THÔNG TIN TÀI LIỆU
Case Studies of Use-Oriented Research
David Cooper
Published by HSRC Press
Private Bag X9182, Cape Town, 8000, South Africa
www.hsrcpress.ac.za
First published 2011
ISBN (so cover) 978-0-7969-2347-9
ISBN (pdf) 978-0-7969-2348-6
ISBN (e-pub) 978-0-7969-2349-3
© 2011 Human Sciences Research Council
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Contents
Tables and figures v
Preface vii
Abbreviations and acronyms ix
Part 1 A global second academic transformation: In symbiosis with a third
capitalist industrial revolution
Introduction: Investigating Western Cape university research groupings 3
New issues and perspectives: Their unfolding in the research process 5
Towards a new theoretical framework 20
The organisation of the book 24
1 A post-1970s second academic transformation: Questions and evidence 28
Etzkowitz’s hypotheses regarding a third university mission 28
Some pointers to the ‘new university mission’ 31
Cautionary remarks about a global second academic transformation 47
2 Use-inspired basic research and the third mission: Some cases of early
developments 60
Pasteur’s Quadrant and UIBR 61
Embedding a third university mission linked to UIBR at MIT before
the Second World War 65
An academic turning point: The Second World War and UIBR in the
USA 73
The consolidation of UIBR at Stanford after 1945 80
3 The spread of a second academic transformation in the last quarter of the
twentieth century: A critical assessment 91
A third capitalist industrial revolution: The underpinning of the second
academic transformation 92
The importance of a fourth helix 104
Emergence of larger research centres linked to the third university
mission 115
Part 2 Case studies at the universities in the Western Cape
Introduction: A short overview of South African research and innovation 149
The evolving systems of research and innovation in South Africa 149
R&D indicators: Selective insights into our national system 158
4 Use-oriented research: ‘Model types’ of research groupings in the universities 170
Case 0: The ‘traditional’ Model T structure, exemplified by the
Science Unit 171
Case 1: Model A, use-oriented research, exemplified by the
Agriculture Centre 178
Case 2: Model B, use-oriented research, exemplified by the
Genes Unit 200
Case 3: Model C, use-oriented research, exemplified by the Space Lab 213
5 Case studies of research groupings in between the traditional Model T and the
new Models A, B and C 237
Research groupings in transition between Model T and Model B 238
Research groupings in transition between Model T and Model A 251
Research groupings in transition between Model T and Model C 271
Part 3 Drawing together the threads from the 11 case studies
6 Interpreting the data from 10 use-oriented research groupings 305
Another look at the second academic transformation 305
Internal modes of research organisation: Findings from the cases
studies 310
Factors enhancing and inhibiting use-oriented research: Findings from the
case studies 323
7 The idea of a second academic transformation: Implications for new concepts
and new policies 349
Missing discourses and absent concepts 349
Some new policy implications 356
Appendix 1: Research methodology employed in the study 362
Appendix 2: The case studies 367
References 368
Index 379
v
Tables and figures
Tables
Table i.1 The three major industrial revolutions 22
Table i.2 The structure of the book 24
Table 3.1 Conceptualisation of capitalist very long waves: Technological forces
and socio-economic relations of production 93
Table ii.1 Ratio of South African GERD to GDP, 2001–06 158
Table ii.2 A global snapshot of overall and business investment in national
R&D, 2005 159
Table ii.3 Main performers of R&D (2005/06) by source of R&D funding 160
Table ii.4 R&D researchers (FTE), 1992 and 2005 161
Table ii.5 Higher education research-related indicators, 2005 165
Table A2.1 The case studies: Model type, pseudonyms and mode of internal
organisation of each case 369
Figures
Figure i.1 The ‘orphan’ U–CS link, alongside the U–I–G triple helix 11
Figure i.2 Research model types as hypothesised after the first phase of
interviews 13
Figure i.3 Research model types as hypothesised after the second phase of
interviews 15
Figure i.4 A proposed typology of the 11 cases 16
Figure 2.1 Stokes’s quadrant model of scientific research 61
Figure 2.2 The ‘investigation work spectrum’: Regions of use-oriented work
and new knowledge (i.e. research) production 64
Figure 3.1 Research model types of the first and second academic
transformations 133
Figure 3.2 A shift to use-oriented research: Maintaining the core internal
organisational structure of the small PI-unit 135
Figure 3.3 A radically new internal organisational structure of a ‘real’ centre 137
Figure 3.4 A network of PI-units (research subgroups): A new ‘virtual’ structure
combining features of both a small unit and a large centre 140
Figure ii.1 Full-time equivalent researchers per 1000 total employment 162
Figure ii.2 Researchers by institutional type, race, dominant age and
gender 163
Figure ii.3 PhD graduates per million population, 2005 164
Figure 4.1 Transformation of traditional Model T into new Model A,
or B or C 170
Figure 4.2 Personnel structure of the Agriculture Centre in 2000 179
vi
Figure 4.3 Research (biotechnology) sub-programmes of the Agriculture
Centre 180
Figure 4.4 Funding of salaries of the Agriculture Centre, c. 2000/01 181
Figure 4.5 Structure of the Agri-Sector Industry Network 185
Figure 4.6 Research roles of the university (with Agriculture Centre),
Agricultural Research Council and Agricultural College 187
Figure 4.7 Structure of the Academic Department–Agriculture Centre,
early 2005 194
Figure 5.1 Cases in between traditional Model T and new Models A, B
andC 237
Figure 5.2 Research groupings in between Model T and Model B 238
Figure 5.3 Research groupings in between Model T and Model A 251
Figure 5.4 Research groupings in between Model T and Model C 272
Figure 6.1 Modes of organisation of use-oriented groupings:
Models A, B andC 310
Figure 6.2 A new national researcher career track 327
Figure 7.1 A reconceptualised quadruple helix 355
vii
Preface
As outlined in the Introduction to Part 1, and in more detail in Appendix 1, the
project of which this book is the main output spanned a period of just over 10 years,
beginning in 2000. I am thus indebted to many people, of whom only the main ones
can be acknowledged here.
Firstly, I wish to acknowledge the directors and researchers of each of the 11 research
groupings in the universities and universities of technology of the Western Cape,
which formed the case studies of Part 2. In the interests of anonymity, I cannot
identify them but I wish to express my deep appreciation of the time and generous
support that they gave me for the lengthy interviews and document-collection
process. Without this support, the arguments and theoretical framework embedded
in this study would never have emerged. Similarly, I wish to salute the group who
undertook the first phase of interviews in 2000: research assistants Carlene Davids,
Deon Ruiters, Chupe Serote, Rosemary Wolson, and especially senior researchers
Drs Alexandra Hoffmanner and Sharman Wickham, who produced such excellent
interview material that I was encouraged to build on it, by my undertaking a second
phase of interviews with each of the research groupings in 2005, and a third phase
in 2007.
For encouragement to embark on the first phase of the project, I am indebted
to David Kaplan who in 2000, as director of the Science and Technology Policy
Research Centre at the University of Cape Town, helped me secure funding and
helped in my early conceptualisation of issues around ‘unlocking university
knowledge for society’, which theoretical scaffolding grew as my book expanded
into its eventual title of The University in Development. For the second phase of
interviews in 2005, I am grateful to Michael Kahn, then Executive Director of the
Knowledge Systems Research Programme of the HSRC, who helped me secure
funding and who gave generously of his ideas, which later culminated in his
co-authorship of the Introduction to Part 2 of this book. Thanks also to David
Lincoln who, in 2008/2009, stood in for me briefly as Head of Department of
Sociology, so that I might complete the analysis phase. I am also grateful to Tara
Weinberg for creating some of the figures in this book. And I will keep memories
of the discussions with my friends Jonny Myers and Sue Myrdal, who over the years
spanning this project always helped me to maintain optimism.
Final editing of the book after 2008 took longer than I expected, with Regine
Lord, Doug van der Horst and particularly Biddy Green playing important parts.
In particular, I must express my admiration for the editing skills and especially
intellectual acumen of Karen Press, who quickly grasped the core themes of the
viii
book and helped shorten it in such a collegial way. During the last six months of
production, collegial advice about editing from Brenda Cooper, Zimitri Erasmus
and Ian Scott helped me take courage when tasks seemed daunting. Finally too, I
am indebted to Roshan Cader and Inga Norenius and their team at HSRC Press who
helped steer through the final publication efficiently. I am also very grateful to the
UCT Research Office for providing a generous grant towards the costs of producing
the book.
Every one of the above-named acted as friends as well as colleagues at work.
However I need to acknowledge three people who made special contributions, often
not intentionally, without which this book would never have emerged in the form it
finally did. My son Adam read a few chapters while in China in 2005 and encouraged
me in the following years to continue with the theoretical journey and further phases
of interviews, while my daughter Sara saw clearly some of the difficulties of finalising
the book and came forward with insights and encouragement. Particularly to Judy,
my wife, who lived through a decade of regular stories about the book and my
cycles of anxiety about achieving ‘strong knowledge’ via sociological analysis, I am
forever grateful, including for the way she created mental and physical spaces for my
work. These are three special people to whom I dedicate the book, in the hope that
I will not disappoint the faith they continuously showed in my project: to produce
a relative degree of strong knowledge so as to influence change in research policies
and practices at our South African universities, around what I have termed the global
second academic transformation.
ix
Abbreviations and acronyms
AAU American Association of Universities
AD–AC Academic Department–Agriculture Centre
ANC African National Congress
ARC Agricultural Research Council
BERD business expenditure on R&D
BRIC Biotechnology Regional Innovation Centre
CNRS Centre National de la Recherche Scientifique
CoE centre of excellence
CS civil society
CSIR Council for Scientific and Industrial Research
DACST Department of Arts, Culture, Science and Technology
DoE Department of Education
DST Department of Science and Technology
EPU Education Policy Unit
ERA European Research Area
ERC Engineering Research Centre
EU European Union
FP framework programme (of the EU)
FRD Foundation for Research Development
FTE full-time equivalent
GDP gross domestic product
GERD Gross Expenditure on R&D
GNN government national network
GNP gross national product
HEI higher education institution
HERD higher education R&D
HoD head of department
HSRC Human Sciences Research Council
ICT information and communications technology
ILRIG International Labour Research and Information Group
IP intellectual property
ISG International Study Group
IT information technology
IUCRC Industry/University Cooperative Research Centre
MIT Massachusetts Institute of Technology
MMURC multipurpose, multidiscipline university research centre
NASA National Aeronautics and Space Administration
NATO North Atlantic Treaty Organisation
x
NCE network of centres of excellence
NDRC National Defense Research Committee
NGO non-governmental organisation
NIH National Institutes of Health
NoE network of excellence
NRF National Research Foundation
NSF National Science Foundation
NSI national system of innovation
NTC Nanoscience and Technology Centre
OECD Organisation for Economic Cooperation and Development
ONR Office of Naval Research
ORU organised research unit
OSRD Office of Scientific Research and Development
OTL office of technology licensing
PAR Pure Applied Research
PBR Pure Basic Research
PD postgraduate diploma
PI principal investigator
R&D research and development
S&T science and technology
SARChI South African Research Chairs Initiative
SET science, engineering and technology
SETA Sector Education and Training Authority
SOE state-owned enterprises
SRC science research centre
STC Science and Technology Centre
SYS Stanford-Yale-Sussex
THRIP Technology and Human Resources for Industry Programme
TNC transnational corporation
TTO technology transfer office
UCT University of Cape Town
UIBR use-inspired basic research
U–I–G university–industry–government
UIRC university–industry research centres
UK United Kingdom
UoT university of technology
URC university research centre
USA United States of America
[...]... midway into the research process, and which helped significantly to shape the development of this new theoretical framework I will briefly discuss each of them, although they are examined in greater detail later in Part 1, as well as in the analysis of the case studies in Part 2 These involve: Before exploring these themes further, however, I will contextualise the research by giving a very brief outline... had had no idea of these MIT–Stanford links during the first interviews at the Space Centre in 2000, but the second interview showed that the professors there had brought some of the ideas across the skies from America, and had planted them in the Space Lab of their university There had undoubtedly been a conscious theorisation by some of these professors of how they should undertake their research, particularly... explored in Part 1 In the period 2005/06, at the time of the second phase of interviews, I focused on the international literature relating to the second academic transformation in symbiosis with a third capitalist industrial revolution, that is, the focus was on the theoretical work of Part 1 These emerging theoretical perspectives were then used in the analysis of the case material, especially after the. .. research groupings? And does this help in assessing the factors that enhance and inhibit their research work? Moreover, following this line of thought, I proposed by the end of the phase-three interviews to conduct the analysis of all 10 use-oriented research groupings in terms of the typology shown in Figure i.4 (an elaboration of the typology presented in Figure i.3) 15 THE UNIVERSITY IN DEVELOPMENT. .. transformation: In symbiosis with a third capitalist industrial revolution Introduction: Investigating Western Cape university research groupings The research for this study involved an in- depth investigation of 11 research groupings at Western Cape universities The investigation incorporated detailed interviews with key members of each grouping in 2000, further follow-up interviews in 2005 and 2007, and final... research’ In investigating each case, the main research methods comprised in- depth interviews and the use of documents and website information At a theoretical level, the original research proposal invoked Etzkowitz’s framework of first, second and third ‘missions’ of universities: The first academic revolution, 7 THE UNIVERSITY IN DEVELOPMENT taking off in the late 19th century, made research [the second... established in the course of the ‘first academic revolution’ (Etzkowitz 1994) in the 1800s, which consolidated basic research at universities alongside teaching 13 THE UNIVERSITY IN DEVELOPMENT Thus, after the first phase of interviews, I hypothesised that we are seeing a new Model B small unit type emerging for use-oriented research, which in many respects is internally organised in the same way as the nineteenth-century-based... analysis of each case in 2009 – a project thus spanning nearly a decade It is therefore useful to begin the presentation of the findings of the investigation with an outline of how the central theoretical issues of the study were conceptualised at the start of the process The research project was conceived in the late 1990s, influenced by my personal experiences of South African university research centres... evolution.3 The context and initial design of the research Embedded within the research questions I posed at the beginning of the first phase of interviews in 2000 was the idea of ‘applied research’ (see the two quotations above from the original research proposal) The sampling approach of the investigation was thus to select such ‘applied’ cases rather than ‘pure research’ groups, because the latter... comprising the network of professors In particular, I wondered whether some of the modes of undertaking research seen by these professors at MIT and Stanford, and transferred to their own university, were central to the fact that this virtual centre was still flourishing at the time of the final interviews in 2007 Again, therefore, a new perspective had emerged, leading to the need to address further . It is therefore useful to begin the presentation of the findings of the
investigation with an outline of how the central theoretical issues of the study. such new
THE UNIVERSITY IN DEVELOPMENT
4
centres and units in the Western Cape region, in order to examine more closely the
inhibiting factors being experienced
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