TECHNOLOGY CREATION AND DIFFUSION

Transcription

1 Center for International Science and Technology Policy The George Washington University TECHNOLOGY CREATION AND DIFFUSION IAFF 6142 Nicholas S. Vonortas 1957 E Str, R E Street, 403 T 19:10-21:00 Tel: (202) Fall 2011 Fax: (202) vonortas@gwu.edu COURSE SUMMARY: The purpose of this course is to examine the factors that underlie the creation of new technologies and their dissemination throughout the economy. The discussion will cover issues of interest to new technology producers and users in the private business sector, universities and government. The main focus of the discussion will be the prevailing environment in developed market economies. Developing countries will be dealt with to some extent, more so if there is interest in the class. We will examine in some depth important global aspects of technology creation and dissemination and their historical extensions. We will also expand on issues of technology management in industry, universities, and government. And, of course, we will address the implications for policy. COURSE REQUIREMENTS: The final grade will be based on a term paper and a take-home final examination. The term paper, due on November 30, will count for 60% of the final grade and the take-home final exam for the remaining 40%. The questions for the exam will be distributed the same day (Nov. 29). Your answers will be due a week later (Dec. 6). Class attendance, preparation and participation throughout the term are essential for two reasons: (a) they will improve performance and strengthen marginal grades; and (b) they will provide a very good incentive for regular studying of the long list of required readings. COURSE READINGS: The assigned book for the course is: Jan Fagerberg, David C. Mowery, and Richard R. Nelson (eds) (2005) The Oxford Handbook of Innovation, Oxford University Press. This book, with survey articles written by some of the best academics in the field, closely follows the themes of the course. It is an excellent source of information that you will certainly consult for years to come. The book is available at Amazon. 1

2 We will also read several chapters from: Herbert I. Fusfeld (1994) Industry's Future: Changing Patterns of Industrial Research, American Chemical Society. This is another good source of information, leaning towards technology management. It is unfortunately out of print. I will make available copies of the relevant chapters. In addition, there is a significant number of other articles and book chapters in this syllabus. An unmarked reference indicates required reading. An asterisk indicates recommended reading. A WB indicates a reading available on the internet. Required readings will be provided on request with the exception of those available on the web (WB indication). You should locate these and other relevant documents at the addresses: (under reports and free online documents ) Recommended readings (asterisk) will not be provided. 2

3 SCHEDULE OF MEETINGS AND READINGS 8/30 COURSE INTRODUCTION 9/6 I. SCIENCE AND TECHNOLOGY AS ENGINES OF GROWTH Rosenberg, Nathan and L.E. Birdzwell, Jr. (1986) "The Link Between Science and Wealth" in How the West Grew Rich, Basic Books. Mokyr, Joel (1990) "Introduction" and "Understanding Technological Progress," in The Lever of Riches, Oxford University Press. Landes, David S. (2006) Why Europe and the West? Why Not China?, Journal of Economic Perspectives, 20(2): Nelson, Richard R. and Gavin Wright (1992) The Rise and Fall of American Technological Leadership: The Postwar Era in Historical Perspective, Journal of Economic Literature, XXX(4): * Mowery, David C. (1984) "Firm Structure, Government Policy, and the Organization of Industrial Research: Great Britain and the United States, ," Business History Review, 58, Winter: II. S&T INDICATORS AND TECHNOLOGICAL COMPETENCE 9/13 1. Early Roots to Maturity Fusfeld, Herbert I. (1994) Industry's Future, chs Current R&D Efforts and Competitiveness WB National Science Board Science and Engineering Indicators 2010, Arlington, VA: National Science Foundation [Chs: Overview, 4, 6, 8]. [Overview] [4] Research and Development: National Trends and International Linkages [6] Industry, Technology, and the Global Marketplace [8] State Indicators *WB American Association for the Advancement of Science AAAS Report XXXVI: Research and Development FY

4 III. THE NATURE OF INVENTION AND INNOVATION 9/20 1. The Nature of Invention and Innovation Rosegger, Gerhard (1996) Introduction, in The Economics of Production & Innovation, Butterworth-Heinemann. Fusfeld, Herbert I. (1994) Industry's Future, ch. 1. Nelson, Richard R. (2004) The Market Economy and the Scientific Commons, Research Policy, 33: /27 2. Basic and Generic (Pre-competitive) Research Mowery, David C. and Bhaven N. Sampat (2005) Universities in National Innovation Systems, in J. Fagerberg et al. (eds) The Oxford Handbook of Innovation, Oxford University Press [Ch. 8]. Nelson, Richard R. (1996) The Sources of Economic Growth, Harvard University Press. [chs. 7, 8] [7] Nelson, Richard R. The Link Between Science and Invention: The Case of the Transistor [8] Rosenberg, Nathan and Richard R. Nelson American Universities and Technical Advance in Industry National Research Council (2003) The Impact of Academic Research on Industrial Performance, National Academy Press. [chs. 7, 8, 9] [7] The Contributions and Impact of Academic Research [8] Challenges for the Future [9] Conclusions and Recommendations * Youtie, Jan and Phil Shapira (2008) Building an Innovation Hub: A Case Study of the Transformation of University Roles in Regional Technological and Economic Development, Research Policy, 37(8): * Etzkowitz, Henry (2003) Research Groups as Quasi-Firms : The Invention of the Entrepreneurial University, Research Policy, 32:

5 3. Applied Research and Development Lazonick, William (2005) The Innovative Firm, in J. Fagerberg et al. (eds) The Oxford Handbook of Innovation, Oxford University Press [ch. 2]. Fusfeld, Herbert I. (1994) Industry's Future, chs. 2 & 8. * Aoki, Masahiko (1988) Information, Incentives, and Bargaining in the Japanese Economy, Cambridge University Press, pp * Mowery, David. C. and Richard R. Nelson (eds.) (1999) Sources of Industrial Leadership: Studies in Seven Industries, Cambridge University Press. IV. KEY ISSUES AFFECTING INNOVATION 10/4 Globalization/Internationalization of R&D Archibugi, Daniele and Jonathan Michie (1997) The Globalization of Technology: A New Taxonomy in D. Archibugi and J. Michie (eds.) Technology, Globalization and Economic Performance, Cambridge University Press. Narula, Rajneesh and Antonello Zanfei (2005) Globalization of Innovation: The Role of Multinational Enterprises, in J. Fagerberg et al. (eds) The Oxford Handbook of Innovation, Oxford University Press [Ch. 12]. Aspray, William, Frank Mayadas and Moshe Y. Vardi (2009) Globalization and the Offshoring of Software, in Goran Marklund, Nicholas S. Vonortas and Charles W. Wessner (eds) The Innovation Imperative: National Innovation Strategies and the Global Economy, Edward Elgar. WB Organization for Economic Cooperation and Development (1999) Globalization Of Industrial R&D: Policy Issues, Paris: OECD. *WB United Nations Conference on Trade and Development (2011) World Investment Report, Chs 1, 4. * Dunning, John H. (2000) Regions, Globalization, and the Knowledge Economy: The Issues Stated, in J. D. Dunning (ed.) Regions, Globalization, and the Knowledge Economy, Oxford University Press. 5

6 10/11 Linkages to External Sources of S&T Knowledge Ohmae, Kenichi (1989) The global logic of strategic alliances, Harvard Business Review, March-April: Mittra, James (2007) Life Science Innovation and the Restructuring of the Pharmaceutical Industry: Merger, Acquisition\ and Strategic Alliance Behaviour of Large Firms, Technology Analysis and Strategic Management, 19(3): Powell, Walter W. and Stine Grodal (2005) Networks of Innovators, in J. Fagerberg et al. (eds) The Oxford Handbook of Innovation, Oxford University Press [ch. 3]. * Hagedoorn, John, Albert N. Link, and Nicholas S. Vonortas (2000) Research Partnerships, Research Policy, 29 (4-5): * Hemphill, Thomas and Nicholas S. Vonortas (2003) Strategic Research Partnerships: A Managerial Perspective, Technology Analysis and Strategic Management, 15(2): * Breschi, Stefano, Lorenzo Cassi, Franco Malerba, and Nicholas S. Vonortas (2009) European Policy Favouring Networks in ICT, in Franco Malerba and Nicholas S. Vonortas (eds) Innovation Networks in Industries, Edward Elgar. 10/11 Intellectual Property Protection David, Paul A. (1992) "Intellectual Property Institutions and the Panda's Thumb: Patents, Copyrights, and Trade Secrets in Economic Theory and History" in National Research Council Global Dimensions of Intellectual property Rights in Science and Technology, National Academy Press. Grandstrand, Ove (2005) Innovation and Intellectual Property Rights, in J. Fagerberg et al. (eds) The Oxford Handbook of Innovation, Oxford University Press [Ch. 10]. Lall, Sanjaya (2003) Indicators of the Relative Importance of IPRs in Developing Countries, Research Policy, 32: * Dutfield, Graham (2008) Delivering Drugs to the Poor: Will the TRIPS Amendment Help?, American Journal of Law & Medicine, 34:

7 * Grandstrand, Ove (1999) The Economics and Management of Intellectual Property, Edward Elgar, chs. 2, 7] [2] Philosophy and History of Intellectual Property [7] Intellectual Property Policies and Strategies * National Research Council (2003) Patents in the Knowledge-Based Economy, National Academy Press. [chs. 8, 10] [8] Graham, Stuart J.H. and David J. Mowery Intellectual Property Protection in the U.S. Software Industry [10] Walsh, John p., Ashish Arora, and Wesley M. Cohen Effects of Research Tool Patents and Licensing on Biomedical Innovation *WB Organization for Economic Cooperation and Development (2003) Turning Science into Business: Patenting and Licensing at Public Research Organizations, Paris: OECD. 10/25 Small Firms - Knowledge Entrepreneurship Hart, David M. (ed.) (2003) The Emergence of Entrepreneurship Policy, Cambridge University Press. [chs. 4, 5, 6] [4] Auerswald, Philip E. and Lewis M. Branscomb Start-ups and Spin-offs: Collective Entrepreneurship between Invention and Innovation [5] Feldman, Maryann P. Entrepreneurship and American Research Universities: Evolution and Technology Transfer [6] Rosenberg, Nathan America s Entrepreneurial Universities Audretsch, David B. (2009) From Knowledge to Innovation: Resolving the European Paradox, in Goran Marklund, Nicholas S. Vonortas and Charles W. Wessner (eds) The Innovation Imperative: National Innovation Strategies and the Global Economy, Edward Elgar. Cooke, Philip and Julie Porter (2007) From Seekers to Squatters: The Rise of Knowledge Entrepreneurship, CESifo Forum, 2007(2): Murray, Art (2008) Goodbye, Knowledge Worker. Hello, Knowledge Entrepreneur, MKWorld, June: 20. *WB Organization for Economic Cooperation and Development (2004) Networks, Partnerships, Clusters and Intellectual Property Rights: Opportunities and Challenges for Innovative SMEs in a Global Economy, Background paper for 2 nd Ministerial Conference on SMEs, Paris: OECD. 7

8 11/1 Clusters Saxenian, Annalee (2007) Brain Circulation and Regional Innovation: The Silicon Valley Hsinchu Shanghai Triangle, in Karen R. Polenske (ed) The Economic Geography of Innovation, Cambridge University Press. Bresnahan, Timothy, Alfonso Cambardella and AnnaLee Saxenian (2005) Old Economy Inputs for New Economy Outcomes: Cluster Formation in the New Silicon Valleys, in Stefano Breschi and Franco Malerba (eds) Clusters, Networks and Innovation, Oxford University Press. Feldman Maryannn P. (2007) Perspectives on Entrepreneurship and Cluster Formation: Biotechnology in the US Capitol Region, in Karen R. Polenske (ed) The Economic Geography of Innovation, Cambridge University Press. * Porter, Kelley, Kjewrsten Bunker Whittington and Walter W. Powell (2005) The Institutional Embeddedness of High-Tech Regions: Relational Foundations of the Boston Biotechnology Community, in Stefano Breschi and Franco Malerba (eds) Clusters, Networks and Innovation, Oxford University Press. 11/8 No Class 11/15 Science Parks/Cities, Technology Incubators, Venture Capital Financing Etzkowitz, Henry (2002) Incubation of Incubators: Innovation as a Triple Helix of University-Industry-Government Networks, Science and Public Policy, 29(2): Etzkowitz, Henry (2006) The New Visible Hand: An Assisted Linear Model of Science and Innovation Policy, Science and Public Policy, 33(5): Colombo, Massimo and Marco Delmastro (2002) How Effective are Technology Incubators? Evidence from Italy, Research Policy, 31: Organization for Economic Cooperation and Development (2004) Financing Innovative SMEs in a Global Economy, Background paper for 2 nd Ministerial Conference on SMEs, Paris: OECD. Ben-Ari, Guy and Nicholas S. Vonortas (2005) Risk Financing for Knowledge- Based Enterprises: Mechanisms and Policy Options, Science and Public Policy, 2007, 34(7):

9 *WB Johnsrud, Cristy S., Ryan P. Theis, and Maria Bezerra (2003) Business Incubation: Emerging Trends for Profitability and Economic Development in the US, Central Asia and the Middle East, Report to the US Department of Commerce Technology Administration, Office of Technology Policy, Washington DC. [Main part] *WB Organization for Economic Cooperation and Development (1997) Technology Incubators: Nurturing Small Firms, Paris: OECD. * O Gorman, Colm, Orla Byrne and Dipti Pandya (2008) How Scientists Commercialise New Knowledge Via Entrepreneurship, Journal of Technology Transfer, 33: /22 Systems of Innovation Freeman, Christopher (1997) The `National System of Innovation in Historical Perspective, in Archiburgi, Daniele and Jonathan Michie (eds.) (1997) Technology, Globalization and Economic Performance, Cambridge University Press. Edquist, Charles (2005) Systems of Innovation: Perspectives and Challenges, in J. Fagerberg et al. (eds) The Oxford Handbook of Innovation, Oxford University Press [Ch. 7] Niosi, Jorge (2008) Technology, Development and Innovation Systems: An Introduction, Journal of Development Studies, 44(5): Asheim, Bjorn and Meric S. Gertler (2005) The Geography of Innovation: Regional Innovation Systems, in J. Fagerberg et al. (eds) The Oxford Handbook of Innovation, Oxford University Press [Ch. 11] * Nelson, Richard R. and Nathan Rosenberg (1993) Technical Innovation and National Systems, in Richard R. Nelson (ed.) National Innovation Systems: A Comparative Analysis, Oxford University Press. * Bengt-Ake Lundvall (ed.) (1992) National Systems of Innovation: Towards a Theory of Innovation and Interactive Learning, Pinter. [ch.1] * Laredo, Philippe and Philippe Mustar (eds) (2001) Research and Innovation Policies in the New Global Economy: An International Comparative Analysis, Edward Elgar. 9

10 11/29 The Knowledge-Based Economy Vonortas, Nicholas S. and A. Tolnay (2001) Towards the Knowledge-Based Economy: US and its APEC Partners, in Maryann Feldman and Albert Link (eds.) Technology Policy for the Knowledge-Based Economy, Kluwer Academic Publishers. Atkinson, Robert D. (2007) Measuring Up, Economic Development Journal, 6(4): WB Organization for Economic Cooperation and Development (1996) The Knowledge-Based Economy, Paris: OECD. * Lundvall, Bengt-Ake and Susana Borras (1999) The Globalizing Learning Economy: Implications for Innovation Policy, Report, Targeted Socio-Economic Research, Directorate-General XII, European Commission, Luxembourg: Office for Official Publications of the European Commission. 12/6 Policy Lessons Ludvall, Bengt-Ake and Susana Borras (2005) Science, Technology, and Innovation Policy, in J. Fagerberg et al. (eds) The Oxford Handbook of Innovation, Oxford University Press [Ch. 22] Executive Office of the President of the United States, National Economic Council, Office of Science and Technology Policy, A Strategy for American Innovation: Driving Towards Sustainable Growth and Quality Jobs, September Lambright, Henry (2008) Government and Science: A Troubled, Critical Relationship and What Can be Done About It, Public Administration Review, Jan.-Feb.: Teich, Albert H. (2008) Can Administrative Measures Solve a Political Conflict?, Public Administration Review, Jan.-Feb.: