THE CHANGING ROLE OF UNIVERSITIES IN THE GERMAN RESEARCH AND INNOVATION SYSTEM - POLITICAL EXPECTATIONS, ACTIVITIES AND POSSIBLE IMPACTS

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T H E C H A N G I N G R O L E O F U N I V E R S I T I E S I N

T H E G E R M A N R E S E A R C H A N D I N N O VAT I O N

S Y S T E M - P O L I T I C A L E X P E C TAT I O N S ,

A C T I V I T I E S A N D P O S S I B L E I M PA C T S

P r o f . D r . K n u t K o s c h a t z k y © iStockphoto.com/Alex Slobodkin

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S t a r t i n g p o i n t s

All ti f k l d d t h l t f thi d t l t k i

Allocation of knowledge and technology transfer as a third central task in addition to research and teaching in the context of the amendment of the Higher Education Act in 1998

Increasing university autonomy, self-management (New Public Management)

Bologna process, excellence orientation, research orientation of the universities of applied science (polytechnics)pp p y

Growing need for third-party funding

Increasing political expectation that universities engage regionally in networks and clusters (leading edge clusters state clusters)

and clusters (leading-edge clusters, state clusters)

Expectations for impetus regarding the emergence of regional research priorities (e.g. funding initiative Research Campus, RIS3-strategies)

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S t a r t i n g p o i n t s

Th i l t ki f i iti i i i t i d

The regional networking of universities gains in importance since around

five years.

It represents a possible answer to the changing conditions of strategic action of universities, which can be described by criteria such as academic excellence, high quality teaching and the fulfillment of transfer duties.

Regional activities result from the increasing g g focus of public project promotion p p j p

activities in networking between partners from different areas of the

innovation system and the special focus on the development of regional

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T h e o r y : D i ff e re n t f o r m s o f re g i o n a l

i

i

O i t ti f i iti i th i i l i t h

u n i v e r s i t y e n g a g e m e n t

Orientation of universities concerning their regional environment has

already been subject to many economic or social scientific research projects

(Bleaney et al. 1992; Cooke 2002; Gunasekara 2006a; Keane und Allison 1999; Kitagawa 2004; Thanki 1999)

Kitagawa 2004; Thanki 1999).

 Many universities actively engage in their environment in a strategic

manner (Krücken et al. 2009; Krücken and Meier 2006; Nickel 2004).

 Emergence of "entrepreneurial universities" (Clark 1998, Gibbs 2001),triple

and quadruple helix configurations (Etzkowitz and Leydesdorff 2000,

Carayannis and Campbell 2009), "boundary-spanning roles" of new university units (Youtie and Shapira 2008), and the "third role of universities", i.e. their active contribution to regional development through knowledge spillovers from teaching and research (Gunasekara 2004; Westnes et al. 2007) are discussed.

 In the wake of the regionalisation of RTD policies the expectations of policy

makers towards HEIs to engage in regional/local networks, clusters and other

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D i ff e re n t f o r m s o f re g i o n a l u n i v e r s i t y

e n g a g e m e n t

 Regional governments try to engage universities in joint strategic undertakings of the industry, the science and the public sectors and the public sectors in a region

 Such initiatives can

relate to the initiation relate to the initiation of large scale cluster projects, to the formation of public-i hi private-partnerships, as to urban development activities Source: own draft based on Goldstein/Mayer/Luger (1995) Uyarra (2010)

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G e r m a n re s e a rc h l a n d s c a p e

Universities:

Applied research

Federal agencies with R&D tasks

Universities:

428 public and private organisations of higher education: 108 universities 6 colleges of Industry Universities Fraunhofer a cter 108 universities, 6 colleges of education, 17 theological education organisations, 52 colleges of arts, 216 universities of applied Helmholtz Other e sear ch char a universities of applied

sciences (polytechnics), and 29 civil service universities of applied sciences

Spectrum (no of students):

B i h

Leibniz

Public organisations

Max Planck

R

e Spectrum (no. of students):

LMU Munich: 52.000 University Lübeck: 3.300 University of Applied Sciences Munich: 17 200 Basic research

public Funding private

Max Planck

Libraries, archives, museums Total expenditures 2011: 75.5 bill. Euro

Source: BMBF 2014

Sciences Munich: 17.200 College of Arts for Media Cologne: 330

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O r g a n i s a t i o n a l d i m e n s i o n

 German universities have different objectives j according to their status (teaching, g g

research, transfer), are of different size and of different complexity regarding organisation and governance.

 Universities can be regarded as "loosely-coupled systems" (Gumport and Sporn

1999), characterised by "organised anarchies" (Cohen et al. 1974), and are thus

'fragmented environments'.

 Regarding regional transfer and innovation, loosely-coupled systems can react quite

flexible - but uncoordinated - to respective demands (motivation/activities of individual researchers).

The larger the university, the higher the number of internal institutional boundaries

d i l i d h hi h h d f i i l f i

and internal interests, and the higher the degree of organisational fragmentation

(Krücken et al. 2007).

 The more researchers are involved, the more difficult is central coordination (in a

l l l d t ) Pl i d ti i di t d d d i i t i

loosely-coupled system). Planning and action is uncoordinated and decision costs rise

because decisions are taken several times (Hallonsten 2014).

 Universities are thus not equal and a single good practice strategy regarding

regional transfer and innovation is not appropriate regional transfer and innovation is not appropriate.

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R e g i o n a l d i m e n s i o n

 Universities act inUniversities act in different regional environmentsdifferent regional environments.

 These environments differ in economic prosperity, the structure, size and number

of possible cooperation partners and customers, and in innovative performance.

 Studies from Germany show that the regional

 Studies from Germany show that the regional

environment exerts a significant influence on the

propensity of university researchers to engage regionally g y (Kroll et al. 2015). ( )

 While core activities like teaching and research are

mainly unaffected by regional characteristics, in

transfer like personnel exchange, consulting, use of p g g

university equipment, and information exchange

the region plays a significant role.

 Third role activities like contribution to social life or community engagement is

especially pronounced in peripheral and less common in core regions.

Transfer strategies, impacts on the region and thus measurement have to respect the regional framework conditions.

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F o r m s o f re g i o n a l

e n g a g e m e n t

Starting pointg p

 No broad empirical basis on the

full scope of activities

 Mostly econometric or case studiesy

Objectives of the study*

 Establish an empirical basis

 Take an actor based view

 Take an actor based view

 Understand the reasons for

researcher‘s choice

St d D t il Study Details

 Between April and June 2011

 Survey of about 14,000 professors

( f l)

(of ~40,000 German Total)

 around 1,600 questionnaires with

relevant entries returned (response rate 11 4 %)

rate 11.4 %)

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D i ff e re n t f o r m s o f re g i o n a l e n g a g e m e n t o f

i

i t i

i

G

u n i v e r s i t i e s i n G e r m a n y

Research collaboration with regional partners *0 50 Research collaboration with regional partners

Advice and expertise for regional organisations Temporary exchange of personnel between HEI and regional partners (interns, teaching

Support of final theses conducted by students in

Collaboration and personnel exchange

*0,50 *0,43 *0,44

Use of machinery equipment laboratories in HEIs Support of final theses conducted by students in regional firms and organisations

*0 57 *0,54

Use of machinery, equipment, laboratories in HEIs Use of rooms, infrastructure and services of HEIs

Information and further education for different

Supply of resources

0,57 *0,61

Information and further education for different groups (e.g. pupils, teachers, elderly people) Contribution to social life of the region / social engagement in the region

Social engagement

*0,51

*0,55

Source: Koschatzky et al (2013) = latent variable

= Indicator *0,57 = estimated factor loading * The highest of the respective factor loadings are shown;

Fitting of the sample according to Kaiser-Meyer-Olkin criterion = 0,78 n = 1441

Source: Koschatzky et al. (2013) g o e sa p e acco d g o a se eye O c e o 0, 8

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D i ff e re n c e s b e t w e e n s c i e n t i f i c d i s c i p l i n e s

Profile of engagement according to disciplines

Organising information events and further education courses for  diverse groups 

(e g p pils teachers pensioners etc )

Contribution to local communities / social involvement

Exchanges of staff between university and regional partners  (e.g. interns, external teachers etc.)

Supporting or placing students at regional companies and  institutions 

to complete their studies (e.g. pupils, teachers, pensioners etc.)

Allowing third parties to use university‐owned machines,  appliances or laboratories

Allowing third parties to use university‐owned premises or services

0% 10% 20% 30% 40% 50%

Research cooperations with regional organisations Consulting and expert reports for regional organisations

0% 10% 20% 30% 40% 50%

HASS ‐Humanities, Arts and Social Sciences, N = 544 Medical Sciences, N = 123

MINT ‐Mathematics, Informatics, Natural and Technical Sciences, N= 497

Source: Own Figure based on own survey Source: Own Figure, based on own survey

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I n t e r i m c o n c l u s i o n s

The kind size and profile of the university affect its transfer and innovation

The kind, size and profile of the university affect its transfer and innovation

stimulation activities.

Different disciplines exhibit different transfer profiles. Depending on the

disciplinary profile of a university universities have different potentials in transfer disciplinary profile of a university, universities have different potentials in transfer, innovation and regional engagement.

Research collaborations, consulting activities and exchange of human

i l i d d d b i l i f f

capital via students, graduates and business people are important forms of

regional engagement in which spatial and cultural proximity are of high relevance.

 Also important is the supply of resources (infrastructure and services).

Social engagement (contribution to social life, further education) plays also a

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N e w t e n d e n c i e s o f re s e a rc h c o o p e r a t i o n

b

i

i i

d i d

b e t w e e n u n i v e r s i t i e s a n d i n d u s t r y

Significant change of the role of universities in innovation systems:

entrepreneurial behaviour of universities, entrepreneurship education, targeted spin-off promotion programs play an important role.

 Long-term, stable institutional structures to organise research and technology

transfer are more and more replaced by flexible solutions and

problem-related research cooperations between science and industry.

 Implementation of Public-Private Partnerships currently discussed in policy and policy research (e.g. TIP Activity on Opportunities and Options for Public-Private Partnerships at the OECD).p

Examples are: Industry-University Cooperative Research Centers (IUCRCs),

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S c i e n c e - I n d u s t r y i n t e r a c t i o n s u p p o r t i n

G

R

h C

G e r m a n y - R e s e a rc h C a m p u s

A more recent example is the Research

Campus Program

 National program, competition-based

Wolfsburg

Berlin Magdeburg

 Applied basic research with long-term

market orientation

 In September 2012, 10 Research

Aachen

Magdeburg

Jena

Campus projects were selected

 Most RC enter the main phase at the

end of 2014. Nine are still operating.

Mannheim Stuttgart

Preparation and main phases will be

supported up to altogether 15 years with

a maximal amount of 2 mill. Euro per

year year

 The selected Research Campus can be

regarded as pilot models for other universities and companies

universities and companies

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I m p l i c a t i o n s f o r u n i v e r s i t i e s

 Participation in this kind of initiative demands a strategy and strategic

 Participation in this kind of initiative demands a strategy and strategic

competence in the university directorate and in university administration,

because 'Forschungscampus' is an important strategic element and serves the higher education policy agenda setting

higher education policy agenda setting.

 This is not given in all German universities ( Transfer Audit by Stifterverband)

 In the majority of the research campus the university rectors / presidents

ll itt d i th b i i t f th l i l d i

personally committed in the submission stage of the proposal or are involved in different bodies of the research campus.

 In some universities, the university management allocates financial and human

resources in a substantial amount as own funds.

 'Forschungscampus' is used as an instrument of focus formation in most of the participating universities and is thus regarded as controversial issue in not p p g g involved disciplines.

 'Forschungscampus' is an example for a complex transfer activity which cannot be handled by all universities.y

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M e a s u re m e n t - G e r m a n e x p e r i e n c e s

 In many universities the knowledge about their whole spectrum of

 In many universities, the knowledge about their whole spectrum of transfer activities is low (organisational fragmentation).

 In general, available data focus on press releases, spin-offs and patent

applications Activities at the faculty level or even the individual level are applications. Activities at the faculty level or even the individual level are

usually unknown to the university directorate.

 Some universities have an internal reporting system (e.g. amount of third

t f di f th d ti f t hi bli ti t i iti f li d

party funding for the reduction of teaching obligations at universities of applied sciences). But these systems are diverse and cannot be made the basis for

a general measurement.

Publicly available statistical data are the number of graduates, third party

funding (at least on the university level), university patents (common definition necessary), publications (derived from publication databases).

Financial data (income from…) reflect only a part of the whole transfer

and activity spectrum (UK Higher Education Business and Community

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M e a s u re m e n t - G e r m a n e x p e r i e n c e s

Definition of indicators depends on the kind of transfer and innovation

Definition of indicators depends on the kind of transfer and innovation

stimulation activities (regional social engagement is different from

cooperation in a research project  slide: forms of regional engagement).

 A uniform measurement system would face the problem that is does not

 A uniform measurement system would face the problem that is does not

reflect different transfer specialisations and profiles.

 (Regional) Impacts of university activities regarding their broad spectrum of

t f ti iti diffi lt/i ibl t (f i )

transfer activities are difficult/impossible to measure (focus is necessary).

Economic impacts, however, can be measured and are measured (German

study "Universities as regional economic factor").

 Standardised measurement would demand structures within each university

to record all transfer relevant activities.

Publicly available data y are not able to sufficiently measure transfer activities, y output and impacts.

Surveys and case studies are so far the only data source for at least some

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C o n c l u s i o n s

 Universities are characterised byUniversities are characterised by organisational fragmentationorganisational fragmentation. This prevents. This prevents from a central coordination of transfer activities.

 Universities differ in objectives, profiles, and sizes. A uniform transfer and innovation stimulation function does not exist

innovation stimulation function does not exist.

 Transfer and stimulation of regional innovation includes a broad spectrum of activities. These activities are differently fulfilled by the universities according to their roles

their roles.

 Transfer activities depend on the self-conception of disciplines and

professors, but also on different regional environments. A uniform

t f t f ti iti i th f t ibl

assessment of transfer activities is therefore not possible.

 New forms of collaboration demand strategic intelligence and transfer strategies. Not all German universities can handle this kind of collaboration

h d

with industry.

Data for the measurement of transfer are missing or only insufficient for

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Thank you for your attention!

Contact: knut.koschatzky@isi.fraunhofer.de

© iStockphoto com/Alex Slobodkin © iStockphoto.com/Alex Slobodkin

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S u b j e c t s o f t h e R e s e a rc h C a m p u s

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MODAL AG Mathematical optimization of complex processes Berlin

Open Hybrid LabFactory Hybrid light construction for automobiles Wolfsburg

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Figure

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References