CHAPT E R 16: ACADE MI C L ABORAT ORI E S AND T HE RE - - PowerPoint PPT Presentation

CHAPT E R 16: ACADE MI C L ABORAT ORI E S AND T HE RE PRODUCT I ON OF PROPRI E T ARY SCI E NCE : MODE L I NG ORGANI ZAT I ONAL RUL E S T HROUGH AUT OCAT AL YT I C NE T WORK S*

Je a nne tte A. Co lyva s Spiro Ma ro ulis

*Suppo rt fo r this pro je c t c a me fro m the No rthwe ste rn Unive rsity Re se a rc h Gra nts Co mmitte e , the Na tio na l Sc ie nc e F

• unda tio n

(# 0849036), a nd the Ce nte r fo r Co nne c te d L e a rning a nd Co mpute r- Ba se d Mo de ling .

I NT RODUCT I ON

 T

he intro duc tio n to this vo lume e mpha size s the o rig ins a nd e me rg e nc e o f ne w fo rms a s a c o lle c tive b lind spo t in the so c ia l sc ie nc e s.

 F

e w a na lysis c a pture the re la tio nship a mo ng a ll thre e fe a ture s o f so c ia l a nd e c o no mic life —the o rig in o f ne w pra c tic e s, the ir e me rg e nc e a s b ro a de r se lf-re pro duc ing struc ture s, a nd the fo rm tha t the y ta ke a s a re sult o f this pro c e ss.

 Our a ppro a c h to this q ue stio n e xa mine s ho w dispa ra te e le me nts o f the

so c ia l o rg a niza tio n o f a c a de mic sc ie nc e we re a sse mb le d, tra nspo se d, a nd re c o mb ine d to de fine a ne w re g ime o f pub lic a nd pro prie ta ry sc ie nc e .

 We c o mb ine de ta ile d a rc hiva l a na lysis with c o mputa tio na l a g e nt-b a se d

mo de ling to e xa mine the intro duc tio n a nd a do ptio n o f pro prie ta ry sc ie nc e in the a c a de my, spe c ific a lly a s a se t o f ro utine s tha t sha pe d the pro duc tio n a nd disc lo sure o f unive rsity-b a se d re se a rc h.

 We e mpha size the tra nsfo rma tive a spe c t o f se lf-re info rc ing pro c e sse s in

re c a sting ne two rks, sha ping o rg a niza tio na l ro utine s, a nd po te ntia lly g uiding sc ie nc e .

PROPRI E T ARY SCI E NCE I N T HE ACADE MY

 One o f the mo st sa lie nt tra nsfo rma tio ns tha t ha s ta ke n pla c e in re c e nt

de c a de s is the intro duc tio n a nd spre a d o f c o mme rc ia l pra c tic e s in the a c a de my, pa rtic ula rly in the fo rm o f pa te nting .

 T

e c hno lo g y tra nsfe r wa s initia lly unfa milia r to unive rsitie s a nd sc ie ntists, b ut e ve ntua lly b e c a me le g itima te a nd e xpe c te d.

 Ma ny a rg ue tha t this c ha ng e re fle c ts the mixing o f o nc e dispa ra te

do ma ins o f pub lic (unive rsity) a nd pro prie ta ry (industry) sc ie nc e

 T

he na ture o f the g o a ls a c c e pte d a s le g itima te

 F

e a ture s o f the re wa rd syste m

 no rms o f disc lo sure  T

he a do ptio n o f pa te nting b y a c a de mic sc ie ntists, initia lly in the 1970’ s a nd in g re a te r fo rc e in the 1990’ s, re fle c te d a c o ntra sting no rm o f disc lo sure



It c o nfe rre d the rig ht to e xc lud e o the rs fro m using a re se a rc h find ing a nd



It pe rmitte d sc ie ntists a nd unive rsitie s to ma ke mo ne y fro m tho se find ing s.

F ro m o ur pe rspe c tive , unde rsta nding this tra nsfo rma tio n re q uire s

 situa ting pra c tic e s in the so c ia l a nd o rg a niza tio na l

syste m o f a c a de mic sc ie nc e ,

 a nd re c o g nizing ho w the fe a ture s tha t g ive rise to

a n institutio n c a n b e diffe re nt tha n tho se tha t re info rc e it o nc e in pla c e .

OUR ANAL YSI S

 Our a im is to illumina te the fe e db a c k dyna mic s o f c ro ssing b o unda rie s

a nd e me rg e nt institutio na l c ha ng e .

 As the “a mphib io us” life sc ie ntists de sc rib e d in pre vio us c ha pte rs

c a me into c o nta c t with the wo rld o f c o mme rc e , ho w did the ir e xpe rie nc e s re ve rb e ra te into the c o nse rva tive ha lls o f a c a de mia ? Ho w we re c o mme rc ia l pra c tic e s, like pa te nting a do pte d, a nd in wha t fo rm?

 We e xpla in this pro c e ss thro ug h the re c o mb ina tio n o f me a ning s a nd

pra c tic e s within the e xisting so c ia l struc ture o f sc ie nc e .

 We a lso de mo nstra te ho w pa te nting pra c tic e s o rig ina te d in la b s,

ra the r tha n thro ug h po lic y inc e ntive s o r re g ula tive c o ntro ls.

 We de mo nstra te ho w sc ie ntists e ffo rts to ma inta in a uto no my a nd

e xpa nd the re a c h o f re a c h o f o ne ’ s re se a rc h pro g ra m fue le d c ha ng e , de spite the fa c t tha t the se a c tio ns we re pa rt o f c o nc e rte d strug g le s to pre se rve the a c a de mic syste m.

 Our a na lysis sho ws tha t e ffo rts to o pe ra te within the so c ia l struc ture o f

sc ie nc e g e ne ra te d the me c ha nisms tha t tra nsfo rme d it.

E ME RGE NCE

 E

me rg e nc e is a b o tto m up pro c e ss a s re pe a te d so c ia l inte ra c tio ns g ive rise to vo c a b ula rie s o f mo tive s tha t c o me to de fine wha t is sta nda rd a nd a ppro pria te .

 Ne w fo rms a re b uilt b y pa rtic ipa nts situa te d in the c ultura l ro utine s o f

the ir pa st

 Oppo rtunitie s a nd c o nstra ints, b o th ne w a nd o ld, ma ke so me

pa rtic ipa nts re c e ptive to a lte rna tive s fro m o the r do ma ins, whic h re ma in invisib le to o the rs.

 Whe n tra nspo sitio n ha ppe ns, ne w pra c tic e s a re a sse mb le d

se le c tive ly ra the r tha n a do pte d who le sa le , a nd a s the y b e c o me inte g ra te d into the so c ia l o rde r, the se pra c tic e s c a n a lso a lte r the do ma in in whic h the y a re tra nspo se d.

 E

me rg e nc e is b uilt o n sc a ffo lding o f ne two rks tha t tra nsfo rm ra the r tha n tra nsmit.

DAT A AND ME T HODS

Arc hive s

 Administra tive a nd inve ntio n

re c o rds o f Sta nfo rd Unive rsity

 F

• c us o n life sc ie nc e inve ntio n

disc lo sure s 1968-1982

 42 inve ntio ns linke d to a b a sic

life sc ie nc e de pa rtme nt, c la ssifie d b y la b , induc tive ly e xa mine d po ints o f inte rse c tio n b e twe e n c o mme rc e & a c a de mia

ABM*

 Adva nta g e o f c la rity in

fo rc ing a pre c ise tra nsla tio n

• f q ua lita tive finding s into

“runna b le ” c o de

 Pro viding a pla tfo rm to

e xplo re c o unte rfa c tua ls tha t a re o the rwise impo ssib le to inve stig a te

Process

 Begin with core question about the emergence of proprietary science  Derive insights from the archives  Translate insights to ABM  Conduct controlled tests of mechanisms that can explain our outcome

* ABM developed using NetLogo, Wilensky 1999.

E XAMPL E OF CODI NG SCHE ME F OR I NVE NT I ON DI SCL OSURE S BY L AB

Invention Inventor Revenues & Rewards Boundaries

• btwn. Science

& Business

Practices

*What kinds of science constituted an invention *e.g. patent anything commercializeable, patent only devices not basic research *Who was an inventor *e.g. list technicians

• nly, include main

co-authors, or PI's

• nly

*How revenues would be disbursed *e.g. share with co- authors, donate, turn over to the lab *The degree/form of engagement in tech transfer process *e.g. "hands-on" or "hands-off" in all aspects, or specific partitions

Organizational and Legal Dimensions Laboratories and Research Agendas Lab Model:

Meanings

*The rationales, premises or definitions articulated as inventions *The rationales, premises or definitions articulated as inventors *The rationales provided for particular arrangements *The rationales provided for the degree or form of engagement in business or why some boundaries while not others

CORRE SPONDE NCE BE T WE E N RE SE ARCH AND T HE AGE NT

• BASE

D MODE L

Theoretical and Empirical Claims Operationalization in the Model Characterizing the Knowledge Production Process

• Science is based on cumulative production
• f knowledge & relies on distributed skills.
• Scientific production routine : labs are comprised
• f skills that transform scientific products.
• Lab success relies on others using the

science they produce.

• Lab survival depends on having skills that are

replicated when knowledge advanced to another lab.

• Labs reproduced their practices by

training doctoral graduates.

• Each lab is given a reproduction routine where

new labs are "hatched" with some random mutation.

Characterizing Forms of Disclosure

• Commerce developed in labs, linking
• pportunities to change & to produce
• Knowledge disclosure routine activated by the

knowledge production process.

• Patenting was contingent, depended on

findings, & could change at each disclosure.

• Labs have different patenting thresholds &

products have different science value ( 1-100).

Characterizing the Adaptation of Labs

• Scientists learned from others patenting

downstream developments of their work.

• Participatory adaptation routine : labs update PT

as weighted avr. of their's & successful colleagues'.

• Scientists reacted to patenting among peers.
• Premptive adaptation routine : labs update PT

based on the existence of more liberal colleagues.

I NSI GHT S F ROM T HE ARCHI VE S

 De spite e xte nsive sc ho la rship e mpha sizing na tio na l a nd lo c a l

inc e ntive s, a ppro a c he s to wa rd c o mme rc ia lizing re se a rc h e ma na te d mo re fro m la b s tha n g o ve rnme nt, le g a l, o r unive rsity so urc e s

 Va ria tio n in a ppro a c he s a nd ra tio na le s fo r c o mme rc ia lizing

 T

hre sho ld o f wha t wa s pa te nta b le

 Distrib utio n o f po te ntia l re so urc e s g ive n b a c k to sc ie nc e  De b a te s hing e d o n c o ntro l o ve r sc ie nc e & the a b ility to dire c t the

re so urc e s ra the r tha n a ppro pria te the m pe rso na lly

 E

ng a g e me nt in c o mme rc ia l sc ie nc e wa s sha pe d b y the pro duc tio n pro c e ss a nd re wa rd syste m o f sc ie nc e

 Appro a c he s in la b s we re no t fixe d, b ut c ha ng e d o ve r time  T

he se o b se rva tio ns pro mpte d us to think a b o ut the e me rg e nc e o f pro prie ta ry sc ie nc e a s the shift in a thre sho ld fro m fe w to ma ny a do pte rs; a nd willing ne ss to pa te nt fe w thing s to mo stly a nything .

“Although many of us are not in a position to exploit our discoveries, we do feel that universities and university- based research should benefit from profitable applications of our findings. I had hoped that an industry so recently spawned by university research would be enlightened in its recognition of who is responsible for its existence….Your comments leave me and other[s] no alternative but…to patent or make exclusive arrangements for whatever we develop. I can assure you that I will alert my colleagues throughout the world to guard against what I consider exploitation…”

“… It is not infre que nt tha t inve ntors will… fore g o the ir pe rsona l sha re ...T he re is a strong fe e ling by ma ny, if not most inve ntors, tha t a s the y a re re sponsible for bring ing in the roya lty funds, the y should ha ve a strong (if not the

• nly) voic e in c ontrolling distribution of inc ome … A

roya lty inc ome fund unde r c ontrol of a PI would a llow the PI to g e t a pie c e of e quipme nt for g e ne ra l la bora tory use , to se nd pe ople to importa nt te c hnic a l soc ie ty me e ting s for whic h g ra nt or othe r funds a re not a va ila ble , e tc ...”

“I c a n a c c e pt a vie w tha t it is mor

e r e asonable for any financ ial be ne fits de rive d fro m this kind o f sc ie ntific r e se ar c h c ar r ie d out at a non- pr

• fit

unive r sity with public funds to go to the unive r sity,

ra the r tha n b e tre a te d a s a windfall pr

• fit to be

e njoye d by pr

• fit- motivate d… [or

ganizations]; I

a g re e d to c o o pe ra te with Sta nfo rd fo r tha t re a so n… [b ut]…o n the unde rsta nding tha t it wo uld b e ma de pe r

fe c tly c le ar to all c onc e r ne d tha t I would r e c e ive no pe r sonal gain fro m the pa te nt.”

ME CHANI SMS

 Guide d b y the e xpe rie nc e s o f the o b se rve d la b s, we inc lude d thre e

me c ha nisms tha t e xpla ine d the e me rg e nc e o f pro prie ta ry sc ie nc e .

 L

ab Re pr

• duc tion: a me a ns o f po pula tio n-le ve l le a rning tha t re fle c te d

a ke y wa y in whic h the so c ia l struc ture o f sc ie nc e is re pro duc e d, whic h in turn c a n pla y a ro le in e me rg e nc e . T his me c ha nism wa s a lso inspire d b y the instrume nta l ro le o f g ra dua te stude nts a nd po stdo c s a s the y le ft the ir a dviso rs to e sta b lish the ir o wn la b s.

 Par

tic ipator y Adaptation: a me a ns o f so c ia l influe nc e tha t

inc o rpo ra te d the wa ys in whic h sc ie ntist’ s e ng a g e me nt in tra nsfe rring the ir kno wle dg e to mo re c o mme rc ia lly-minde d pa rtne rs pro mpte d the re thinking o f the ir pra c tic e s.

 Pr

e e mptive Adaptation: a fo rm o f a da pta tio n fo r sc ie ntists tha t

c a pture d the wa ys in whic h the pro spe c t o f o the rs pa te nting , a nd inc urring the rig ht to e xc lude o the rs fro m furthe r de ve lo ping the ir a re a

• f sc ie nc e , pro vo ke d the m to ta ke up pa te nting the mse lve s.

E VOL UT I ONARY AGE NT

• BASE

D MODE L

 We dre w o n the se insig hts to de ve lo p a n a g e nt-b a se d mo de l to

e xa mine the shift fro m a fe w la b s willing to pa te nt a na rro w ra ng e o f finding s to mo st la b s willing to pa te nt a b ro a d ra ng e o f finding s.

 F

ro m a n ABM pe rspe c tive , we c ha ra c te rize d the e me rg e nc e o f this a c tivity a s a re fe re nc e pa tte rn re pre se nting this shift in a pa te nt thre sho ld distrib utio n.

DE SCRI PT I ON OF T HE MODE L

 Our mo de l is ma de up o f thre e pa rts: sc ie ntific pro duc ts,

skills, a nd sc ie ntific la b s.

 Sc ie ntific la b s use skills to tra nsfo rm sc ie ntific pro duc ts.

12 23 34 41

 F

• llo wing Pa dg e tt’ s* c he mistry-inspire d mo de l, this

tra nsfo rma tio n pro c e ss c a n re sult in se lf-re info rc ing c ha ins

• f pro duc tio n. T

his is the e vo lutio na ry e ng ine .

 L

a b s a re re wa rde d whe n using skills in a suc c e ssful tra nsa c tio n b y the re plic a tio n o f the ir skills

 We la ye re d a pro c e ss o f pa te nting o n to p o f this

pro duc tio n: sc ie ntific la b s a lso o wn de c isio n-ma king ro utine s tha t de te rmine whe the r to pa te nt.

*Padgett, 1997; Padgett, Doowan, and Collier, 2003; Padgett, McMahan, and Zhong, 2009

E XPL AI NI NG RE WARDS I N T HE MODE L

 Sc ie ntific pro duc ts re pre se nte d a s b a lls sitting in a n urn with thre e

a ttrib ute s

 T

ype , indic a te d b y a numb e r 1 to n.

 Sc ie ntific Value , indic a te d b y a numb e r 1-100  Pate nt Status, indic a te d b y whe the r o r no t it is pa te nte d in a

tra nsa c tio n

 L

a b s a re a rra ye d spa tia lly o n a g rid with wra p-a ro und b o rde rs, a nd c o nne c te d to e a c h o the r via c o lle g ia l tie s (i.e . Mo o re ne ig hb o rho o d ).

 L

a b s a re re wa rde d b a se d o n re la tive b e ne fit in suc c e ssful tra nsa c tio ns.

 I

n suc c e ssful public atio n-public atio n tra nsa c tio ns, the se nde r’ s kno wle dg e a dva nc e me nt ro utine is duplic a te d.

 I

n suc c e ssful public atio n-pate nt a nd pate nt-public atio n tra nsa c tio ns, the re c e ive r’ s kno wle dg e a dva nc e me nt ro utine is duplic a te d.

 I

n suc c e ssful pate nt-pate nt tra nsa c tio ns, b o th the se nde r’ s a nd re c e ive r’ s kno wle dg e a dva nc e me nt ro utine s a re duplic a te d

CHANGE ROUT I NE S I N T HE MODE L

 L

a b s c a n a da pt

 Re produc tion: spe c ifie s the pa te nta b ility thre sho ld o f the

• ffspring , with a n e xo g e no usly de te rmine d pa ra me te r tha t

g o ve rns the a mo unt o f ra ndo m muta tio n; a lso spe c ifie s the like liho o d tha t the o ffspring will inhe rit a ny g ive n link to a pa re nt’ s ne two rk, inc luding the pa re nt the mse lve s

 Partic ipatory Adaptation: la b upda te s its pa te nt thre sho ld

whe n it’ s tra nsa c tio n pa rtne r wa s re wa rde d mo re tha n the y we re ; re c a lc ula te d a s the we ig hte d a ve ra g e o f its c urre nt thre sho ld a nd the thre sho ld o f the mo re suc c e ssful tra nsa c tio n pa rtne r.

 Pre e mptive Adaptation: la b upda te s its pa te nt thre sho ld if a

la b ha s a ne two rk ne ig hb o r who se disc lo sure ro utine wo uld le a d to the pa te nting o f the pro duc t; a djusts its pa te nt thre sho ld to the minimum le ve l tha t a llo ws it to pa te nt the pro duc t itse lf

 L

a b s c a n die (whe n the y run o ut o f skills)

 Whe n a ro utine is duplic a te d, a no the r ro utine c ho se n a t

ra ndo m is kille d o ff.

A “DAY” I N T HE L I F E OF A L AB

E VOL UT I ON OF AGE NT

• BASE

D MODE L OVE R T I ME

MUL T I L E VE L SCI E NT I F I C PRODUCT I ON NE T WORK S

T RANSACT I ON T YPE S OVE R T I ME

CHANGE ROUT I NE S

I NSI GHT S F ROM T HE MODE L

E

ve n whe n the e nviro nme nt fa vo rs pub lishing o ve r pa te nting , the pre e mptive a da pta tio n me c ha nism c a n le a d to the shift in the pa te nt thre sho ld distrib utio n.

Sma ll, inc re me nta l a djustme nts a t the le ve l o f la b s a nd a t individua l

insta ntia tio ns o f sc ie ntific finding s c a n le a d to a dra ma tic c ha ng e . Yo u re a lly just ne e d ne ig hb o rs tha t a re slig htly diffe re nt fro m yo u.

T

his finding c o mplime nts a c c o unts o f the e xpa nsio n o f pa te nting a c tivity a nd pro vide s o ne insta ntia tio n o f ho w the fe a ture s tha t g ive rise to c o mme rc ia lizing sc ie nc e a re diffe re nt tha n tho se tha t suppo rt the m o nc e se ttle d.

By a da pting the a uto c a ta lysis fra me wo rk to the se tting o f pro prie ta ry

sc ie nc e , we e xte nd a n e xisting mo de l o f the e me rg e nc e o f e c o no mic “life ” to the e me rg e nc e o f disc lo sure re g ime s tha t g o ve rn the pro duc tio n

• f kno wle dg e .

We de mo nstra te a c c o mmo da tio ns to the mo de l to a ddre ss the

pro duc tio n o f sc ie nc e .

I NSI GHT S I NT O PROPRI E T ARY SCI E NCE

 By e xa mining life sc ie ntists a t the o rig ins o f pa te nting , we

de mo nstra te ho w c o mme rc ia lizing a c a de mic sc ie nc e wa s a c o nting e nt a nd re la tio na l de c isio n a nd no t o nly a ma tte r o f whe the r sc ie ntists willing to a c c e pt the pra c tic e o f pa te nting in the ir la b s.

 I

nve ntio ns tha t c ulmina te d into pa te nts we re the re sult o f multiple fa c to rs: the pro c e ss b y whic h sc ie ntists c o nduc te d the ir wo rk, the ir pe rc e ptio ns a b o ut a ppro pria te wa ys to re la te to c o lle a g ue s in b o th unive rsitie s a nd firms, a nd pa rtic ula r re se a rc h finding s unde r c o nside ra tio n.

 De b a te s e me rg e d a t po int o f c o ntra dic tio n b e twe e n sc ie nc e

a nd c o mme rc e , pro mpting se e ming ly simila r pro b le ms o f c o ntro l o ve r re so urc e s a nd o rg a niza tio na l surviva l de spite diffe re nt ra tio na le s.

I NSI GHT S I NT O E ME RGE NCE

 E

ve n witho ut c e ntra lize d c o ntro l—suc h a s e xte rna l la ws o r po lic ie s—we de mo nstra te wa ys pro prie ta ry sc ie nc e c a n e me rg e , witho ut to p- do wn c o o rdina tio n o r c o ntro l.

 Mo re o ve r, we de mo nstra te the diffic ulty in

a c hie ving this thro ug h b a sic pro c e sse s o f se le c tio n a nd re pro duc tio n.

 Sta te d diffe re ntly, in o rde r to g e t se lf-

re info rc e me nt a nd re pro duc tio n o f ne w ro utine s, la b s ha ve to inte ra c t a nd b e willing to c ha ng e the ir rule s a nd c o nc e ptio ns a b o ut inve ntio n.