Broadening out and opening up technology assessment: Approaches to enhance international development,co-ordination and democratisation

Technology assessment (TA) has a strong history of helping to identify priorities and improve environmental sustainability, cost-effectiveness and wider benefits in the technology policies and innovation strategies of nation-states. At international levels, TA has the potential to enhance the roles of science, technology and innovation towards achieving the Millennium Development Goals, effectively implementing the UN Framework on Climate Change and fostering general global transitions to ‘green economies’. However, when effectively recommending single ostensibly ‘best’ technologies or strategies, TA practices can serve unjustifiably to ‘close down’ debate, failing adequately to address technical uncertainties and social ambiguities, reducing scope for democratic accountability and co-ordination across scales and contexts. This paper investigates ways in which contrasting processes ‘broadening out’ and ‘opening up’ TA can enhance both rigour and democratic accountability in technology policy, as well as facilitating social relevance and international cooperation. These methods allow TA to illuminate options, uncertainties and ambiguities and so inform wider political debates about how the contending questions, values and knowledges of different social interests often favour contrasting innovation pathways. In this way TA can foster both technical robustness and social legitimacy in subsequent policy-making. Drawing on three empirical case studies (at local, national and international levels), the paper discusses detailed cases and methods, where recent TA exercises have contributed to this ‘broadening out’ and ‘opening up’. It ends by exploring wider implications and challenges for national and international technology assessment processes that focus on global sustainable development challenges.     

Rethinking the market-technology relationship for innovation

This paper revisits the ‘what causes innovation — market pull or technology push?’ debate to argue that the conceptualisation is flawed and that the firm is the only ‘agent’ capable of innovative action. The paper differentiates between ‘use’, ‘need’ and ‘intended use’ to obtain greater precision with respect to the technology-market matching process that is fundamental to innovation. The validity of the approach is demonstrated through empirical examples. These examples also show the value of distinguishing between two types of market concept used by the innovating firm. These are the ‘reference market’ which is a traded product that is a principal source of ‘use’ ideas for the mental construction of the ‘innovation market’ concept. It is the latter that can be thought to guide the construction of innovative production technology.     

Regulatory policy as innovation: Constructing rules of engagement for a technological zone of tissue engineering in the European Union

This paper addresses the question of the part that regulation plays in processes of innovation in sectors of technology. The politico-economic phenomenon of ‘Europe’ is partly constituted by regulatory regime-building, and new technologies are one of the major sites of regime-building. A constructionist social theory perspective shows that study of the conflictual processes of regulatory policymaking affords insights into the formation of the rules of engagement that constitute technology domains. Adopting the concept of emergent ‘technological zone’ in preference to industrial ‘sector’ or technoscientific network, the paper presents, using empirical research, a detailed account of the case of the debate and development of regulatory policy for therapeutic tissue engineering in the European Union's policy institutions and stakeholder networks. It describes how the jurisdiction of an emergent zone has been formed through such negotiations, providing a counter-example to the common view that regulation ‘lags behind’ innovation. The analysis takes account particularly of the part played by the malleability of the definition of the material technology itself in such constructive governance processes, and it also suggests various consequences for the array of producers of the technology, for market structuring and for the innovation pathways taken by tissue engineering technology. Concluding, the paper argues that there is conceptual advance to be made by bringing together constructionist social theory with innovation studies approaches that highlight the part played by non-firm, public institutions in shaping innovation ecologies.     

Approaching the innovation frontier in Korea: the transition phase to leadership

As leading East Asian latecomer firms begin to compete on the basis of new product development and in-house research and development (R&D), they appear to confront a difficult strategic dilemma. Should they compete as R&D and brand leaders on the international stage or should they continue with their tried and tested formula of low cost catch up competitiveness? Most studies of East Asian firms focus on catch up innovation processes. By contrast, this paper focuses on the challenges facing latecomer firms in the transition phase from catch up to leadership status, in order to assess the ‘strategic dilemma’ argument and examine the nature of transition innovation. Based on in-depth interviews with leading Korean firms, the paper contends that the strategic dilemma argument is a misleading oversimplification of the main innovation challenges facing most Korean firms as they become more technologically advanced. Most of the major exporters (or chaebol) offer a portfolio of products, some of which are technologically advanced and others less advanced. Corporate innovation strategies tend to be executed in relation to the needs of specific products (or closely related product families) rather than ‘the firm’ in its entirety. In addition, many firms in many product areas have yet to reach the innovation frontier stage and even the leading chaebol continue to produce large volumes of products under sub-contracting and licensing agreements. Firm strategies tend to embody a mix of leadership, ‘followership’ and latecomer positions according to the product portfolio of the company in question. The study identifies various strategic options and difficulties facing Korean firms during the transition process and points to promising future research on latecomer transition.     

The bumpy road of technology partnerships: Understanding causes and consequences of partnership mal-functioning

Research on technological partnerships has traditionally sought explanation of their high failure rates in partner characteristics and relationship features. This study introduces the notion of a ‘bumpy road’ in technology partnerships which refers to undesired outcomes such as ‘partnership mal-functioning’ and ‘instability’ to the degree to which innovation activities are hampered. We explain how firm-level strategies can reduce the probability of a ‘bumpy road’ in partnerships. We also assess the impact of this ‘bumpy road’ on innovative performance. We find that firms that excel in diversification of external activities (in terms of different types of partners) perform best. Moreover, a persistent product oriented innovation strategy geared at developing new products, new markets, or higher product quality will yield more stable partnership outcomes. Our results confirm that engagement in partnerships is beneficial for innovative performance. However, firms that experienced a ‘bumpy road’ in their technological partnerships have to pay a price in terms of a negative effect on their innovative performance.     

‘Energy regions’: The transformative power of regional discourses on socio-technical futures

‘Guiding visions’ play an important role in the transition management approach as a central means of mobilizing social actors and the co-ordination of dispersed agency.‘Energy regions’ in Austria are an interesting example for the strategic promotion of such guiding visions in the context of regional development. We describe the case of Murau, an alpine district in which a strong actor network has been built around a vision of systematically exploiting renewable energy sources and at the same time saving the region from economic decay. The vision gained much authority and has been institutionalised at various levels of regional governance. It furthermore was supported by and played an important role for regime level attempts to influence socio-technical change.Development and social propagation of such visions are inherently political and contested processes involving much strategizing and anticipation of conflict. We describe particular discursive strategies applied in niches - such as the combination and translation of sentiments into localised visions and demonstrations of feasibility. These strategies can be understood as systematic attempts to support discursive shifts at regime level by means of local activities, and aim to modify rather durable power structures.We suggest ways to analyse such discursive practices in order to orient strategic action in the course of such processes: analysing ‘guiding visions’ and their interference with other emerging trends; extending analyses across spatial scales (e.g. translations) and across thematic fields (e.g. convergence of agendas); and focusing on processes of stabilisation, institutionalisation and mutually reinforcing developments.     

What motivates academic scientists to engage in research commercialization: ‘Gold’, ‘ribbon’ or ‘puzzle’?

This paper employs the three concepts of ‘gold’ (financial rewards), ‘ribbon’ (reputational/career rewards) and ‘puzzle’ (intrinsic satisfaction) to examine the extrinsic and intrinsic aspects of scientists’ motivation for pursuing commercial activities. The study is based on 36 individual interviews and an on-line questionnaire survey of 735 scientists from five major UK research universities. It finds that there is a diversity of motivations for commercial engagement, and that many do so for reputational and intrinsic reasons and that financial rewards play a relatively small part. The paper draws on self-determination theory in social psychology to analyse the relationship between scientists’ value orientations with regard to commercial engagement and their personal motivations. It finds that those with traditional beliefs about the separation of science from commerce are more likely to be extrinsically motivated, using commercialization as a means to obtain resources to support their quest for the ‘ribbon’. In contrast, those identify closely with entrepreneurial norms are intrinsically motivated by the autonomy and ‘puzzle-solving’ involved in applied commercial research while also motivated by the ‘gold’. The study highlights the primacy of scientists’ self-motivation, and suggests that a fuller explanation of their commercial behaviour will need to consider a broader mix of motives to include the social and affective aspects of intrinsic motivation. In conclusion, the paper argues that policy to encourage commercial engagement should build on reputational and intrinsic rather than purely financial motivations.     

Techno therapy or nurtured niches? Technology studies and the evaluation of radical innovations

This article contributes to recent discussions in technology studies about applying insights from technology studies to policy decisions about the development and management of technological innovations. It does so by examining two approaches that can be used by policy makers to manage radical technological innovations in mobility and transportation: strategic niche management (SNM) and the PROTEE approach. The SNM approach uses protective ‘niches’ to develop radical innovations, whereas the PROTEE method is grounded in the assumption that technological innovations have a better chance of success if made “vulnerable” by subjecting them to risks and oppositions from the outset. Both SNM and PROTEE have, so far, been applied to retrospective case studies. This paper examines their potential effectiveness in the monitoring of real time innovation projects by comparing their conceptualizations of ‘learning’ and ‘experimenting’. It argues that the two approaches can draw upon each other to achieve a more refined conceptualization of learning and experimenting and in dealing with the problem of change and obduracy in the development of innovation projects.     

Scholarly research and information practices: a domain analytic approach

This paper deals with information needs, seeking, searching, and uses within scholarly communities by introducing theory from the field of science and technology studies. In particular it contributes to the domain-analytic approach in information science by showing that Whitley’s theory of ‘mutual dependence’ and ‘task uncertainty’ can be used as an explanatory framework in understanding similarity and difference in information practices across intellectual fields. Based on qualitative case studies of three specialist scholarly communities across the physical sciences, applied sciences, social sciences and arts and humanities, this paper extends Whitley’s theory into the realm of information communication technologies. The paper adopts a holistic approach to information practices by recognising the interrelationship between the traditions of informal and formal scientific communication and how it shapes digital outcomes across intellectual fields. The findings show that communities inhabiting fields with a high degree of ‘mutual dependence’ coupled with a low degree of ‘task uncertainty’ are adept at coordinating and controlling channels of communication and will readily co-produce field-based digital information resources, whereas communities that inhabit fields characterised by the opposite cultural configuration, a low degree of ‘mutual dependence’ coupled with a high degree of ‘task uncertainty’, are less successful in commanding control over channels of communication and are less concerned with co-producing field-based digital resources and integrating them into their epistemic and social structures. These findings have implications for the culturally sensitive development and provision of academic digital resources such as digital libraries and web-based subject portals.     

First- and second-order additionality and learning outcomes in collaborative R&D programs

In this paper, we distinguish between firm-level learning effects that result from ‘first-order’ and ‘second-order’ additionalities in innovation policy interventions. ‘First-order’ additionalities represent direct firm-level R&D subsidies, whereas ‘second-order’ additionalities result from knowledge spill-overs, horizontal knowledge exchanges between firms, and from other meso- or community-level effects. Analyzing data from collaborative R&D programs in Finland, we show that enhancing identification with a community of practice among R&D program participants (proxy for second-order additionality) enhances firm-level learning outcomes beyond those resulting from direct R&D subsidy (proxy for first-order additionality). Learning effects facilitated by second-order additionality are not confined to technological learning alone, encompassing also business and market learning. We also show that aspects of program implementation enhance identification with a community of practice, which then mediate the relationship between program implementation and firm-level learning outcomes.     

Regionally asymmetric knowledge capabilities and open innovation: Exploring ‘Globalisation 2’—A new model of industry organisation

This paper proposes to review and assess social scientific debate about the origins and nature of innovation in modern society. It focuses on three sub-sets of conceptualisation, critique and commentary that refer specifically to sub-national or regional innovation systems. Research in the latter field has grown enormously in recent years. Moreover, new perspectives from other disciplines than regional science have been promoted. One distinctive view of relevance in that it is focused on the role in innovation of specific ‘entrepreneurial universities’ in relation to industry and government is, of course, the ‘Triple Helix’ approach. This is reviewed and sympathetically critiqued. A second view, less sympathetically critiqued here, is one that itself attacks all so-called ‘new regionalism’ for stressing the importance of institutions, industry embeddedness and the micro-science of regional economic development. Dazzled by ‘Globalisation 1’ and the totalising power of ‘scale’ geographies, this rejection of the worth of spatial analysis at less than the global or national ‘scalar envelope’ is assessed for its potential insights into weaknesses of the regional innovation systems approach but found wanting in both technical accuracy and scholarly competence. Finally, the state of the art in regional innovation systems research is sketched by reference both to recent longitudinal findings and elaborations into specific technological fields, particularly but not only Bioregional Innovation Systems that help move us towards a newer theory of economic geography in the knowledge economy, based on ‘regional knowledge capabilities.’ The analysis conclusively proposes ‘Globalisation 2’, a ‘ground-up’ knowledge-driven evolution of the earlier ‘top-down’ multilateral trade institution and corporately driven ‘Globalisation 1.’     

On the innovativeness of foreign affiliates: Evidence from companies in The Netherlands

In examining the distinctive contributions of foreign subsidiaries and domestic firms to innovative performance in Dutch manufacturing, the paper shows that foreign ownership is an important factor in explaining inter-firm differences affecting innovativeness. It characterizes innovativeness by distinguishing between products that are new to the firm (‘imitative’ innovations), and those products that are new to the market (‘real’ innovations). It uses firm-level data for 4780 firms which took part in the Community Innovation Survey (CIS-2) for 1996 in The Netherlands. It concludes that foreign subsidiaries are more innovative, they are more likely to introduce ‘imitative’ as well as ‘real’ innovations compared to domestic firms. In comparison with the population of innovative companies, however, there is greater heterogeneity among foreign subsidiaries, i.e. they are not more likely to introduce ‘real’ innovations if they cannot utilize knowledge transfer from an associated company.     

Governing the virtual academic commons

This paper investigates the way in which certain institutions governing the common resources shared by academics and others are affected by the increase in communication facilities, disciplinary transgression and the value of knowledge. By taking its point of departure from concepts such as ‘tragedy of the commons’ and social dilemmas, the paper argues that institutions which have traditionally governed the so called ‘academic commons’ are now challenged by a number of factors pertinent to the evolution of knowledge society. As a result the governance principles for the academic commons must be further explicated and revised in the light of the new situation. A case in point from a recent on-line initiative by the US National Institute of Health (NIF) is presented to illustrate how such institutions can be built. Finally, a number of governance strategies are presented for an increasingly wired “virtual academic commons”.     

In search of a useful theory of the productive potential of intellectual property rights

Mainstream theory, which has informed the belief systems regarding the operation as well as the predicted social and economic effects of IPR systems, cannot explain why the IPR system generates different performance results and varying potential for growth across the firms, sectors and nations participating in the IPR system. This paper sketches a theory of the ‘productive potential of intellectual property rights’ which is able to do just that. Focusing on the ‘rules of the game’ embedded in the institutional IPR environment and the ‘play of the game’ within the alternative institutions of IPR governance, the paper emphasizes the importance of the nature or quality of the relationships among IPR stakeholders and the contribution of such relationships to the processes of financial and non-financial value creation and distribution from IPRs. The central role of cooperation, asymmetric relationships, and the effective resolution of conflicting interests amongst stakeholders is addressed. It is suggested that the proposed framework provides a better starting point for the design of IPR policy and management.     

The evolving nature of Taiwan's national innovation system: The case of biotechnology innovation networks

The dynamics of national innovation systems (NISs) are a source of considerable academic and policy interest, especially when to address new competitive challenges they involve changing institutions and relationships within successful systems. This paper examines the case of Taiwan which is embarking on a new phase in its approach to building its national innovative capacity through creating the infrastructure for a biotechnology industry. By examining the process and mechanisms by which new biotechnology innovation networks are being created, and contrasting their development with existing networks, we analyse the dynamics of Taiwan's NIS. The paper reviews the prospects for this new phase in Taiwan's transition from ‘imitation’ to ‘innovation’. The paper aims to add to the understanding of how innovation systems evolve. It is concerned with the contributors, processes and challenges of NIS evolution and the form and meaning of its dynamic changes.     

Investigation of a novel perforation technique in petroleum wells—perforation by drilling

The objective of perforating the petroleum wells is to maximize well productivity. A good connectivity between the wellbore and formation can lead up to achieve that goal. However, the conventional method of perforation, which basically involves the use of explosive charges, rarely meets the expected well productivity. It is mainly because of the formation of a region of reduced permeability around the perforation tunnel. To offset such and several other shortcomings of present practices, a new technique is required, the highlight of this paper. Described as the ‘perforation by drilling’ (PD), this new technique is examined and compared for its performance with that of another technique, ‘Perforation by Shooting’ (PS). For this, the experimental and numerical results of the PS technique on cylindrical sand samples of varying amounts of strength and porosity are studied. Moreover, in order to achieve a so-called ‘perfect perforation’, results are compared with the ‘Casting technique’. Three different samples were selected for the measurement of fluid flow rate and differential pressure across the perforation using a ‘geotechnical digital system’ (GDS), which is a triaxial testing device. Profiles such as fluid flow rate with a change in differential pressure and pressure build-up data with time, signify that the PD technique can achieve maximum wellbore productivity when compared to the PS technique. Results also indicate that at a 100 kPa differential pressure, the PS, PD and Casting techniques can achieve 0.20, 0.65 and 1.00 mL/s fluid flow rates respectively across a sample. The paper also implements a 1-D time dependent porous media flow model to simulate flow across the perforated cylindrical samples created by the PS, PD and Casting techniques. Results show a good consistency between the experimental and numerical approaches.     

An analysis of image retrieval behavior for metadata type image database

The aim of this paper was to analyze users’ behavior during image retrieval exercises. Results revealed that users tend to follow a set search strategy: firstly they input one or two keyword search terms one after another and view the images generated by their initial search and after they navigate their way around the web by using the ‘back to home’ or ‘previous page’ buttons. These results are consistent with existing Web research. Many of the actions recorded revealed that subjects behavior differed depending on if the task set was presented as a closed or open task. In contrast no differences were found for the time subjects took to perform a single action or their use of the AND operator.     

Entrepreneurship: Exploring the knowledge base

Entrepreneurship research has a long tradition and since the 1980s the field has grown significantly. In this study we identify the ‘knowledge producers’ who have shaped the field over time and their core entrepreneurship research works. A unique database consisting of all references in twelve entrepreneurship ‘handbooks’ (or state-of-the-art books) has been developed. The chapters in these handbooks were written by experts within the field, and it can be assumed that the most frequently cited references represent ‘core knowledge’ with relevance to entrepreneurship research.From our analysis, it appears that entrepreneurship is a rather changeable field of research, closely linked to disciplines such as ‘management studies’ and ‘economics’. Over time, the field has become more formalized with its own core knowledge, research specialities and an increasing number of ‘insider works’. However, it is still based on some fairly old theoretical frameworks imported from mainstream disciplines, although during the last decade we have seen the emergence of a number of new field-specific concepts and theories. We argue that to successfully develop entrepreneurship research in the future, we need to relate new research opportunities to earlier knowledge within the field, which calls for a stronger ‘knowledge-based’ focus. We would also like to see greater integration between the fields of entrepreneurship and innovation studies in the future.     

The role of intermediation and absorptive capacity in facilitating university-industry linkages—An empirical study of TAMA in Japan

This paper analyzes two elements necessary for building an efficient regional technology-transfer system between universities and firms, namely, an intermediary organization and regional firms that have a developed ‘absorptive capacity’, touching in particular upon the tacit knowledge aspects. Based on an empirical study of the TAMA cluster project (in the western part of the Tokyo Metropolitan Area), which is a model project of the ‘Industrial Cluster Plan’ in Japan, we examine the intermediation effect of the TAMA Association and the ‘absorptive capacity’ of various product-developing SMEs. These two elements are interrelated because the participation of the product-developing SMEs is a prerequisite for the effective functioning of an intermediary such as the TAMA Association. Our analysis also shows that university-industry linkages and inter-firm linkages lead to different outcomes.