Academic Capitalism and University Incentives for Faculty Entrepreneurship

Entrepreneurial behavior by professors—including decisions about collaboration with industry, patenting and spinning off companies—can affect the productivity of top universities’ technology transfer efforts. Interviews with 98 professors at 12 southeastern universities showed that the most significant influence on these aspects of entrepreneurial behavior is the beliefs of professors about the proper role of universities in the dissemination of knowledge. Some institutional policies, notably revenue splits with inventors, can affect aspects of this behavior. These findings suggest that both university incentive policies and ethical concerns about academic capitalism, by limiting the productivity of technology transfer efforts, have an effect on regional economic development.     

Researchers’ Industry Experience and Productivity in University–Industry Research Centers: A “Scientific and Technical Human Capital” Explanation

We examine the impact of researchers’ previous industry experience on the research outputs and outcomes of university faculty affiliated with NSF and DOE research centers. Using a dataset combining curriculum vita and surveys, our results indicate significant differences between the researchers who have previous industry experience and those who do not. Using a simple model of research productivity, we found that academic researchers who had prior industry exposure produce fewer total career publications, but they support more students. Most important, and perhaps surprising, we could not establish any difference between the two groups’ publication activity when focusing on a five-year cross-section (years 1996–2000) rather than total career publications. We found statistical evidence that previous industry experience raised the annual publication productivity of junior faculty members and women researchers in our sample of research center personnel. We believe the unique blend of research center affiliation, academic post, and past industry experience gives an individual who embodies or possesses all three characteristics a diverse source of scientific and technical human capital and particular advantages over those who have no industry experience (though the “academic-only” set also has particular advantages in cumulative publishing productivity).     

Academic patents and materials transfer agreements: substitutes or complements?

U.S. universities and academic medical centers long have been important performers of research in the life sciences, but their role as a source of patented intellectual property in this field has changed significantly in the late 20th and early 21st centuries. The expanded presence of formal intellectual property rights within the academic biomedical research enterprise has occasioned numerous expressions of concern from scholars, policymakers, and participants. One widely expressed fear involves the effects of patenting on the conduct of the scientific research enterprise. There is also considerable concern over the possible role of Materials Transfer Agreements (MTAs) in raising research “transaction costs”. On the other hand, others suggest that the contractual structure provided by MTAs may reduce transaction costs and facilitate exchange. This paper undertakes a preliminary analysis of the role of MTAs in the biomedical research enterprise at the University of Michigan, a significant patenter and licensor of biomedical intellectual property. We examine the relationship among invention disclosures, patenting, licensing, and the presence or absence of an MTA. Although data limitations make any conclusions tentative, our analysis suggests that the increased assertion of property rights by universities through MTAs does not appear to impede the commercialization of university research through patenting and licensing.

The performance of university spin-offs: an exploratory analysis using venture capital data

University spin-offs are defined as firms founded by university employees. Using a large database on venture-backed start-up companies, I describe the characteristics of university spin-offs and investigate whether they perform differently than other firms. I find that venture-backed university spin-offs are concentrated in the biotechnology and information technology industries. Moreover, a spin-off tends to stay close to the university, suggesting that technology transfer through spin-offs is largely a local phenomenon. Multivariate regression analyses show that university spin-offs have a higher survival rate but are not significantly different from other start-ups in terms of the amount of venture capital raised, the probability of completing an initial public offering (IPO), the probability of making a profit, or the size of employment.

Effects on academia-industry collaboration of extending university property rights

Several recent studies show European university scientists contributing far more frequently to company-owned patented inventions than they do to patents owned by universities or by the academic scientists themselves. Recognising the significance of this channel for direct commercialisation of European academic research makes it important to understand its response to current Bayh-Dole inspired reforms of university patenting rights. This paper studies the contribution from university scientists to inventions patented by dedicated biotech firms (DBFs) specialised in drug discovery in Denmark and Sweden, which in this respect share a number of structural and historic characteristics. It examines effects of the Danish Law on University Patenting (LUP) effective January 2000, which transferred to the employer university rights to patents on inventions made by Danish university scientists alone or as participants in collaborative research with industry. Sweden so far has left property rights with academic scientists, as they also were in Denmark prior to the reform. Consequently, comparison of Danish and Swedish research collaboration before and after LUP offers a quasi-controlled experiment, bringing out effects on joint research of university IPR reform. In original data on all 3,640 inventor contributions behind the 1,087 patents filed by Danish and Swedish DBFs 1990–2004, Difference-in-Difference regressions uncover notable LUP-induced effects in the form of significant reductions in contributions from Danish domestic academic inventors, combined with a simultaneous substitutive increase of non-Danish academic inventors. A moderate increase in academic inventions channelled into university owned-patents does appear after LUP. But the larger part of the inventive potential of academia, previously mobilised into company-owned patents, seems to have been rendered inactive as a result of the reform. As a likely explanation of these effects the paper suggests that exploratory research, the typical target of joint university-DBF projects in drug discovery, fits poorly into LUP’s requirement for ex ante allocation of IPR. The Pre-LUP convention of IPR allocated to the industrial partner in return for research funding and publication rights to the academic partner may have offered more effective contracting for this type of research. There are indications that LUP, outside the exploratory agenda of drug discovery, offers a more productive framework for inventions requiring less complicated and uncertain post-discovery R&D.

Worker Democracy and Worker Productivity

A major source of oppression in industrial and post-industrial society is the restrictive and highly authoritarian nature of the workplace. One response is to democratize the workplace by increasing the participation of workers in making decisions and in choosing and evaluating managers as well as sharing in the ownership of the firm. These are not new ideas, and there are many examples of organizations pursuing various forms of democratic practices. However, a major objection is that such participation would compromise economic and other types of organizational productivity. This article examines the empirical support for that argument over a wide range of types of organizations in which workers participate in important decisions affecting their welfare. The overall results of this survey across many different forms of work organization suggest that the evidence supports the opposite conclusion, that worker participation increases productivity, particularly when workers share the benefits of higher productivity. The challenge is to ascertain ways of spreading these practices more widely.     

Research and standardisation in nanotechnology: evidence from Germany

Nanoscience and nanotechnology are science fields which are growing extremely dynamically. Germany occupies the top position in Europe and is only second to the US worldwide, which can be attributed to growing research promotion by the state. Based on a general conceptual framework on the role of different types of standards in the research process and technology life cycle, we argue that the market success of nanotechnology applications depends very much on the development of corresponding standards, which clarify not only terminology, measurement and testing methods, but also regulate safety and health aspects and specify interfaces. Other countries, European and international standardisation organisations have launched first initiatives rather early. However, Germany was not able to translate its excellent starting position in nanotechnology research into a leading position in standardisation initiatives, which pave the way for future commercialisation of nanotechnology and also the basis for the next generation of research activities. Based on a survey among stakeholders of German nanotechnology research, we are able not only to provide a first empirical validation of our conceptual model on the role of standards in the research process, but also to define the major problems at the interface between research and standardisation, and finally, to recommend possible options for their solution.

Why university inventions rarely produce income? Bottlenecks in university technology transfer

As intended, universities have gained ownership to an increased number of inventions from their labs after the enactment of Bayh-Dole act in 1980. But, how well are the universities taking advantage of the provisions of this Act? One aspect of this question is addressed empirically in this study. An analysis of the Association of University Technology Managers (AUTM) periodic Licensing Activity Surveys of 1995–2004 indicated that the annual income generated by licensing university inventions was 1.7% of total research expenditure in 1995 and 2.9% in 2004. Some consider this and the rate of commercialization of university inventions to be too low. A premise of this study is that the slow rate of commercialization of university inventions may be due to the lack of adequate trained staff and inventions processing capacity in University Offices of Technology Transfer (UOTT). This paper describes an empirical study of the non-legal, technical, and legal invention processing capacity of US UOTT and its implications. A survey questionnaire was sent to 99 randomly selected US research universities. Seventy-five percent of the respondents mentioned shortage of staff for non-legal and legal processing of inventions. More than a third of the respondents claimed that, in 2006, they failed to process more than 26% of the inventions due to insufficient processing capacity in the UOTT. The study includes multiple regression models to estimate the effect of staffing on performance variables (i.e., Provisional Applications Filed, Patent [non-provisional] Applications and Licenses Executed) and “Inventions Not Processed” by the UOTTs due to staff/budget shortages. It is argued that, when short of staff and budget, UOTTs will be reduced to devoting their resources to ensuring patent applications are filed and patents are issued at the expense of marketing of inventions. Further, high-tech inventions are difficult to market because, often, there are no ready markets for them, especially if the inventor had no pre-invention contacts with a potential licensee. High-tech inventions originating from university labs may need market space/niche identification, new market creation, and the translation of the lab result into an “investor friendly” business plan; most UOTTs may be significantly short on these skills. Recommendations of this study are: first, an in-depth study of universities that are prolific in licensing inventions (40 or more licenses a year) is necessary to understand the reasons for their success in the context of UOTTs capacity to process inventions. Further, all federal agencies sponsoring university research must earmark a small percentage of each grant exclusively for commercialization purposes at the university. The paper offers multiple options for the effective use of these funds. The paper also offers several avenues for future research.     

Entrepreneurship, Secrecy, and Productivity: A Comparison of Clinical and Non-Clinical Life Sciences Faculty

This paper addresses research in the life sciences, responsible for significant national expenditures for scientific investigations funded by both the federal government and industry. Our investigation examines faculty members' involvement with industry in entrepreneurial ways that is, involved in translating their research into potentially marketable knowledge or products. First, this study examines whether there are differences in entrepreneurial behaviour between clinical and non-clinical faculty in the life sciences with industry relationships, and, second, to discover any linkage between entrepreneurship and secrecy or productivity in different ways for clinical and non-clinical faculty. The study is based on survey responses of a national sample of 4,000 clinical and non-clinical life sciences faculty in 49 U.S. research universities. The results show non-clinical faculty as more involved at the back end. The more entrepreneurial end of commercialization while clinical faculty are involved at the back end. The more entrepreneurial faculty (non-clinical) are more likely to be secretive about their research. Clinical faculty are less likely to have been denied access to research results or products. Entrepreneurial faculty are not less productive in their faculty roles. This investigation is preliminary in that it addresses one large area of academic research but excludes fields with longer historical relationships with industry.     

The strategic value of new university technology and its impact on exclusivity of licensing transactions: An empirical study

Commercialization of new university technology within the new product development process is an important tool by which established firms can expand their innovative capabilities. The strategic importance of the university technology to the firm, however, can vary considerably. An exclusivity agreement is a useful tool to protect the firm’s investment and help ensure that value is appropriated through the commercialization process. An empirical study of 66 technology transfer projects in the information and communications technology industry reveals that licensing transactions are usually secured by some form of exclusivity agreements when the product innovation enabled by the new university technology is new-to-the-firm or new-to-the-market and the firm’s perception of the strategic value of the new technologies is high.      

The effect of university culture and stakeholders’ perceptions on university–business linking activities

The present work discusses the effects of university culture and structure on university–business relations, focusing on knowledge transfer activities. It puts forward the thesis that when links between university and business are introduced into the university system as a turn-key proposition rather than as developmental process, the prevailing university culture and structure will exert resistance against change and will oppose the creation of appropriate structures to promote them, with deleterious effects for the university.

The role of technology transfer offices in building the South African biotechnology sector: an assessment of policies,practices and impact

While South Africa appears to have many of the building blocks in place to support a vibrant biotechnology sector, the potential which exists has not yet been realised. Several policies and programmes have therefore been introduced by government in recent years in order to address some of the barriers. The poor flow of technologies from research laboratories to industry has been identified as an area of particular concern, with the role of institutional technology transfer offices (TTOs) as facilitators of improved technology transfer being highlighted. This paper describes the status quo of biotechnology in South Africa, discusses relevant policy developments and against this background, examines the status of TTOs, the constraints which are faced and how these might be overcome.

Predicting Technology Success: Identifying Key Predictors and Assessing Expert Evaluation for Advanced Technologies

This study investigates a set of precursor factors that appear related to future technology success, and whether or not expert evaluators can a priori provide useful information during the technology review process. Sixty-nine highly advanced post 9–11 technologies are tracked over time. Based upon the results of this study, we conclude that a reasonably good predictive model can be constructed from organizational and technology factors, such as firm size, stage of development, and strategic partnerships. The results also indicate that the incremental value of expert reviewers and technology evaluators to predict future technology success is relatively small. Reviewers that provided the greatest predicative power, however, had current scientific responsibilities. These results raise important issues regarding the capability of developing predictive models of technology success.      

Gender Patterns of Research and Licensing Activity of Science and Engineering Faculty

In this paper we extend our earlier work on science and engineering faculty disclosure and licensing activity to examine a characteristic of faculty ignored in our earlier work – the gender of faculty in our database of over 4500 faculty at 11 major universities. Not surprisingly, women comprise only 8.55% of the faculty in our sample. They are most represented in the biological sciences and the women in the sample are more likely to be younger faculty. The most striking result from highlighting women in the sample is that women are less likely to disclose inventions than men despite the fact that there are no significant differences in publication patterns. While disclosure activity varies by gender, we find that the disclosure activity of women and men converges over the period of our sample.JEL Classification: J16, L3, O3Financial support was provided by National Science Foundation (SES 0094573), the Alan and Mildred Peterson Foundation and the Ewing Marion Kauffman Foundation.     

论监察法学的研究论域

《监察法》的出台既是对国家监察体制改革成果的立法确认,也是腐败治理法治化的政治共识和社会共识的集中表达。近年来,围绕国家监察体制改革和《监察法》立法与适用的理论研究方兴未艾,各种思想观点的荟萃和制度理论的创新开创了一个全新的研究论域。监察法学的研究论域具有独立性和集中性,这是由其特殊的理论基础和特定的研究对象所决定。当前,要加快创设和建构监察法学学科,推动监察法学研究方法的整合与更新,持续为推动党风廉政建设和反腐败斗争向纵深发展提供稳定的理论知识供给和制度选择方案。监察法学的研究要确立其学科论域的基本构成,包括监察法基本原则的体系建构论、法律关系的主体适用论、监察制度的过程控制论和监察程序的衔接保障论等。在确立研究论域的基础上,监察法学应当坚持以现实问题为研究导向来保持其实践性品格,并继续兼蓄其他学科的思想资源和分析框架,以期形成具有中国特色、中国话语和中国气派的监察法学研究格局。     

Two-tiered entrepreneurship and economic development

This paper argues that there are two tiers of entrepreneurship important for economic development. One is concerned with investments in productive technologies that improve productivity and better service consumer needs. The other is concerned with the creation of protective technologies that secure citizens’ private property rights vis-à-vis one another. In the developing world where governments cannot or do not protect citizens against predation, “institutional entrepreneurs” devise private mechanisms of property protection, providing the security required for productive entrepreneurship to grow. However, private protection technologies can be a double-edged sword. While private protection technologies enable some investment and exchange by securing citizens’ property where government does not, potential constraints on these technologies’ effectiveness may simultaneously limit their ability to expand investment and exchange beyond modest levels.     

Patenting and spin-off creation by Canadian researchers in engineering and life sciences

This paper examines the determinants of patenting and spin-off creation using survey data of 479 researchers in engineering and 449 researchers in life sciences funded by the Natural Sciences and Engineering Research Council of Canada (NSERC). The results show that research novelty and laboratory size are the only two variables significantly explaining patenting and spin-off formation in both engineering and life sciences. Network capital explains spin-off formation in engineering and in life sciences as well as patenting in life sciences, but not in engineering. Furthermore, the results suggest that many categories of resources explain patenting and spin-off formation in engineering and in life sciences, but that the combinations of resources required differ for patenting and spin-off formation and between engineering and life sciences. The results of this paper suggest that customized policies would be required to accommodate differences between spin-off formation and patenting as well as between engineering and life sciences.      

Determinants of knowledge transfer: evidence from Canadian university researchers in natural sciences and engineering

This paper addresses three questions: First, what is the extent of research transfer in natural sciences and engineering among Canadian university researchers? Second, are there differences between various disciplines with regard to the extent of this transfer? And third, what are the determinants of research transfer? To answer these questions, the paper begins by differentiating between technology transfer and knowledge transfer. It then identifies the individual researcher as the unit of analysis of this study and introduces a conceptual framework derived from the resource-based approach of firms. The paper then reviews the literature on each of the factors included in the conceptual framework, beginning with the dependent variable, knowledge transfer. The conceptual framework includes four categories of resources and one category of research attributes that are likely to influence knowledge transfer. Based on a survey of 1,554 researchers funded by the Natural Sciences and Engineering Research Council of Canada (NSERC), comparisons of means of research transfer across research fields were conducted. Multivariate regression analyses were used to identify the determinants of research transfer by research field. The results of these analyses indicate that researchers transferred knowledge much more actively when no commercialization was involved than when there was commercialization of protected intellectual property. This paper thus adds to the relatively scarce evidence about knowledge transfer by examining knowledge transfer from a broader perspective than strict commercialization. The findings of this paper are also interesting for other reasons. We obtained statistical evidence indicating that researchers in certain research fields were much more active in knowledge transfer than those in other fields, thereby pointing to differences in levels of knowledge activities across research fields. Furthermore, we obtained evidence showing that only two determinants explained knowledge transfer in all the six research fields considered in this study, namely, focus of research projects on users’ needs, and linkages between researchers and research users. Statistical evidence obtained indicates that the other determinants that influence knowledge transfer vary from one research field to another, thus suggesting that different policies would be required to increase knowledge transfer in different research fields. The last part of the paper outlines the implications of the regression results for theory building, public policy and future research.     

The Role of University Spinout Companies in an Emerging Technology: The Case of Nanotechnology

This study examines the role of university spin-out (USO) companies in the emergence of a new technology, in our case nanotechnology. Three unique data-sets based on patents, co-publications, and firm data pertaining to the unfolding field of nanotechnology in the UK were developed. Subsequent analysis suggests that USOs play an important though not a dominant role. Furthermore, the results indicate that USOs in certain subfields of nanotechnology do not have a strong and growing proprietary technology base, raising questions about the commercial sustainability of these ventures. Overall, we observed that USOs are important contributors to technological change in specific subfields of nanotechnology, but that other actors, notably, large firms and (non-university affiliated) new technology-based firms are even more significant agents of technological change.     

Convenient and Inconvenient Truths in Family Law: Preventing Scholar‐Advocacy Bias in the Use of Social Science Research for Public Policy

This is the second of two articles on the risks of advocacy bias in the reporting of research findings when boundaries are blurred between social science research and advocacy in the pursuit of public policy. In the first article we identify common ways in which social science researchers and reviewers of research—wittingly or unwittingly—can become advocates for ideological positions and social policies at the expense of being balanced reporters of research evidence. The first article discusses the difference between truth in social science and truth in law and identifies a range of scholar‐advocacy strategies that bias research evidence, illustrated by recent debates about overnight parenting of infants and toddlers. In this second article we show how biased research evidence by scholar advocates results in increased confusion and controversy that diminishes the credibility of all parties and stalemates progress in the field, using a case illustration of intimate partner violence in family court. We also show how adherence to scientific methods prevents the misuse of research and suggest a number of collaborative, integrative measures that can help transcend the adversarial stalemate. In a look to the future we consider some unbiased, standardized ways of assessing the strength and generalizability of research evidence.