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Université De Montréal Impact of Public Funding On UNIVERSITÉ DE MONTRÉAL IMPACT OF PUBLIC FUNDING ON THE DEVELOPMENT OF NANOTECHNOLOGY : A COMPARISON OF QUEBEC, CANADA AND THE US LEILA TAHMOORESNEJAD DÉPARTEMENT DE MATHÉMATIQUES ET DE GÉNIE INDUSTRIEL ÉCOLE POLYTECHNIQUE DE MONTRÉAL THÉSE PRÉSENTÉE EN VUE DE L’OBTENTION DU DIPLÔME DE PHILOSOPHIAE DOCTOR (GÉNIE INDUSTRIEL) Février 2015 © Leila Tahmooresnejad, 2015. UNIVERSITÉ DE MONTRÉAL ÉCOLE POLYTECHNIQUE DE MONTRÉAL Cette thèse intitulée : IMPACT OF PUBLIC FUNDING ON THE DEVELOPMENT OF NANOTECHNOLOGY : A COMPARISON OF QUEBEC, CANADA AND THE US présentée par : TAHMOORESNEJAD Leila en vue de l’obtention du diplôme de : Philosophiae Doctor a été dûment acceptée par le jury d’examen constitué de : M. JOANIS Marcelin, Ph. D., président Mme BEAUDRY Catherine, Ph. D., membre et directrice de recherche Mme SCHIFFAUEROVA Andrea, Ph. D., membre et codirectrice de recherche M. LARIVIÈRE Vincent, Ph. D., membre M. LAMARI Moktar, Ph. D., membre externe iii DEDICATION I would like to dedicate this thesis to my husband, Naser, for all of his constant love, support and inspiration. iv ACKNOWLEDGEMENTS I would first like to express my gratitude to Professor Catherine Beaudry for her invaluable guidance and advising. This thesis would have never happened without her continuous encouragement, sincere support and inspiration. I am also indebted to my research co-director Andrea Schiffauerova for her support during these years. The scientific intuition and experience of both these scholars was of paramount importance in placing this thesis on the right track. I would also like to thank all of those who have supported me during my doctoral studies in our research group. I would like to thank Carl St-Pierre for his help in technical support in statistical methods. And finally my deepest and sincere thanks to my parents for their endless love, support and encouragement, and my dear husband for his immense love, inspiration and patience during the hardships of this project. I cannot even imagine the amount of debt in gratitude that I owe them. v RÉSUMÉ La nanotechnologie est la haute technologie la plus prometteuse de ce siècle. L’investissement mondial dans cette technologie a augmenté rapidement dans les deux dernières décennies. En outre, cet investissement va probablement contribuer de façon non négligeable à la croissance économique future. La recherche dans cette nouvelle technologie basée sur la science nécessite un financement public important pour faciliter la production de connaissances, réduire les incertitudes et les risques connexes, et assurer le succès du développement de la nanotechnologie. Compte tenu de son potentiel dans une large variété de domaines, les gouvernements et les décideurs politiques ont cherché à allouer efficacement des fonds, afin de maximiser les avantages économiques. Il est donc essentiel d’améliorer et d’approfondir notre compréhension concernant la façon dont les financements publics pourront influencer la performance de la recherche. Le but principal de cette thèse consiste à analyser l’impact du financement public sur le développement de la nanotechnologie, avec un accent tout particulier sur les résultats de la recherche scientifique et technologique. Les objectifs de la recherche portent sur deux volets : Tout d’abord, nous cherchons à examiner l’influence du financement. Le deuxième volet consiste à explorer l’impact de la collaboration et des réseaux innovants sur le développement de la nanotechnologie. Ensuite, notre but est de comparer l’impact du financement et des réseaux de collaboration de nanotechnologie entre le Canada et les États-Unis. Cette recherche porte sur les extrants importants de la recherche académique : les publications et les brevets. Elle permet de caractériser les réseaux de collaboration en utilisant les liens de co-publication et de co-invention entre les scientifiques et les inventeurs. Cette thèse contribue de manière significative aux questions de recherche suivantes : Comment l’augmentation du financement public pour les scientifiques œuvrant en nanotechnologie peut améliorer les publications et les brevets liés aux nanotechnologies en terme de nombre (a) et en terme de qualité (b)? Est-ce que les chercheurs qui détiennent une position plus influente au sein des réseaux de co-publication/co-invention sont plus productifs et plus cités? Est-ce que l’influence du financement public sur les recherches en nanotechnologie est différente au Canada par rapport aux États-Unis? vi Pour répondre à ces questions, des informations sur les articles de nanotechnologie, les brevets et le financement ont été extraites à partir de diverses bases de données au Canada et aux États- Unis. De plus, cette information a été utilisée pour construire les réseaux scientifiques et technologiques, et pour analyser l’influence du financement par des analyses économétriques. En ce qui concerne la première question de recherche, nos résultats montrent que le financement public fait augmenter généralement le nombre et la qualité des publications et brevets. Toutefois, cet impact positif est plus important aux États-Unis. Le financement est également moins susceptible d’influencer les brevets de nanotechnologie au Canada. En ce qui concerne l’analyse du financement de l’industrie au Québec, les fonds privés sont moins susceptibles de faire augmenter la qualité des publications. Quant à notre deuxième question de recherche, les études montrent que les résultats scientifiques et technologiques sont en corrélation avec la position des chercheurs dans les réseaux de collaboration. Les résultats de la recherche en nanotechnologie, particulièrement au Canada, montrent que le rendement est plus élevé au niveau des publications, des brevets et des réseaux de collaboration. Enfin, bien que l’impact entre le Canada et les États-Unis soit légèrement différent, cette recherche suggère que le financement et les réseaux de collaboration jouent un rôle important dans la stimulation de la quantité ainsi que de la qualité de la recherche académique. vii ABSTRACT Nanotechnology is considered to be the most promising high technology of this century. Worldwide investment in this technology has rapidly increased in the past two decades, and it will likely drive future economic growth. Research in this new science-based technology requires significant public funding to facilitate knowledge production, reduce related uncertainties and risks, and ensure the success of nanotechnology development. Given its potential in a wide range of domains, governments and policymakers have sought to efficiently allocate funding to maximize economic benefits. It is therefore essential to further our understanding of how public funding influences research performance. The main purpose of this thesis is to analyze the impact of public funding on nanotechnology development, with a special focus on scientific and technological research outputs. The research objectives are twofold: we first seek to examine this funding influence, and second to explore the impact of collaboration and related scientific and innovative networks on nanotechnology development. Afterwards, our goal is to compare the impact of funding and of nanotechnology collaborative networks between Canada and the US on scientific and technological research outputs. This research deals with the prominent outputs of academic research, publications and patents, and characterizes collaborative networks using the co-publication and co-invention links between scientists and inventors. This thesis contributes significantly to the following research questions: how increased public funding to nanotechnology scientists enhances nanotechnology-related publications and patents in terms of (a) number and (b) quality? Are researchers who hold a more influential network position in co-publication/co-invention networks more productive and more cited? Is the influence of public funding on nanotechnology research different in Canada compared with the US? To answer these questions, information about nanotechnology articles, patents and funding was extracted from various databases in Canada and in the US and was used to build the scientific and innovation networks, and to analyze the influence of funding by econometric analyses. viii Regarding the first research question, our results show that public funding generally increases the number and quality of these outputs. However, this positive impact is more significant in the US and funding is less likely to influence nanotechnology patents in Canada. Regarding the analysis of industry funding in Quebec, private funds are less likely to increase the quality of publications. Concerning our second research question, results show that scientific and technological outputs are correlated with the position of researchers in collaborative networks. Nanotechnology research outputs particularly in Canada show greater returns on publications and patents on network collaborations. Finally, although the impacts are somewhat different between Canada and the US, this research suggests that both funding and collaborative networks play an important role in boosting the quantity and quality of academic research. ix TABLE OF CONTENTS DEDICATION ............................................................................................................................... III ACKNOWLEDGEMENTS .......................................................................................................... IV RÉSUMÉ ........................................................................................................................................
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