会创新可能只是公共政策讨论中的一个 "时髦概念 "或 "流行语"，需要更多的实证研究来帮助我们更好地理解推动有效社会创新的参与者和机制。作为回应，本文对过去 40 年来 "共享生活 "作为英格兰成人社会护理的另一种国家模式的发展进行了案例研究。根据 2021 年底至 2023 年初对 50 人（包括参与四个不同地方计划的人员）的访谈，我们强调了 "共享生活 "组织（我们将其概念化为 "内部治理单位"（IGU））在建立和维护 "社区创新基础设施 "方面所发挥的积极作用。然而，"共享生活 "的例子也说明了内部治理单位在试图使社会创新超越机构 "利基 "时可能面临的困难挑战。

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引用次数: 0

Case study research on innovation systems: Paradox, dialectical analysis and resolution 创新体系案例研究：悖论、辩证分析和解决方案

IF 7.5 1区管理学 Q1 MANAGEMENT

Research Policy

Pub Date : 2024-11-08 DOI: 10.1016/j.respol.2024.105136

Thanos Fragkandreas

This paper addresses a largely unnoticed methodological paradox regarding the scientific status of case study research on innovation systems (ISs). Case study research has been the methodological catalyst for the genesis and establishment of the ISs approach, as one of the most widely used theoretical and policy-relevant perspectives on innovation in the social sciences. However, many ISs scholars believe that this type of research is not scientific enough. To deepen our understanding of the case study paradox, this paper utilises the dialectical method (also known as dialectics); in particular, the analytical triad of thesis (affirmation), antithesis (negation), and synthesis (transformation). It is shown that a dialectical resolution to the case study paradox involves a three-phase process. First, the analysis introduces the deductive thesis, which, based on the hypothetico-deductive model of science, posits that case study research on ISs cannot investigate causality and generality. The second step formulates the retroductive antithesis, which, based on the retroductive model of science, holds that case study research inherently possesses the ability to infer causality and generality. The third and final phase transforms the contradiction between the deductive thesis and the retroductive antithesis into a new methodological perspective, the detroductive synthesis, wherein – depending on the model of scientific explanation – case study research is both incapable (deductive thesis) and capable (retroductive antithesis) of inferring causality and generality. Overall, the analysis enables IS scholars to conduct case study research in a paradox-free, stand-alone, causal-explanatory, and generalisable way. The paper ends by discussing thought-provoking implications for research practice, the peer-review process, and the evaluation of innovation policies.

本文探讨了有关创新系统（ISs）案例研究科学地位的一个在很大程度上未被注意到的方法论悖论。案例研究在方法论上推动了创新体系方法的产生和确立，是社会科学中使用最广泛的创新理论和政策相关视角之一。然而，许多 ISs 学者认为这类研究不够科学。为了加深我们对案例研究悖论的理解，本文采用了辩证法（又称辩证法），特别是论题（肯定）、反题（否定）和综合（转化）的分析三段论。研究表明，用辩证法解决案例研究悖论涉及三个阶段。首先，分析引入了演绎论题，该论题基于科学的假设-演绎模式，认为关于信息系统的案例研究无法探究因果关系和普遍性。第二步提出了逆推反论，即基于逆推科学模式，认为案例研究本身具有推断因果关系和一般性的能力。第三步，也是最后一步，将演绎论题和逆向反题之间的矛盾转化为一种新的方法论视角，即 "去演绎综合论"，根据科学解释模式，案例研究既不能（演绎论题）也能（逆向反题）推断因果关系和一般性。总之，该分析使 IS 学者能够以无悖论、独立、因果解释和可概括的方式开展案例研究。文章最后讨论了对研究实践、同行评审过程和创新政策评估的启示。

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