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

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1 THE CHANGING ROLE OF UNIVERSITIES IN THE GERMAN RESEARCH AND INNOVATION SYSTEM - POLITICAL EXPECTATIONS, ACTIVITIES AND POSSIBLE IMPACTS Prof. Dr. Knut Koschatzky istockphoto.com/alex Slobodkin

2 Starting points 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) Growing need for third-party funding Increasing political expectation that universities engage regionally in networks and clusters (leading-edge edge clusters, state clusters) Expectations for impetus regarding the emergence of regional research priorities (e.g. funding initiative Research Campus, RIS3-strategies) Seite 2

3 Starting points The regional networking of universities iti 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 focus of public project promotion activities in networking between partners from different areas of the innovation system and the special focus on the development of regional networks. Seite 3

4 Theory: Different forms of regional university i engagement Orientation ti of universities iti 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). 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 initiatives have significantly increased (Fritsch et al. 2007). Seite 4

5 Different forms of regional university engagement Source: own draft based on Goldstein/Mayer/Luger (1995), Uyarra (2010) Regional governments try to engage universities in joint strategic undertakings of the industry, the science and the public sectors in a region Such initiatives can relate to the initiation of large scale cluster projects, to the formation of public- private-partnerships, as to urban development activities Seite 5

6 German research landscape Applied research Basic research Re esearch chara acter Source: BMBF 2014 Federal agencies with R&D tasks public Leibniz Fraunhofer Universities Helmholtz Public organisations Max Planck Libraries, archives, museums Funding Other Industry Total expenditures 2011: 75.5 bill. Euro private Universities : 428 public and private organisations of higher education: 108 universities, 6 colleges of education, 17 theological education organisations, 52 colleges of arts, 216 universities of applied sciences (polytechnics), and 29 civil service universities of applied sciences Spectrum (no. of students): LMU Munich: University Lübeck: University of Applied Sciences Munich: College of Arts for Media Cologne: 330 Seite 6

7 Organisational dimension German universities have different objectives according to their status (teaching, 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 and dinternal linterests, and the higher h the degree of organisational i fragmentation (Krücken et al. 2007). The more researchers are involved, the more difficult is central coordination (in a loosely-coupled l ldsystem). )Planning and action is uncoordinated tdand ddecision i 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. Seite 7

8 Regional dimension Universities act in different 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 environment exerts a significant influence on the propensity of university researchers to engage regionally (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 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. Seite 8

9 Forms of regional engagement Starting gpoint No broad empirical basis on the full scope of activities Mostly econometric or case studies Objectives of the study* Establish an empirical basis Take an actor based view Understand the reasons for researcher s choice Study Details Between April and June 2011 Survey of about 14,000 professors (of ~40,000 German Total) around 1,600 questionnaires with relevant entries returned (response rate 11.4 %) * financed by BMBF within the research programme 'New governance of science' Seite 9

10 Different forms of regional engagement of universities iti in Germany Research collaboration with regional partners *0,50 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 regional firms and organisations *0,43 *0,44 *0,54 Collaboration and personnel exchange Use of machinery, equipment, laboratories in HEIs Use of rooms, infrastructure and services of HEIs *0,57 *0,61 Supply of resources 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 *0,51 *0,55 Social engagement n = 1441 = Indicator *0,57 = estimated factor loading = latent variable * The highest of the respective factor loadings are shown; Fitting of the sample according to Kaiser-Meyer-Olkin eye criterion = 0,78 Source: Koschatzky et al. (2013) Seite 10

11 Differences between scientific disciplines Profile of engagement according to disciplines Contribution to local communities / social involvement Organising information events and further education courses for diverse groups (e.g. pupils, pils teachers, pensionersetc etc.) Supporting or placing students at regional companies and institutions to complete their studies Exchanges of staff between university and regional partners (e.g. interns, external teachers etc.) Allowing third parties to use university owned premises or services Allowing third parties to use university owned machines, appliances or laboratories Consulting and expert reports for regional organisations Research cooperations with 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 Seite 11

12 Interim conclusions 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, innovation and regional engagement. Research collaborations, consulting activities and exchange of human 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 role, especially in peripherial p regions. Seite 12

13 New tendencies of research cooperation between universities i i and industry 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 problemrelated 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). Examples are: Industry-University Cooperative Research Centers (IUCRCs), Centers of Excellence (CoEs), Competence Research Centers Seite 13

14 Science-Industry interaction support in Germany - Research Campus A more recent example is the Research Campus Program National program, competition-based Applied basic research with long-term market orientation In September 2012, 10 Research Campus projects were selected Most RC enter the main phase at the end of Nine are still operating. Preparation and main phases will be supported up to altogether 15 years with a maximal amount of 2 mill. Euro per year The selected Research Campus can be regarded as pilot models for other universities and companies Source: own figure Seite 14 Aachen Wolfsburg Magdeburg Jena Mannheim Stuttgart Berlin

15 Implications for universities 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. This is not given in all German universities ( Transfer Audit by Stifterverband) In the majority of the research campus the university rectors / presidents personally committed in the submission i 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 p universities and is thus regarded as controversial issue in not involved disciplines. 'Forschungscampus' is an example for a complex transfer activity which cannot be handled by all universities. Seite 15

16 Measurement - German experiences 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 usually unknown to the university directorate. Some universities have an internal reporting system (e.g. amount of third party funding for the reduction of teaching obligations at universities iti 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 Interaction Survey) Seite 16

17 Measurement - German experiences 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 reflect different transfer specialisations and profiles. (Regional) Impacts of university activities regarding their broad spectrum of transfer activities iti are difficult/impossible ibl 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 are not able to sufficiently measure transfer activities, output and impacts. Surveys and case studies are so far the only data source for at least some universities. Seite 17

18 Conclusions Universities are characterised by organisational fragmentation. Thisprevents from a central coordination of transfer activities. Universities differ in objectives, profiles, and sizes. A uniform transfer and 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. Transfer activities depend on the self-conception of disciplines and professors, but also on different regional environments. A uniform assessment of transfer activities iti is therefore not possible. New forms of collaboration demand strategic intelligence and transfer strategies. Not all German universities can handle this kind of collaboration with industry. Data for the measurement of transfer are missing or only insufficient for mapping the whole spectrum of transfer activities. Seite 18

19 Thank you for your attention! Contact: istockphoto.com/alex com/alex Slobodkin Seite 19

20 Subjects of the Research Campus Campus Subject Location ARENA 2036 Development of multifunctional composite materials Stuttgart Digital Photonic Production 3D-printing and construction of composites Aachen Electrical Nets of the Future Direct current voltage for power transmission Aachen EUREF E-mobility and mobility and urban concepts Berlin INFECTOGNOSTICS Efficient and rapid on site proof of infection agents Jena M2OLIE Medical intervention environment regarding cancer Mannheim MODAL AG Mathematical optimization of complex processes Berlin Open Hybrid LabFactory Hybrid light construction for automobiles Wolfsburg STIMULATE Screening of minimal-invasive methods in medicine Magdeburg Seite 20