Information-intensive innovation: the changing role of the private firm in the research ecosystem through the study of biosensed data By Elaine M Sedenberg A dissertation submitted in partial satisfaction of the requirements for the degree of Doctor of Philosophy in Information Management and Systems in the Graduate Division of the University of California, Berkeley Committee in charge: Associate Professor Deirdre Mulligan, Co-Chair Professor John Chuang, Co-Chair Professor AnnaLee (Anno) Saxenian Professor Coye Cheshire Summer 2019 Information-intensive innovation: the changing role of the private firm in the research ecosystem through the study of biosensed data Copyright 2019 by Elaine M Sedenberg 1 Abstract Information-intensive innovation: the changing role of the private firm in the research ecosystem through the study of biosensed data by Elaine M Sedenberg Doctor of Philosophy in Information Management and Systems University of California, Berkeley Associate Professor Deirdre Mulligan, Co-Chair Professor John Chuang, Co-Chair In a world instrumented with smart sensors and digital platforms, some of our most intimate and information-rich data are being collected and curated by private companies. The opportunities and risks derived from potential knowledge carried within these data streams are undeniable, and the clustering of data within the private sector is challenging traditional data infrastructures and sites of research. The role of private industry in research and development (R&D) has traditionally been limited— especially for earlier stage research—given the high risk, long time horizons, and uncertain returns on investment. However, the information economy has changed the way Silicon Valley and other technology firms operate their business models, which has vast implications for how they respectively innovate. Information drives competitive advantage, and builds upon the emergence of technical infrastructure for collecting, storing, and analyzing data at scale. Basic research and fundamental inquiry are becoming important innovation priorities for private firms as they tailor algorithms and customize services, and these changes have vast implications for individual privacy and research ethics. This information-intensive innovation does not simply introduce a new source of inquiry, but a shift in the possibilities and boundaries that enable market edge. This shift challenges prior models of innovation and reconsiders the role of the private firm within the research ecosystem—specifically in regards to Vannevar Bush’s Linear Model of Innovation and Donald Stokes’ Quadrant Model of Scientific Research. This change builds upon prior Silicon Valley innovation models outlined by AnnaLee Saxenian and Henry Chesbrough, but features additional key changes within industry R&D that are fundamentally reshaping the role of the firm within the broader 2 ecosystem. No longer can industry be cast as a place only equipped to grapple exclusively with narrowly applied or developmental research and fully separated or agnostic from users, customers, and citizens. Within this information and data abundant moment, the research and innovation ecosystem is at an inflection point that could alter decades of embedded beliefs and assumptions on who should conduct research and ask fundamental questions, not to mention who should govern and grant access to research data. This dissertation studies how the rise of data science infrastructure is changing the role of the private firm in the R&D ecosystem. This research works to understand how and under what conditions private sector firms are synthesizing user data (e.g., those picked up by sensors) internally and/or shared externally for research purposes. This dissertation specifically looks at applications of biosensed data for the purposes of social, behavioral, health, or public health research applications. Qualitative and mixed methods are used to research, document, and examine practices within the lens of existing research and innovation theoretical models. Historical frameworks are used to ground and place contemporary practices within broader context. This research presents three illustrative cases on firms that exemplify different aspects of strategies to adapt to the competitive pressures of information-intensive innovation. The firms include the Lioness smart vibrator, Kinsa smart thermometer, and Basis smart watch. This research establishes findings about how firms are working within the data and R&D landscape, and how new pressures are influencing emerging practices and strategies. Findings outline the changing definitional boundaries of research within the private firm, and evolving practices relating to knowledge sharing and research activities within the firms. This analysis also points to two key emerging challenges firms are coping with, including how to grapple with research ethics and the rise of secrecy practices that may impede collaboration and research strategies implicit with information-intensive innovation. Research is occurring at many levels within firms, breaking free of any traditional laboratory structure. Collaborations and data sharing with academics for mutually beneficial research partnerships are taking new, largely unstructured forms to meet rising demand and interest. There is fresh demand for new kinds of collaboration models derived from data sharing needs, and exploration into ways of leveraging research practices and incorporating academic research curiosity across firms. This dissertation concludes by summarizing the importance of reconsidering the role of the firm within the broader R&D ecosystem and broader policy considerations. Programs to help structure and incentivize private/academic research collaborations should be considered, and private firms should consider their internal protocols and strategies in light of this changing landscape. i Dedicated to the two people who have read thousands of essays, proofed problem sets and applications, and provided feedback on fraught emails throughout over 20 years of schooling: Jane and Bill Sedenberg. Thank you, Mom and Dad, for all of the late night phone calls, edits, emergency venting, code names, and career strategy trips to Schlotszky’s. I love you both so much, and I am the luckiest daughter in the world to have you both as my parents. ii Contents Acknowledgements iv Chapter 1 Introduction 1 Chapter 2 Changing role of the private firm in the R&D 5 ecosystem: Foundational Theoretical Models, Emerging Challenges, and Key Concepts Section I: Theoretical Models of R&D and 7 Innovation Section II: Silicon Valley Specific Models of 13 Innovations Section III: Emerging model of information- 16 intensive innovation Section IV: Key Concepts 19 Chapter 3 Research Approach, Methodology, and Researcher 26 Positionality Chapter 4 Traditional Role of the Private Sector in Research: 51 Historical Context of American Industrial R&D, Academic Partnerships, and Traces of Data Sharing Instances Chapter 5 Illustrative Cases from Exemplary Firms: Vibrators, 94 Thermometers, and Smart Watches Research and Data Sharing Strategies I feel it coming: Lioness and the desire to share data 97 for underfunded, understudied women’s sexuality research Hot Takes: Using Kinsa Private Temperature Data to 114 Augment Public Health Information Systems and Fuel Public Interest Feedback Loops On the Basis of Science: Internal R&D and External 127 Complements iii Chapter 6 Emerging practices, changing definitions, and new 144 collaboration strategies for information-intensive innovation Section I: Changing Boundaries and Evolving 146 Definitions: exploring the boundaries between UX and R&D Section II: Knowledge Sharing: Private Firm 155 Reliance on Academic Partners and New Informal Publishing Methods to Externalize Knowledge Section III: Research Ethics in the Wild 170 Section IV: Information-intensive innovation 180 secrecy out of open innovation Chapter 7 Conclusions 191 Bibliography 195 Appendices 221 Appendix A: Essential background on existing public 222 data infrastructures: new pressures and limitations Appendix B: Methodological Reflection: Secrecy 226 practices impact on this research Appendix C: From Skunkworks to stealth mode: 235 R&D and product development in the Shadows Appendix D: Essential Background on NDAs 238 iv Acknowledgements Thank you to Deirdre Mulligan and John Chuang for their unwavering support and encouragement during this PhD and research process. I am so grateful for all the lessons I have learned from apprenticing you both these last few years. It was a once in a lifetime opportunity—thank you. To the rest of my committee: Coye Cheshire, thank you for all of the BBQ conversations and bunny photos, and more importantly for helping me build a methodological foundation I will build upon for the rest of my career. Anno Saxenian, your research drew me to the I School many years ago so it is fitting your work helped me reach the finish line. Thank you for bringing your vision, encouragement, and for helping me transform my findings into a stronger narrative. Anno is also to credit for working with me to coin the term “information-intensive innovation.” Thank you to the I School staff who saved the day more times than I can possibly count. In particular, thank you to Catherine Cronquist Browning, Jenny Collins, Katie Gede, Alexsis Scott, Meg St. John, Daniel Sabescen, and especially Inessa Gelfenboym Lee (who made this entire filing possible). To the professors who helped inspire this work through their