ADVENTURES IN THE NATURE OF TRADE: THE QUEST FOR 'RELEVANCE' AND 'EXCELLENCE' IN CANADIAN SCIENCE by Janet Atkinson-Grosjean MA., SIMON FRASER UNIVERSITY, 1996 A THESIS SUBMITTED IN PARTIAL FULFILMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY In THE FACULTY OF GRADUATE STUDIES (INDIVIDUAL INTERDISCIPLINARY STUDIES GRADUATE PROGRAM) We accept this thesis as conforming to the requited standard THE UNIVERSITY OF BRITISH COLUMBIA NOVEMBER 2001 © JANET ATKINSON-GROSJEAN, 2001' In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall riot be allowed without my written permission. DE-6 (2/88) ABSTRACT The study addresses: (1) changes in Canada's science-policy climate over the past two decades; (2) impacts of such changes on the conduct and organization of academic science; and (3) public- interest implications of promoting, in public institutions, research 'relevant' to private sector needs. Working within the interdisciplinary traditions of science studies, the conceptual framework draws on the cross-cutting tensions at the intersection of public and private space, and basic and applied science. These tensions are articulated in two opposing models: 'open science' and 'overflowing networks'. Canada's Networks of Centres of Excellence (NCE) program provides the study's empirical focus. Founded in 1988, the NCE program rests on dual goals of research excellence and commercial relevance. It promotes a national research capacity that 'floats across' existing provincial institutions. The first part of the study investigates the evolution of the NCE program against the background of Canadian science policy. The second part problematizes the notion of 'network' while investigating one of the NCEs in depth, examining the scientific, commercial, cultural, and spatial-structural practices that are the outcomes of policy. Examination of these practices reveals not only the cultural and commercial shifts sought by policy, but also unintended consequences such as regional clustering; elitism and exclusion; problems with social and fiscal accountability; tensions with host institutions; and goal displacement between science and commerce. In relation to the overall problematic, the study constructs a new typology depicting network scientists as 'settlers', 'translators', or 'merchant scientists' according to their public/private, basic/applied orientation. The study then develops a set of broad conclusions about NCEs, especially those in the life sciences. (1) Translational research—at the nexus of public/private, basic/applied—is foundational for these networks. (2) As policy/practice hybrids, their spatial dynamics are highly enigmatic. (3) NCEs develop contradictory cultural norms. (4) Network effects resist standard assessments. (5) 'Public' and 'profit' seem to be problematic partners. (6) The recent historical focus of science policy has been myopic. The study expresses concerns for the public interest when commercial 'relevance' becomes an overarching goal of both science and policy. It concludes with a recommendation for open networks that would retain the flexibility of the network form, but would produce open rather than proprietary knowledge . iii TABLE OF CONTENTS Abstract " Table Of Contents iv List of Figures vii List of Tables ; viii Acknowledgements ix Dedication x Acronyms and abbreviations used xi CHAPTER 1: INTRODUCTION l Where this study fits, in theory 6 Details of the Study 8 Data Collection & Analysis 13 Chapter Outline 18 CHAPTER 2: CONCEPTUAL AND ANALYTICAL TOOLS 21 I. Mapping the Divides 22 Public and Private 22 Basic and Applied 27 The Spaces in Between 32 II. 'Open Science' or 'Science that Overflows'? 35 The Open Science Model 36 The Overflow Model 41 Mode 2 and Triple Helix 45 Policy Regimes 47 III. Translating Networks 51 Structural Issues 54 'Studying up' • 55 Summary 57 CHAPTER 3. SCIENCE POLICY IN CANADA AND THE NCE EXPERIMENT 59 I. Historical Influences on Policy 60 Public Science in Canada 62 II. Evolution of the NCE Program 69 Models for the NCE Program 71 Territorial Struggles and Program Design 75 Mobilizing Networks; Changing Attitudes 79 Summary and Discussion 87 iv CHAPTER 4: CONFIGURING THE CANADIAN GENETIC DISEASES NETWORK 92 I. Power of One 93 Enrolling the Core-set 101 II. Managing the Network 109 Institutional Friction 112 III. Spatial-Structural Dynamics 120 Regional Distribution 120 Elitism: Norms of Equity and Exclusion 123 Accountability as Social Reflexivity 128 Accountability as Value for money' 132 Summary Discussion 136 CHAPTER 5: CULTURE AND SCIENCE 138 I: 'A Nation of Colleagues' 139 Inducing Solidarity 140 Face to Face Community 142 A Climate for Collaboration 144 Phase Transitions 148 II: Network Science? 152 Medical Genetics: An Overview 154 Space and Scale 156 Scaling Up 159 A Network Research Program? 161 Core Facilities: 'Where all the spokes converge' 167 Conclusion 175 CHAPTER 6: FROM SCIENCE To COMMERCE 177 I. Understanding the Pipe 178 Industry Partnerships 181 II. Traversing the Pipe 186 The First Commercial Turn 188 The Second Commercial Turn 191 Resistance ... 199 in. T-tViW fUn ? 201 'Funding Galileo' 203 Conclusion 206 CHAPTER 7: ADVENTURES IN THE NATURE OF TRADE 208 I. Localizing Cosmopolitans 209 II. Towards a new typology 212 Setder Science: 'Excursions into the land of ignorance' 214 v Translational Research: 'I wouldn't call it science' 222 Merchant Science: Worlds in Transition 226 Conflicts of Interest and Commitment 229 Incorporating merchant science 235 Discussion 237 CHAPTER 8: CONCLUSIONS & IMPLICATIONS 240 I. Argument and General Findings 240 II. Case Study: Conclusions and Implications 242 Translational research is foundational 242 Spatial dynamics are enigmatic 244 Cultural norms are contradictory 247 Network effects resist assessment 249 'Public' and 'profit' are problematic 250 Policy's focus is myopic 251 III. Suggestions for Future Research 253 IV. Summary 255 Appendix A: Networks Funded 257 References 258 vi LIST OF FIGURES Figure 1: Conceptual Matrix 10 Figure 2: Formal Interviews Conducted 17 Figure 3: The Linear Model of Research: WWII to mid 1970s 31 Figure 4: Stokes's Quadrant Model of Scientific Research 34 Figure 5: Model of Canada's Strategic Science Policy Regime in relation to the NCE program 90 Figure 6: CGDN Investigators, listed in 1988 Proposal for Phase I of NCE Program 106 Figure 7: Tri-Nodal Distribution of Funding 121 Figure 8: Growth in Partner Institutions and Principal Investigators Phase I to Phase III 149 Figure 9: CGDN's Core Facilities, End of Year One, Phase I (1990-1) 168 Figure 10: CGDN's Core Facilities, End of Phase II, beginning of Phase III (1998) 170 Figure 11: Industry Relationships, Phase II 184 Figure 12: NCE Program: Funded Networks 1989—2005, sorted by date of first funding 257 vii LIST OF TABLES Table 1: Share of university research funded by industry (%) in 1996,1990, and 1985 83 Table 2: Percentage of R&D Expenditures for the G7 Nations in 1996 84 Table 3: Total cash contributions to NCEs, 1990-2000 H4 Table 4: Funding Allocations by Institution, 1991 to 2000 120 viii ACKNOWLEDGEMENTS Without the generosity of my sources, there would be no study. I want to thank the scientists, policy advisors, adrninistrators, bureaucrats, and many others who contributed their time and reflections to help me understand their complex worlds. I was fortunate in the calibre of my interdisciplinary research committee and the breadth of their research interests: Don Fisher, Educational Studies, and Stephen Straker, History of Science (co- supervisors); Richard Ericson, Sociology and Law; Derek Gregory, Human Geography; and Judy Segal, English. The Science and Society group and the Individual Interdisciplinary Studies Graduate Program, both housed at Green College, constituted my intellectual community and I am grateful for the opportunities for discussion and support provided by both. Finally, embarking on the adventures of graduate studies at a relatively advanced age is less foolhardy when it is a folie a deux. Thanks to my partner in this madness: my husband and friend, Garnet Grosjean. We made it, kid! ix DEDICATION In gratitude for providing a climate of encouragement, and the intellectual and material resources that allow students to work outside disciplinary lines, I dedicate this dissertation to the Individual Interdisciplinary Studies Graduate Program (Rhodri Windsor-Liscombe) and Green College (Richard Ericson) at the University of British Columbia, and the Graduate Liberal Studies Program at Simon Fraser University (Hannah Gay, Len Berggren, and Steve Duguid.) ACRONYMS AND ABBREVIATIONS USED ACST Prime Minister's Advisory Council on Science & Technology ANT Actor-Network Theory (aka Translation Sociology) 'big pharma' Multinational pharmaceutical industry CBDN Canadian Bacterial Diseases Network CGDN Canadian Genetic Diseases Network CHEO Children's Hospital of Eastern Ontario CIAR Canadian Institute of Advanced Research CIHR Canadian Institutes of Health Research CSA Canadian Standards Association HUGO International Human Genome Organization ILO University-Industry Liaison Office (aka Technology Transfer