Malcolm Menzies

Harnessing Science For Business

A brief history of technology transfer Twenty years ago the former Department of Scientific Research, the advisory The New Zealand government has announced the creation divisions of the Ministry of Agriculture of a new Advanced Technology Institute – since renamed and Fisheries and some other smaller groups were disestablished and their assets Callaghan Innovation after the late Sir Paul Callaghan – to combined and redistributed to ten Crown be launched in 2013. Callaghan Innovation’s purpose will (state) research institutes or CRIs. Each CRI was established with a focus on an be ‘to help get New Zealand’s most innovative ideas out of economic, environmental or social sector,2 in the belief that such an alignment would the lab and into the marketplace more quickly and provide foster closer relationships, ensure better a high-tech HQ for innovative New Zealand business’.1 This transfer of knowledge between researchers and users, and incorporate the business- development is the latest in a long line of attempts to use oriented skills required to manage science- based innovation processes. There was research, science and technology to boost the country’s also reform in the way policy was set and economy (Palmer and Miller, 1984; Ministerial Working Party, government funding allocated to research, with the establishment of the separate 1986; Science and Technology Advisory Committee, 1988; Ministry of and Foundation for Research, Ministerial Task Group, 1991; Ministry of Research, Science Science and Technology. Over time there emerged considerable and Technology, 2006, 2007). dissatisfaction with the performance of the reformed science system, particularly Malcolm Menzies is a researcher on public policy and futures issues. His PhD from Victoria in relation to funding, structures, and University of Wellington is on the topic of ‘recognising scientific entrepreneurship in New Zealand’. connections between science and business

Page 48 – Policy Quarterly – Volume 9, Issue 1 – February 2013 (Institution of Professional Engineers, Ekeland et al., 2001; Corolleur, Carrere challenge for research outputs to be taken 2004; Ministry of Research, Science and et al., 2004; Murray, 2004; Abramo and up by a broadly unreceptive business Technology, 2008; National Science Panel, D’Angelo, 2009). Scientific entrepreneurs sector. 2008), so in 2009 the government set up are rare, though probably not as rare as Scientific entrepreneurship offers the a review which produced a number of policy makers and managers may think potential to create radical, ‘technology- recommendations for further changes. (Aldridge and Audretsch, 2011). As one push’ innovations and underpin the Most of these recommendations related such scientific entrepreneur put it, albeit development of new economic sectors to funding, ownership and governance a little awkwardly: ‘I think a good scientist (Workplace Productivity Working matters, but it was also reiterated could be a good entrepreneur but – it’s the Group, 2004; Göransson, Maharajh et al., that technology transfer was ‘a core same tools but a different mindset.’ Better 2009). To help come to grips with this responsibility for all CRIs and [that the understanding of this ‘different mindset’ phenomenon, it’s worth starting with the government should] require CRIs to could be used alongside structural reform literature on the various components, develop, invest in and manage intellectual to support the development of systems beginning with that on entrepreneurship. property with the intent of moving that and processes to increase the incidence of intellectual property from their balance scientific entrepreneurship. Entrepreneurship sheet into the private sector as soon The study of entrepreneurship faces as possible’ (Crown Research Institute The potential of scientific entrepreneurship an inherent difficulty, which is how Taskforce, 2010, p.12). The foregoing discussion does not mean to analyse a process which cannot be A further report on the high-value to dismiss the efficacy of conventional foreseen by most people and is generally manufacturing sector (2012) led directly processes of technology transfer in the recognised only in retrospect (Baumol, to the establishment of Callaghan Innovation. The panel of experts who prepared this report analysed primary The factors which empirical evidence most strongly barriers to technology and knowledge transfer, but also acknowledged the links to entrepreneurial success are: high self- complexity of the innovation process. The panel was more nuanced in its view efficacy; ability to spot and recognise opportunities; than many of its predecessors, and the establishment of Callaghan Innovation high personal perseverance; high human and social may provide an opportunity to reflect capital; and superior social skills ... on the dominant model of technology transfer and to consider whether modifications or alternatives might deliver better economic outcomes. presence of already-existing sectors 1983). Nevertheless, from past cases it is A strong argument can be made that with ‘absorptive capacity’ and capable possible to identify a priori indicators of previous reforms of the research, science of delivering very good returns on entrepreneurial success and contextual and technology system in New Zealand investment (Hall and Scobie, 2006). But factors or individual attributes that were premised on a mental model where there is no absorptive capacity – contribute to entrepreneurship. Several (Johnson-Laird, 1983; Ramirez, 2007) of for example, in nascent industries – the studies have shown a cluster of personality science and business existing in inherently pure transfer model breaks down both traits common among all successful different realms populated by people conceptually and in practical terms entrepreneurs, including the need for with separate and mutually exclusive (O’Shea, 2008). In New Zealand major achievement (McLelland, 1961) as well as sets of attributes (Menzies, 2008). This barriers to the transformation of existing persistence, innovative outlook, low need thinking in part underpinned a view of industries or the growth of new ones are for conformity, high energy level, risk- technology transfer wherein ideas are low research intensity and inadequate taking and efficiency (Belt, 1990). The created by scientists and passed to others absorptive capacity within the economy factors which empirical evidence most along a chain of increasing application (Carlaw, Devine et al., 2003). Instead, New strongly links to entrepreneurial success and commercialisation (Slaughter and Zealand firms generally take an informal are: high self-efficacy; ability to spot and Leslie, 1997; Evans, Kersh et al., 2004). and incremental approach to innovation, recognise opportunities; high personal This view makes little allowance for the and, rather than referring to research perseverance; high human and social possibility that the desired attributes and development or groundbreaking capital; and superior social skills (Markman may be combined within the same innovations, most cite feedback from and Baron, 2003). Meta-analysis by Zhao individual(s) – scientific entrepreneurs – customers or employees (especially sales and Seibert (2006) indicates significant who can move with their scientific ideas staff) and changing customer needs and differences between entrepreneurs and into the marketplace (Etzkowitz, 1998; values as important inputs (Knuckey, managers on four personality dimensions, Graversen and Friis-Jensen, 2001; Nås, Johnston et al., 2002). It is a major such that entrepreneurs score higher

Policy Quarterly – Volume 9, Issue 1 – February 2013 – Page 49 Harnessing Science For Business on conscientiousness and openness to 1984, 1994; Bortagaray, 2009). But many processes. This does not discount the experience and lower on neuroticism and of the traits required by scientists are not possibility of leaps in thinking, but agreeableness. Hansemark (1998) claims inherently different from those required it does seem generally at odds with that only two psychological attributes by people working in many other realms entrepreneurial processes wherein an have shown any significant relation to – imagination, self-criticism, diligence individual acts on imperfect information, entrepreneurship: need for achievement and curiosity, for example. Scientists are backs his or her own judgement, and is and locus of control. considered to have a devotion to truth and judged retrospectively by results in the Risk is a major recurring theme and respect for the public literature, and to be marketplace. numerous attempts have been made motivated by the science itself rather than to measure the risk-taking attribute by external rewards. In this respect they Human capital and the competency of entrepreneurs, but this is not just a are quite similar to many entrepreneurs. movement function of personality. It also seems Like entrepreneurs, scientists spot The fields of science and entrepreneurship to reflect organisational context and opportunities and take risks, albeit these may have differences, but they are history (McCarthy, 2000). Opportunity are less likely to be of a financial nature. both human activities which may be recognition is also seen by many as a key They also at times challenge conventional employed for the purposes of economic behaviour (Smart and Conant, 1994; Baum, wisdom (Kuhn, 1996). Scientific effort innovation. In order to understand the Locke et al., 2001), although opportunity is motivated by the crucial aim of being overlapping phenomenon of scientific entrepreneurship, therefore, it seems sensible to draw on the knowledge base related to human capital – a subset of the Policy work on science and technology human economics literature which originated capital has tended to focus on quantitative with Becker (1964) and Schultz (1971). Much human capital development, measures of stocks and flows represented by particularly in the sciences, is cumulative – i.e. new elements build on what has gone traditional indicators such as qualifications or before (Ziman, 1984) – and tends to move codified knowledge such as patents ... incrementally rather than in leaps and bounds. There is an implication that it is expensive to add on human capital later in life to people who are highly trained in recognition might also be seen to be original (adding something to the body another field. In purely investment terms, driven more by the distinctive knowledge of knowledge that was not known it is better to embed desired attributes as possessed by individual entrepreneurs before). Recognition of originality and early as possible in the life cycle (Durbin, than by their personality traits (Shane, the associated rewards are of critical 2004; Keeley, 2007). 2000). Entrepreneurs often challenge importance to scientists and signify Policy work on science and technology existing wisdom and reconcile opposing that the institutional aim of science human capital has tended to focus on forces, moulding external information has been fulfilled. It could be argued quantitative measures of stocks and flows with their individual decision-making that entrepreneurs are also motivated represented by traditional indicators such processes. Nevertheless, entrepreneurs by a desire to be original (by exploiting as qualifications or codified knowledge need a considerable amount of social and a hitherto undetected opportunity), such as patents (Schibany and Streicher, interpersonal skill to build and cultivate although they work in a different 2008; Royal Society, 2009). While networks and other social capital which ‘recognition market’ (Musgrave, 2009). undoubtedly important, these measures will enable them to glean the information Leaving aside the strong knowledge are not adequate for recognising the and resources they need (Cromie, 1994; requirements for science, the literature increasingly important tacit knowledge Baron and Markman, 2000; Shane and seems to suggest that some attributes of (Polanyi, 1967) and other attributes Stuart, 2002; Audretsch, 2003; Aldridge scientists and entrepreneurs are similar: which are coming to assume greater and Audretsch, 2011). They have to be for example, the desire for autonomy significance within research, science and able to organise and lead others if their and creativity. Self-efficacy is more often technology-based innovation (Cohen endeavours are to be successful. mentioned with respect to entrepreneurs, and Levinthal, 1990), and particularly but there is no reason to believe that in the commercialisation of scientific Science and entrepreneurship this is an attribute high-performing research (Buenstorf, 2009; Fagerberg, Science differs from entrepreneurship in scientists lack. Even those aspects that are Mowery et al., 2009; Póvoa and Rapini, that it is often regarded as being based on superficially the same may be qualitatively 2010). The quality of human capital is a particular set of norms and a sociology different: for example, scientific research measured only indirectly, although there which create a difference from the world of does require a degree of risk-taking, but are trends towards assessing what people business in general (Merton, 1973; Ziman, it is also subject to painstaking review are actually capable of doing and the

Page 50 – Policy Quarterly – Volume 9, Issue 1 – February 2013 degree of matching of those abilities with Figure 1: Attributes of metacompetencies of scientific entrepreneurship future needs. A competence ‘movement’ Attributes of scientific entrepreneurs has arisen out of controversy over the Ability to reconcile differences in respective competencies validity of measures and insufficient High level communication skills within and between realms correlation between measured intelli- High level leadership and teambuilding abilities gence and life outcomes (Brophy and High level ability to realise opportunities for commercialising RS&T Kiely, 2002), and one logic which suggests that identification and direct Attributes for scientific realm Attributes for entrepreneurship realm measurement of observed behaviours Motivated by knowledge for its own sake Motivated by desire for application and their underlying composition and Deep knowledge Broad knowledge effects in particular situations (together Aversion to financial risk Open to financial risk comprising competencies) are key Incremental decision maker “Heuristic” decision maker elements in building understanding of Tending to perfectionism Satisfied with ‘good enough’ the role of human capital in a national Ability to realise scientific opportunities Ability to realise commercial opportunities innovation system (Tomlinson, 2001). Shared attributes A useful model of effective Creative, lateral thinking performance based on fit between the Vision individual, a job’s demands and the Seek out and create knowledge organisational environment has been See ideas as tools developed by Boyatzis (1982). Specific Focus actions or behaviours lie in the overlap Problem solving between the three domains. In Boyatzis’ Managed risk taking terms, an underlying characteristic Connectedness (building and using related social capital) (attribute) of a person may be a motive, Perseverance trait, skill, aspect of one’s self-image High levels of self-efficacy or social role, or a body of knowledge that he or she uses. The existence and at large. The interview transcripts were This means rejecting artificial distinctions possession of the above characteristics then analysed using precepts of constant between science and commerce (and may or may not be known by the person comparative analysis (Strauss and between basic and applied research), and who has them (an idea which owes much Corbin, 1998) and a software programme the adoption of new mental models which to Polanyi (1967)). (NVivo) which is closely modelled on the expand the overlaps between science and Given different schools of thought as to application of grounded theory. From this entrepreneurship. whether competencies are characteristics analysis a series of thematic ‘nodes’ was Such changes in perception may of an organisation, a job (or role) or an derived within which relevant comments be resisted, for reasons described by individual (Ellstrom, 1997; Brophy and were gathered, and the nodes organised to several authors (Snow, 1963; Schön, 1983; Kiely, 2002; Lawson, 2004), the value of show the underlying attributes of scientific Musgrave, 2009), although not as much the Boyatzis model is in its recognition entrepreneurs (Figure 1). as was once the case (Slaughter and of all these elements and their interaction As can be seen, the attributes of Leslie, 1997). It is possible that current within a context, thus enabling whole- entrepreneurs, scientists and scientific policy problems that do not exist and system thinking. entrepreneurs emerge as being different is consequently missing reality on this from one another, but the sets of point. Research attributes are not mutually exclusive. Before any resistance can be overcome, The research on which the rest of this Some attributes are unique to one values such as the pursuit of knowledge for article is based comprised interviews with particular group, but others are similar its own sake and for earliest publication 26 people who closely matched a working or shared. will need to be reconciled with the definition of scientific entrepreneurship. values of commercialisation. This can They came from a range of organisational Discussion be achieved if scientists are imbued with and scientific backgrounds: biotechnology, Policy challenges notions of consideration of use (Stokes, the physical sciences, and information Scientific entrepreneurship is not 1997) or integrative thinking (Martin, and communications technology (ICT). proposed as a ‘magic bullet’ alternative 2009), and have the desire, competencies Four were women. All were interviewed to current practice. However, new and opportunities to move with their using the same basic semi-structured policies and schemes aimed at fostering ideas as they progress to application and format to discover their perspectives its development could be introduced in ultimately the creation of public benefit on how their own and others’ scientific parallel with existing approaches. In that (Etzkowitz, 1998). This suggests a change entrepreneurship had been recognised, by case, it will first be necessary to allow for the in incentives for CRIs to facilitate the exit themselves, by others and by the system possibility of scientific entrepreneurship. of entrepreneurs (with safety nets for

Policy Quarterly – Volume 9, Issue 1 – February 2013 – Page 51 Harnessing Science For Business those who fail) rather than holding onto and in making linkages within innovation for broader, innovative approaches to them tightly. systems. This activity is presumably the creation of quality in human capital Some scientific entrepreneurs are well intended to generate desired behaviour (Bilton and Cummings, 2010). Current recognised once they have succeeded in and is to be applauded, but it is insufficient approaches to developing deep scientific general; these are people for whom no in and of itself. All levels are important knowledge are probably appropriate additional policy intervention would in a competency model and it is at least as they are, but traditional, content- make any difference to their propensity as important to work from the bottom based training is unlikely to bring about for entrepreneurship, although it might upwards. Yet innovation policies directed the attitudinal change and breadth be possible to influence the timing of their at the attributes layers are inconsistent of knowledge that are most likely to success. Conversely, some are engaged and in their infancy. A competency underpin the desired tipping-over process. in valuable scientific research who do approach can assist in simultaneously New approaches (already being employed not have any of the innate attributes of nurturing desired attributes and creating in some places) connect learners with the entrepreneurs, and in whom it would the appropriate context for them to find contexts within which they simultaneously be counterproductive to try to engender expression. create and apply new knowledge. scientifically entrepreneurial behaviour. A holistic concept of competence- Experiential, cross-disciplinary learning The group that is of most interest is building systems (Tomlinson, 2001) and a developmental approach (Ellstrom, made up of those who have the necessary is required, implying a broadening of 1997), and apprentice-style (relational) innate attributes but not acquired the conception of national innovation approaches to competency formation, are ones, such as key knowledge, skills and systems to include agencies dealing with likely to be more effective (Gonczi, 2002). Specifically, attention needs to be given to recognising the key attributes underlying Where scientific entrepreneurs are recognised meta-competencies as shown in Figure 1. It has to be acknowledged that the – as they are in Sweden ... – they will need to be characterisation and assessment of competencies is still problematic because given opportunities to lead the commercialisation most of their underlying attributes process, with the discretion to create the teams are tacit and invisible to conventional methods of measurement. More research and other capabilities they need rather than those is needed, but an interim solution is to devolve responsibility for recognising capabilities being assembled by others who do not these attributes to research organisations, have the required whole-picture insight ... while retaining centralised measurement of aggregate outputs and outcomes at a higher level. This will raise new challenges for the ways in which science and its attitudes, that are able to be influenced schooling and tertiary education. The commercialisation are managed. through the creation of the right context competency-based approach is consistent and various other developmental with international trends in education Management challenges measures. If these individuals can be and general management, but before it Policy and practice aimed at the better recognised as their competencies can be accepted in research, science and entrepreneurial connection of science of scientific entrepreneurship emerge, technology, and innovation policy more and business frequently relies on it will be possible to design policies broadly, there will first need to be deeper brokering between the two. The ability aimed at tipping them over into scientific and more consistent consideration of scientists to engage directly with the entrepreneurship, thereby increasing its given to the nature of human capital. marketplace is quite restricted, and overall incidence within the national This includes acceptance of the view perceived deficits in their entrepreneurial innovation system. For this to happen, that merely measuring conventional competencies are rectified through the there will need to be an ‘undoing’ of indicators of human capital is insufficient agency of others (a relatively passive or existing ways of working (Carroll, Levy et for recognising its quality. While such reactive strategy to team-building on al., 2008). measurement remains important, it is a the part of the central individual). But In several countries there have particular feature of centralised systems, successful entrepreneurship involves been considerable efforts made at and needs instead to be embedded in a the mobilisation of other people and creating an appropriate context for the broader view of the process by which their resources in pursuit of what the commercialising of research, science and quality is recognised (Menzies, 2008). entrepreneur is trying to achieve. Indeed, technology, not only through structural A common language of competencies a crucial difference between those who are means but more widely: for example, in will help facilitate a faster move towards scientific entrepreneurs and those who attempting to engender culture change policy integration, and provide the basis are not may be that the former can, if they

Page 52 – Policy Quarterly – Volume 9, Issue 1 – February 2013 have a vision, collect together the team discretion to create the teams and other sociology of science so that scientists they need (a proactive strategy) rather capabilities they need rather than those affirm, rather than create negative peer than having the team added to them. This capabilities being assembled by others who pressure on, their fellows who engage implies a whole new approach on the do not have the required whole-picture in commerce (Walton, 2003). For some part of senior management to building insight (Göktepe-Hultén, 2008). The scientific entrepreneurs there is great value ‘renaissance teams’ containing ‘integrative corollary will be a reliance on managers’ to be gained from networking together (it thinkers’ (Martin, 2009). reflective judgement (Schön, 1983), and seems that they are good at recognising Recognition of scientific resources placed at their discretion yet no each other). Modelling their behaviour entrepreneurship is more likely to be increase in, and probably a diminution on that of successful exemplars can assist effective if focused on real-time behaviour of, measurement-based reporting on how scientific entrepreneurs to recognise their and with reference to a sensitising mental those resources are deployed. own competencies, thereby enabling model. It is multi-skilled mentors in Changed management practices them to follow the same path. commercial contexts who are in the will be possible only given the right Sir Paul Callaghan was himself a best position to recognise and tip over organisational context (Ziman, 1984, consummate scientific entrepreneur, emergent scientific entrepreneurs. The 1994; Bryson and Merritt, undated). although he came to realise this late competency approach provides a tool Entrepreneurial decision-making is in his career. It is to be hoped that his for the further training and development heuristic (Forstater, 1999; Barney, 2004) example will inspire creative approaches needed in order to be able to manage and not particularly compatible with to developing entrepreneurial human tacit knowledge and other attributes, and corporate processes. Organisations need capital at the institute which now bears to infer entrepreneurial behaviours and a high level of corporate management his name. manage their development. skill to create an environment that 1 See www.irl.cri.nz/newsroom/advanced-technology-institute- Where scientific entrepreneurs are will incentivise and allow for both announced. recognised – as they are in Sweden entrepreneurial and non-entrepreneurial 2 AgResearch for the pastoral sector; Crop and Food and HortResearch (since merged) for cropping and horticulture; (Etzkowitz, Ranga et al., 2008; Leong, behaviour, and to allocate appropriate ESR for environment and health; Forest Research (latterly renamed Scion); Geological and Nuclear Sciences; Industrial Wee et al., 2008) – they will need to levels of risk and reward (Göransson, Research Ltd for the manufacturing sector; Landcare for the be given opportunities to lead the Maharajh et al., 2009). There will also land-based natural environment; and the National Institute for Water and Atmospheric Research. A social research CRI commercialisation process, with the need to be managed changes in the proved to be unviable and was soon disestablished.

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Evening Lecture Series Governance of the Interface between Ministers and the Public Service Governance of the Interface between Ministers and the How these change is difficult to perceive. The aim is Public Service, consists of six evening lectures which will to foster debate about how these formal and informal explore the relationship between Ministers and the public relationship work in practice and how they are changing. service (especially Chief Executives). This relationship is governed by a range of statutory obligations, but also Admission Free - Register online today to secure your conventions and practices that are less well articulated. spot! www.ipanz.org.nz

Date Title Speaker Venue 12 March 2013 Framing the Debate – forms of governance Len Cook, President Russell McVeagh Boardroom, level 24, Vodafone 5.30-7.00pm for the relationship between Ministers IPANZ on the Quay, 157 Lambton Quay, Wellington and Chief Executives and the issues and tensions that can need resolution 19 March 2013 Chief Executives, Ministers and Mai Chen Rutherford House, Lecture Theatre 2 (RHLT2), 5.00-7.00pm Parliamentary Scrutiny 23 Lambton Quay, Pipitea Campus (tbc) 26 March 2013 The Exercise of Statutory Independence by Naomi Ferguson, Railway Station West Wing Room 501, level 5, 5.00-7.00pm Chief Executives Commissioner and Pipitea Campus or Rutherford House, lecture Chief Executive, IRD theatre 2 (RHLT2), University of Wellington, 23 Lambton Quay, Pipitea Campus (tbc) 16 April 2013 Working with Chief Executives: Delivering Hon Trevor Mallard, Russell McVeagh Boardroom, level 24, Vodafone 5.00-7.00pm on the Democratic Mandate MP on the Quay, 157 Lambton Quay, Wellington 23 April 2013 Ministerial Responsibility and Chief Matthew Palmer Russell McVeagh Boardroom level 24, Vodafone 5.00-7.00pm Executive Accountability: Implications of the on the Quay, 157 Lambton Quay, Wellington Better Public Services reform Programme 30 April 2013 Working with Ministers: Providing Free Dr Karen Poutasi, Russell McVeagh Boardroom level 24, Vodafone 5.00-7.00pm and Frank Advice in a Challenging Political Chief Executive NZQA on the Quay, 157 Lambton Quay, Wellington Environment

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