Showing papers in "Science and Public Policy in 2007"
TL;DR: In this article, the authors analyse the development of a new policy instrument as an innovation process in governance and use the innovation journey concept to track the process in which emissions trading emerges as a novel configuration in environmental governance.
Abstract: This paper analyses the development of a new policy instrument as an innovation process in governance. Using the innovation journey concept to track the process in which ‘emissions trading’ emerges as a novel configuration in environmental governance shows how the policy instrument develops dynamics of its own, partly independently of policy problems and goals. These dynamics cut across governance domains, from air pollution policy in the USA to climate policy in the European Union. Interactions across science, policy development and the governance domains in which the instrument is applied prove to be critical for the transition between phases: from options to first developments; to experiments with a prototype; further diffusion; and, finally, the formation of a transnational policy regime. Key factors are openings in existing governance structures, establishment of linkages with contexts of implementation and the generation of momentum through the ‘carbon industry’ as an emerging service economy. Copyright , Beech Tree Publishing.
203 citations
TL;DR: In this article, a comparative analysis of the evolution of national research policies during the past three decades in six European countries (Austria, Italy, France, Netherlands, Norway and Switzerland), with a special focus on the changes of public project funding schemes, is presented.
Abstract: This article presents a comparative analysis of the evolution of national research policies during the past three decades in six European countries (Austria, Italy, France, Netherlands, Norway and Switzerland), with a special focus on the changes of public project funding schemes. It systematically uses indicators on the volume of funding attributed by each instrument and agency, which have been developed in a project of the European network of excellence PRIME. A common model is identified in these countries, where project funding is the second main channel of public funding of research, but also there are considerable variations among them in the share of instruments and agencies, and in beneficiaries. There are three interesting commonalities: a strong increase of project funding volumes; a differentiation of instruments; and a general shift towards instruments oriented to thematic priorities. They also show that individual countries appear to follow quite distinct paths in the organisation setting of funding agencies, and that national differences in funding portfolios persist through time.
144 citations
TL;DR: This paper argued that the role of metrics is as a trigger to the recognition of anomalies, rather than as a straight replacement for peer review, and that peer review must be retained as a central element in any research assessment exercise.
Abstract: The use of quantitative performance measures to assess the quality of university research is being introduced in Australia and the UK. This paper presents the case for maintaining a balanced approach. It argues that ‘metrics’ have their place, and can make the process more efficient and cost-effective, but that peer review must be retained as a central element in any research assessment exercise. The role of metrics is as ‘a trigger to the recognition of anomalies’, rather than as a straight replacement for peer review. Copyright , Beech Tree Publishing.
118 citations
TL;DR: In this paper, the authors explore the micro-dynamics of relationship formation and development in the university-industry context using a social capital perspective, and explore whether embeddedness in prior established networks influence the formation of collaborative research projects between firms and universities.
Abstract: This paper explores the micro-dynamics of relationship formation and development in the university-industry context using a social capital perspective. The aim is to explore whether embeddedness in prior established networks influence (1) the formation of collaborative research projects between firms and universities, and (2) the participants' perception of the success of the research collaboration. Data from a qualitative study of collaborative R&D projects in two academic fields indicates that collaborative relationships are formed in several distinct ways depending on the availability of pre-existing resources and incentives, and that successful collaborations grow out of prior established ties. These findings are discussed in light of recent policies focusing on strengthening relationships between universities and SMEs. Copyright , Beech Tree Publishing.
113 citations
TL;DR: The authors argue that current structures for governing research are often inappropriate, damage the reputation and value system of the academy, and produce a widespread perception that much research is irrelevant, and new ways are needed to address how disciplinary value judgements and the structure of peer review influence the direction of academic research.
Abstract: Long-term changes in knowledge production can produce mismatches between the research that society requires and the research that society produces — what we term `relevance gaps'. This paper explores what can be done to close them. The paper argues that current structures for governing research are often inappropriate, damage the reputation and value system of the academy, and produce a widespread perception that much research is irrelevant. New ways are needed to address how disciplinary value judgements and the structure of peer review influence the direction of academic research. Alternatives to current peer-review practices and guidelines for funding agencies are proposed
105 citations
TL;DR: A set of general criteria for the proper use of bibliometric indicators within peer-review processes is proposed, and applies these to a particular case: the UK Research Assessment Exercise (RAE).
Abstract: The paper discusses the strengths and limitations of ‘metrics’ and peer review in large-scale evaluations of scholarly research performance. A real challenge is to combine the two methodologies in such a way that the strength of the first compensates for the limitations of the second, and vice versa. It underlines the need to systematically take into account the unintended effects of the use of metrics. It proposes a set of general criteria for the proper use of bibliometric indicators within peer-review processes, and applies these to a particular case: the UK Research Assessment Exercise (RAE). Copyright , Beech Tree Publishing.
98 citations
TL;DR: A re-imagined science, technology and innovation (STI) policy is proposed in this article, which embraces wider intellectual, social, cultural, environmental and economic returns, using qualitative measures and processes to capture research outcomes.
Abstract: Science, technology and innovation (STI) policy aimed at technological advance, international competitiveness and wealth creation underpins the regulation of publicly funded research. Familiar quantitative evaluative ‘metrics’ fit snugly with these economic objectives. A re-imagined STI policy embraces wider intellectual, social, cultural, environmental and economic returns, using qualitative measures and processes to capture research outcomes.
92 citations
TL;DR: The development of UK low-energy housing illustrates some limitations of this model of technology change as mentioned in this paper, which is why the Government has recently become interested in low energy housing niches because of growing concerns about climate change.
Abstract: Strategic niche management concerns how governments can foster the introduction of new technologies, initially through establishing experiments within protected niches. The development of UK low-energy housing illustrates some limitations of this model of technology change. Low-energy housing niches built during the 1990s have not been driven by Government policy, but rather have been initiated by entrepreneurial individuals working outside of Government. However, the Government has recently become interested in low-energy housing niches because of growing concerns about climate change. Several policies and initiatives drawing on the niches have emerged but they do not amount to a coherent niche strategy. © Beech Tree Publishing 2007.
87 citations
TL;DR: The role of seasonal climate forecasting (SCF) in decreasing the vulnerability of poor populations in many countries to climate variability and change has been discussed in the scholarly literature and policy circles as mentioned in this paper.
Abstract: For the past ten years, the role of seasonal climate forecasting (SCF) in decreasing the vulnerability of poor populations in many countries to climate variability and change has been discussed in the scholarly literature and policy circles. This paper reviews the literature on climate forecasting information and explores three main equity implications of SCF use. First, while investment in SCF as a decisionsupport tool has been justified in social terms, many examples of application show that the most vulnerable are unable to benefit from SCF information and may be harmed by it. Second, the usability of SCF as a decision-making tool has been constrained by accessibility and communication issues. Third, there may be opportunity costs in the sense that focus on SCF displaces political, human and financial capital from other more effective alternatives for decreasing the vulnerability to disaster among the poor. This review argues that, without attention to specific mechanisms to counter pre-existing inequities, the distribution and use of SCF is not likely to ameliorate the conditions of those most in need.
86 citations
TL;DR: In this article, the authors address the mobility of scientists and its implications for countries with weaker scientific and technological systems, focusing on the return dilemma and, using the Portuguese case as empirical setting, discusses the conditions for return, the diaspora option and the role of policies in minimising the impacts of unbalanced flows.
Abstract: This paper addresses the mobility of scientists and its implications for countries with weaker scientific and technological systems. It focuses on the “return dilemma” and, using the Portuguese case as empirical setting, discusses the conditions for return, the diaspora option and the role of policies in minimising the impacts of unbalanced flows. We propose a method to identify and locate key expatriate scientists (a basic problem in mobility research) and conduct an exploratory application of that methodology in a specific field, in order to collect some information on scientists' trajectories as well as gaining some preliminary insights on their attitudes towards the home country. Copyright , Beech Tree Publishing.
84 citations
TL;DR: In this article, a detailed analysis of the performance of European science in the upper tail of scientific quality, in fast moving scientific fields, and in new fields that follow a proliferation pattern of growth, or divergent search regime is presented.
Abstract: This paper offers detailed evidence of the weak performance of European science in the upper tail of scientific quality, in fast moving scientific fields, and in new fields that follow a proliferation pattern of growth, or divergent search regime. The relatively poor performance is offered as a better explanation than the European paradox for current difficulties in high technology industries and trade. The paper calls for a shift of attention, from the level of science policy to the dynamic comparative analysis of deep institutional features of scientific systems, offering a number of provocative statements on scientific institutions in European countries. Copyright , Beech Tree Publishing.
TL;DR: In this article, the authors assessed developments in innovation measurement that have been incorporated into the recent revision of the Oslo Manual and discuss some options for building on these changes in the future.
Abstract: This paper assesses developments in innovation measurement that have been incorporated into the recent revision of the Oslo Manual. Among the most central points emphasized in recent innovation literature are a need for: data that is adequate for the analysis of innovation systems and for policy-making; and a suitable measurement framework to capture the substantial innovation activity within services. The new measurement framework, which includes an expansion of the innovation concept beyond technological product and process innovation and a more complete treatment of linkages and knowledge flows, provides greater coverage of these topics. However, while these changes are a significant step forward in innovation measurement, there are a number of areas in which survey guidelines can be improved further, among them human resource development and the role of demand in innovation. The paper discusses some options for building on these changes in the future. Copyright , Beech Tree Publishing.
TL;DR: In an effort to move social justice issues higher on R&D policy-making agendas, the authors ask whether new technoscientific capacities introduced into a non-egalitaria n society tend disproportionately to benefit the affluent and powerful.
Abstract: In an effort to move social justice issues higher on R&D policy-making agendas, we ask whether new technoscientific capacities introduced into a non-egalitaria n society tend disproportionately to benefit the affluent and powerful. To demonstrate plausibility of the hypothesis, we first review examples of grossly non-egalitarian outcomes from military, medical, and other R&D arenas. We then attempt to debunk the science-inequity link by looking for substantial categories where R&D is conducive to reducing unjustified inequalities. For example, R&D sometimes enables less affluent persons to purchase more or better goods and services. Although the case for price-based equity proves weaker than nonnally believed, R&D targeted towards public goods tums out to offer a reasonable chance of equity enhancement, as do several other potentially viable approaches to science policy. However, major changes in science-polic y institutions and participants probably would be required for R&D to serve humanity equitably.
TL;DR: The authors examines the principles of distributive justice that underlie common rationales and goals in science and technology policy, treating four traditions in political philosophy: libertarian, utilitarian, contractarian, and communitarian.
Abstract: This article examines the principles of distributive justice that underlie common rationales and goals in science and technology policy, treating four traditions in political philosophy: libertarian; utilitarian; contractarian; and communitarian. All four approaches play some role in current ST in the effort to maximize public benefit; in programs targeted to disadvantaged groups; and in programs that build community through involvement in research. This variety gives national policy-makers options to mix, match, and grow these elements in their national systems. Making conscious decisions about the mix is important to achieving public goals in science and technology. Copyright , Beech Tree Publishing.
TL;DR: In this paper, the authors argue that a shift in intellectual property rights to universities is the key instrument in increasing com-mercialization of publicly funded research and how much can actually be learned from the U.S. system.
Abstract: Is a shift in intellectual property rights to universities the key instrument in increasing com-mercialization of publicly funded research? How much can actually be learned from the U.S. system, di ...
TL;DR: In this paper, a case study of policy-making in multi-level, multi-actor spaces for other regional governance systems is presented, where the authors provide lessons on policy making in multilevel, multiactor spaces.
Abstract: Regional boundaries and distinct institutions and policy agendas confer on Scotland a characteristic regional system of innovation that affords multiple opportunities for interactions between policy-makers and policy targets. Scotland should offer a set of circumstances congenial to the operation of policy networks, which might facilitate policy integration. However, the predominance of the public sector and the gate-keeping roles therein still present significant barriers to the effective operation of such networks and militate against an integrated policy approach. This Scottish case study provides lessons on policy-making in multi-level, multi-actor spaces for other regional governance systems. Copyright , Beech Tree Publishing.
TL;DR: This article performed an experiment of quantitative assessment on changes in allocation mechanisms and in their underlying delegation models, using the quantitative information and the descriptions of national funding systems produced in the PRIME project funding activity.
Abstract: The objective of this paper is to perform an experiment of quantitative assessment on changes in allocation mechanisms and in their underlying delegation models, using the quantitative information and the descriptions of national funding systems produced in the PRIME project funding activity. Delegation has been explored through changes in instrument portfolios and in evaluation modes, as proofs of an evolution in research governance. Some common trends can be identified: the reinforcing of both priority setting and peer review processes. The general result of our analysis is that some change in delegation modes took place, but there is not a simple transition from one delegation regime to another. Copyright , Beech Tree Publishing.
TL;DR: In this article, the authors assess the specificity of the French research system and of its funding mode, which is accepted in most of the literature on the subject, and show that this interpretation is largely a result of the use of categories for the analysis of public funding that are not really suited to the French case.
Abstract: In this paper, we critically assess the specificity of the French research system and of its funding mode, which is accepted in most of the literature on the subject. We show that this interpretation is largely a result of the use of categories for the analysis of public funding that are not really suited to the French case. We thus develop two new categories: joint laboratories as a distinct organisational structure between public research organisations and universities; and human resources funding as a description of the specific allocation mode of CNRS (Centre National de la Recherche Scientifique) to the joint laboratories, which we consider as more similar to project funding than to core funding. We then show that the French system has changed fundamentally in the last two decades, moving towards a system much nearer to other European countries than normally assumed, albeit following a distinct evolutionary trajectory based on the gradual restructuring of existing instruments. In methodological terms, this underlines the importance of adapting the categories for the analysis of funding systems to the specificities of each national context.
TL;DR: In this article, the authors compare the average return under the present and proposed mechanisms, and examine under which conditions this new method is preferable, and its consequences on economic growth, and propose a mechanism that will allow less conformity.
Abstract: In most countries, governments intervene in the process of R&D by financing a substantial part of it. The mechanism employed for choosing the projects to be financed is a committee composed of experts who evaluate projects in their field of specialisation, and decide which ones should be funded. This method is conservative. Proposals for new ideas are too often rejected, and inventions are commonly thrown out of the set of potential projects. In this paper, I propose a mechanism that will allow less conformity: focal randomisation. This states that projects that are unanimously ranked at the top by all reviewers will be adopted. Projects perceived as valueless by all are rejected, while projects that are ranked differently are randomised. I compare the average return under the present and proposed mechanisms. I examine under which conditions this new method is preferable, and its consequences on economic growth. N MOST COUNTRIES, governments intervene in the process of R&D by financing a substantial part of it. The reason for this intervention is that research and development undertaken by one firm has positive spillover effects on the entire economy. Since firms do not take these spillover effects into account, they invest in R&D less than the optimal amount. It is difficult to estimate these externalities, but it could double the real rate of return. Moreover, basic research is a non-excludable investment and firms have no interest in undertaking it in a competitive market. Therefore, government financing is necessary. In some countries, it can amount to more than 60% of total R&D funding. Such an intervention, however, creates a problem: how does the government choose which projects to finance? It could be that the projects chosen are not those with the highest potential growth for the economy and therefore not optimal for the country. In this paper, I discuss the mechanism of evaluating and choosing the projects to be financed in a given field, but do not treat the problem of deciding which field to finance. The mechanism employed in most countries is a committee composed of research fellows who evaluate projects in their field of specialisation and decide which ones should be funded. Alternatively, the decision is left to the committee chair, taking into consideration the referees’ reports. Both mechanisms are based on what is termed ‘peer review’. The problems with peer review have been analyzed at length and, in the next section, we give an outline of the different problems. However, most of these negative effects do not affect the rate of growth of the economy as does one specific problem: the conservative bias. Indeed, peer review presents a bias against innovative applications, as emphasised by many and especially Martin (1997: 72):
TL;DR: A scientometric, top-down and institution-based research assessment methodology that is based on total citations accumulated from all publications associated with a specific university during the survey period is proposed in this paper.
Abstract: We advocate a scientometric, top-down and institution-based research-assessment methodology that is based on total citations accumulated from all publications associated with a specific university during the survey period. The exercise could be done every year using a rolling seven-year retrospective sample and should be performed by at least two independent auditors. Identification of elite ‘revolutionary-science’ institutions could be accomplished using a metric derived from the distribution of science Nobel Prizes.
TL;DR: In this paper, the authors demonstrate how the boundary between science and nonscience gets used to do boundary-work among scientists, and identify sources of pollution and purity claims among scientists.
Abstract: The primary purpose of this article is to demonstrate how the boundary between science and nonscience gets used to do boundary-work among scientists. Claims that scientists have been polluted by breaches of this boundary, or, conversely, claims that scientists remain pure and unpolluted, are effectively ways to construct boundaries within science, between more and less authoritative scientists. A secondary purpose of this article is to identify sources of pollution and purity claims. Examples are taken from a case study of the role owl and forest scientists played in constructing nature and environmental policy in the Pacific Northwest.
TL;DR: In this paper, the authors present a broad range of provocative academic opinion on preferred future pathways for science policy and research assessment, unpacks the apparent dichotomies of metrics vs peer review and quality vs impact, and considers the hazards of adopting research evaluation policies in isolation from wider developments in scientometrics (the science of research evaluation) and divorced from the practical experience of other nations (policy learning).
Abstract: The idea for this special issue arose from observing contrary developments in the design of national research assessment schemes in the UK and Australia during 2006 and 2007 Alternative pathways were being forged, determined, on the one hand, by the perceived relative merits of ‘metrics’ (quantitative measures of research performance) and peer judgement and, on the other hand, by the value attached to scientific excellence (‘quality’) versus usefulness (‘impact’) This special issue presents a broad range of provocative academic opinion on preferred future pathways for science policy and research assessment It unpacks the apparent dichotomies of metrics vs peer review and quality vs impact, and considers the hazards of adopting research evaluation policies in isolation from wider developments in scientometrics (the science of research evaluation) and divorced from the practical experience of other nations (policy learning)
TL;DR: In this article, the authors investigated the developments of research councils in Austria, Norway and Switzerland, and analyzed their responsiveness to government and science by use of various data sources and indicators, and found that research councils are sometimes more responsive to the beneficiaries' interests (science) than to policy-makers.
Abstract: This paper investigates the developments of research councils in Austria, Norway and Switzerland, and analyses their responsiveness to government and science By use of various data sources and indicators, our results suggest that councils are sometimes more responsive to the beneficiaries' interests (science) than to policy-makers, but are more responsive to government policies when under stronger government control Patterns of responsiveness tend to be stable through time despite important changes in national contexts and the changing roles and organisation of research councils These findings have interesting theoretical consequences about responsiveness and independence Copyright , Beech Tree Publishing
TL;DR: The authors surveys the various mechanisms for risk financing and the complementary, yet constantly evolving, roles of business angels, venture capital firms, and government programs in such financing, using examples from various countries.
Abstract: New knowledge-based enterprises have several characteristics that limit their options for obtaining financing from external sources: they have little or no collateral, their assets tend to be intangible, and the value of their innovations is hard to calculate. For these reasons, entrepreneurs in the more knowledge-intensive fields tend to rely largely on equity financing. This is a more "patient" form of capital for early stage operations with returns linked directly to firm earnings. Using examples from various countries, this paper surveys the various mechanisms for risk financing and the complementary, yet constantly evolving, roles of business angels, venture capital firms, and government programs in such financing.
TL;DR: In this paper, a regime analytical framework is developed that allows for a focus on the configuration of science and technology in society as a whole, paying attention to comparative variation and the significance of institutions, practices, and discourses.
Abstract: Against the background of previous historical changes in the configuration of science and politics, this article explores the particular new qualities of more recent changes in the relationship between these two domains. Reconfigurations of politics are outlined at the national, supranational, and international levels, while reconfigurations of science are presented with regard to four high-technologies (nuclear, information and communication, bio, and nano-technologies), hereby aiming at the interdependencies between politics and science. To this end, a regime analytical framework is developed that allows for a focus on the configuration of science and technology in society ‘as a whole,’ paying attention to comparative variation and the significance of institutions, practices, and discourses. Copyright , Beech Tree Publishing.
TL;DR: In this article, the authors consider the likely impact of DNA technology on race, class, and gender inequalities that are acknowledged facets of the American criminal justice system and focus on the increasing reliance on DNA recovered from scenes to investigate crimes and the rise of large criminal identification databases based on genetic profiles.
Abstract: New technology is changing the administration of criminal justice. Among the most prominent of such changes is the development of forensic DNA technology, which includes a forensic assay with potentially enormous discrimination and sensitivity and the development of large databases based on that assay. This article considers the likely impact of DNA technology on the race, class, and gender inequalities that are acknowledged facets of the American criminal justice system. The article focuses on two major consequences of the development of DNA technology: the increasing, though still modest, reliance on DNA recovered from scenes to investigate crimes; and the rise of large criminal identification databases based on genetic profiles. It is often suggested that DNA is an egalitarian technology that will have a leveling effect on criminal justice administration. Although DNA technology does mitigate inequality in some cases, it may also exacerbate inequality in less obvious ways. Copyright , Beech Tree Publishing.
TL;DR: In 1998, the first competence centre programme was introduced to Austria as discussed by the authors, which was a major policy innovation for the country, not only due to its novel instruments and goals, but also because it was created in a new way, breaking with the policy style dominant in the RTD policy field before.
Abstract: In 1998 the first competence centre programme was introduced to Austria. The programme was a major policy innovation for the country, not only due to its novel instruments and goals, but also because it was created in a new way, breaking with the policy style dominant in the RTD policy field before. The paper looks into the question why this major policy innovation could take place. This analysis applies a policy learning approach, and considers the knowledge resources utilized for the programme creation, implementation and evaluation as well as the forms of learning which took place. (author's abstract)
TL;DR: In this paper, the authors developed an analytical model that not only predicts these two well-known modes but also leads to a new, third mode -the research entrepreneur, who directs his environment by creating demand for his scientific products instead of supplying on the demand of his environment.
Abstract: At present, two modes of the strategic relationship of the researcher with his environment are known. These are the 'ivory tower' and 'strategic research', known also as mode1 and mode2. In this paper, we develop an analytical model that not only predicts these two well-known modes but also leads to a new, third mode - the research entrepreneur. The research entrepreneur is directing his environment by creating demand for his scientific products instead of supplying on the demand of his environment. The first results of a few cases from an empirical study conducted at the MESA+ Institute for Nanotechnology confirm the feasibility of the model in creating observables for the different modes of strategic positioning of the researcher, in this case MESA+.
TL;DR: In recent requests by policy-makers for evid ence about the effectiveness and impacts of public-sector RD how to effectively and equitably choose among competing performers and proposals; and how to aggregate and integrate findi ngs relating to specific policies and programs into an overarching national innovation systems framework as discussed by the authors.
Abstract: Evident in recent requests by policy-makers for evid ence about the effectiveness and impacts of public-sector RD how to effectively and equitably choose among competing performers and proposals; and how to aggregate and integrate findi ngs relating to specific policies and programs into an overarching national innovation systems framework.
TL;DR: This article argued that the interaction between immigrants and the organizations and institutions into which they are inserted by a national system can affect the system's capacity for innovation by changing transaction costs and the management of uncertainty.
Abstract: This paper argues that the systems of innovation analytic framework affords valuable insights into the impact of highly-skilled immigrants on innovation processes in developed countries. The paper first reviews why highly-skilled migration has risen on the agenda of policy-makers and researchers and sets forth my interpretation of the systems of innovation framework. It then builds on this interpretation by arguing that the interaction between immigrants and the organizations and institutions into which they are inserted by a national system can (under some circumstances) affect the system's capacity for innovation by changing transaction costs and the management of uncertainty. Although it tackles just one aspect of the complex puzzle presented by global flows of skilled people, the paper prepares the conceptual ground for a broader assault on this important issue. Copyright , Beech Tree Publishing.