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INSTITUTE OF INNOVATION AND KNOWLEDGE MANAGEMENT 
Do university-industry co-publication volumes correspond with university funding from business firms? 
Joaquín M. Azagra-Caro | Leiden, 4 September 2014 
Co-authors: Alfredo Yegros-Yegros, MayteLópez-Ferrer, Robert J.W. Tijssen
Introduction 
•University-industry interactions are a slightly controversial source of potential benefits, among other, to partially contribute to economic development 
4/8/2014 Science and Technology Indicators Conference 2 
•Different indicators to monitor and foster university- industry interactions (contract research, R&D projects, patent licenses, creation of start-up companies…) 
Major drawback Not freely available
University-industry co-publications (UICs) 
4/8/2014 Science and Technology Indicators Conference 3 
•One of the very few sources for gathering aggregate- level proxy measures of university-industry interaction patterns and trends (Tijssen et al., 2009; Tijssen, 2011) 
•Some studies rely entirely on UICs to capture university-industry interactions 
–Analyses of UICs (Calvert and Patel, 2003; Ponds et al 2007) 
–Effect of UICs on university commercialization technology (Wong and Singh, 2013)
Validity of UICs as proxy of university- industry interactions 
4/8/2014 4 
•UICs are a particular type of co-authorship, only partial indicators of research collaboration (Katz and Martin, 1997) 
–One third of the companies providing funding to the university had not UICs with the university –only 16% of the companies publishing UICs also provided funding (Lundberg et al. 2006) 
•Previous attempts of validation are scarce 
–Collaborations might not produce UICs 
–Some UICs might not necessarily entail collaboration 
Science and Technology Indicators Conference
Research question 
•Our objective is to contribute to prove whether or not UICs are good proxies of university-industry interactions 
5 
DoUICvolumescorrespondwithuniversityfundingfrombusinessfirms? 
•Researchquestion 
Business funding is associated with some of the most frequently occurring university-industry interactions (e.g. contract research or joint research agreements) (Roessner, 1993) 
4/8/2014 
Science and Technology Indicators Conference 
•Needofaconceptualframework
Four types of theoretical relationships between funding and UIC –an interactive model 
6 
University funding from business firmst-τ 
UICt 
University funding from business firmst+φ 
University funding from business firmst 
Industry financing 
University signalling 
Industry pull 
Science push 
4/8/2014 
Science and Technology Indicators Conference
Data 
•Polytechnic University of Valencia (UPV) 
•247 UPV authors of UICs in 2008-2011 (Source: WoS) 
•UPV researchers of projects with firms in three periods (Source: UPV technology transfer office) 
–1,224 in 2000-2007 
–1,004 in 2008-2011 
–482 in 2012-2013 
•Name matching of both databases 
•Project data includes amount of funding 
4/8/2014 7 
Science and Technology Indicators Conference
Types of funding and UIC relationships at UPV 
8 
Industry financing 
University signalling 
Industry pull 
Science push 
94% 
6% 
UPV participants in projects with firms 2000-2007 
Non-UICauthors 
UIC authors 
93% 
7% 
UPV participants in projects with firms 2008-2011 
Non-UICauthors 
UIC authors 
83% 
17% 
UPV UIC authors 
Non-participantsin projects withfirms 2012-2013 
Participants inprojects withfirms 2012-2013 
72% 
28% 
UPV UIC authors 
Non-participantsin projects withfirms 2008-2011 
Participants inprojects withfirms 2008-2011 
University funding from business firms2000-2007 
UIC2008-2011 
University funding from business firms2012-2013 
University funding from business firms2008-2011 
4/8/2014 
Science and Technology Indicators Conference
Pairwise correlation coefficients (R) 
9 
•Non-significant statistical relationships 
Mean business project funding 
(2000-2007) 
Mean business project funding 
(2008-2011) 
# UICs 2008-2011 
R = 0.01 
R = -0.01 
# UICs 2008-2011 
(funding 2008-2011) 
# UICs 2008-2011 
(funding 2012-2013) 
Mean business project funding 
R = -0.01 
0.15 
Science and Technology Indicators Conference 4/8/2014
Regression analysis –control variables 
•Individual characteristics (#projects, %PI, age, gender, visibility) 
•Project characteristics (R&D type, year, duration, #firms, %foreign) 
•UIC characteristics (#authors, %international, %third affiliations, #citations, year, journal, area) 
Science and Technology 4/8/2014 Indicators Conference 10
Let’s start with the left half of the picture 
11 
Industry financing 
Industry pull 
University funding from business firms2000-2007 
UIC2008-2011 
University funding from business firms2008-2011 
Science and 4/8/2014 Technology Indicators Conference
Econometric models of financing and industry pull 
•UIC = f(university funding from business firms) 
•But UIC=0 may mean two things: 
–Authors wanted to produce UIC and could not, e.g. for confidentiality or lack of scientific novelty 
–Authors did not want to produce UICs, e.g. they used funding for other purposes or lack of environmental culture 
•Correct verification of impact of business funding in two steps: 
–Step 1 UIC(yes/no) = f (university funding from business) 
–Step 2 For UIC>0, #UIC = f (university funding from business) 
Science and Technology 4/8/2014 Indicators Conference 12
Heckman selection models of financing and industry pull at the UPV 
13 
•No sample selection bias 
•No sign of financing or industry pull effects at the UPV 
Step 
Dependent variable 
Coefficient of mean business project funding 
(2000-2007) 
Coefficient of mean business project funding 
(2008-2011) 
1 
UIC (yes/no) 2008-2011 
-0.94 
-0.18 
(1.58) 
(0.48) 
2 
# UIC 2008-2011 
2.14 
-2.01 
(4.24) 
(1.25) 
# observations 
1,224 
1,004 
Science and 4/8/2014 Technology Indicators Conference
Let’s move to the right half of the picture 
14 
University signalling 
Science push 
UIC2008-2011 
University funding from business firms2012-2013 
University funding from business firms2008-2011 
Science and 4/8/2014 Technology Indicators Conference
Econometric models of signalling and science push 
•University funding from business firms = f(UIC) 
•But business funding=0 may mean two things: 
–Researchers wanted business funding but did not get it, e.g. need of minimum scientific visibility 
–Researchers did not want business funding, e.g. to preserve academic freedom 
•Correct verification of impact of UICs on business funding in two steps: 
–Step 1 Business funding(yes/no)=f(UIC) 
–Step 2 For funding>0, amount of university funding from business firms=f(UIC) 
Science and Technology 4/8/2014 Indicators Conference 15
Heckman selection models of signalling and science push at the UPV 
•Sample selection bias in science push 
•Positive association between UIC and funding: high (science push) or borderline (signalling) –both in Step 2 
Science and Technology Indicators Conference 16 
Step 
Dependent variable 
Coefficient of # UICs 2008-2011 
(funding 2008-2011) 
Coefficient of # UICs 2008-2011 
(funding 2012-2013) 
1 
Business funding (yes/no) 
-0.02 
-0.05 
(0.09) 
(0.11) 
2 
Mean business funding 
0.01*** 
0.12* 
(0.00) 
(0.01) 
# observations 
247 
247 
4/8/2014
Heckman selection models of signalling and science push at the UPV 
•Sample selection bias in science push 
•Positive association between UIC and funding: high (science push) or borderline (signalling) –both in Step 2 
Science and Technology Indicators Conference 17 
Step 
Dependent variable 
Coefficient of # UICs 2008-2011 
(funding 2008-2011) 
Coefficient of # UICs 2008-2011 
(funding 2012-2013) 
1 
Business funding (yes/no) 
-0.02 
-0.05 
(0.09) 
(0.11) 
2 
Mean business funding 
0.01*** 
0.12* 
(0.00) 
(0.01) 
# observations 
247 
247 
4/8/2014
Do UIC output volumes correspond with university funding from business firms? 
•In general, UICs can occur without business funding, and business funding without UICs – Answer: ‘no’ 
•For a minority of authors (those who participate in business funded projects), there is a positive association of current UICs and business funding –Answer: ‘yes’ (partial evidence of a science push) 
Science and Technology 4/8/2014 Indicators Conference 18
Conclusions 
•Convenience of an interactive model to capture the complexity in the relationship between university funding from business firms and UICs 
Science and Technology Indicators Conference 19 
•UICs as predicting factor: Wong and Singh (2013) also found a positive effect of UICs on university technology commercialization 
•Scarce overlap between researchers participating in projects and publication of UICs (consistent with Lundberg et al, 2006) 
•Studies based exclusively on UICs to analyse university-industry interactions do not fully capture business funded research –more evidence is needed 
4/8/2014
Future research 
•Analysis of the relationship of several project-related features and the generation of UICs (e.g. type of agreement, duration, gender…) 
Science and Technology Indicators Conference 20 
•Broader approach, including any type of R&D activity and not only when the source of funding are business companies 
4/8/2014
www.ingenio.upv.es 
INSTITUTE OF INNOVATION AND KNOWLEDGE MANAGEMENT

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STI2014 UICs UPV

  • 1. INSTITUTE OF INNOVATION AND KNOWLEDGE MANAGEMENT Do university-industry co-publication volumes correspond with university funding from business firms? Joaquín M. Azagra-Caro | Leiden, 4 September 2014 Co-authors: Alfredo Yegros-Yegros, MayteLópez-Ferrer, Robert J.W. Tijssen
  • 2. Introduction •University-industry interactions are a slightly controversial source of potential benefits, among other, to partially contribute to economic development 4/8/2014 Science and Technology Indicators Conference 2 •Different indicators to monitor and foster university- industry interactions (contract research, R&D projects, patent licenses, creation of start-up companies…) Major drawback Not freely available
  • 3. University-industry co-publications (UICs) 4/8/2014 Science and Technology Indicators Conference 3 •One of the very few sources for gathering aggregate- level proxy measures of university-industry interaction patterns and trends (Tijssen et al., 2009; Tijssen, 2011) •Some studies rely entirely on UICs to capture university-industry interactions –Analyses of UICs (Calvert and Patel, 2003; Ponds et al 2007) –Effect of UICs on university commercialization technology (Wong and Singh, 2013)
  • 4. Validity of UICs as proxy of university- industry interactions 4/8/2014 4 •UICs are a particular type of co-authorship, only partial indicators of research collaboration (Katz and Martin, 1997) –One third of the companies providing funding to the university had not UICs with the university –only 16% of the companies publishing UICs also provided funding (Lundberg et al. 2006) •Previous attempts of validation are scarce –Collaborations might not produce UICs –Some UICs might not necessarily entail collaboration Science and Technology Indicators Conference
  • 5. Research question •Our objective is to contribute to prove whether or not UICs are good proxies of university-industry interactions 5 DoUICvolumescorrespondwithuniversityfundingfrombusinessfirms? •Researchquestion Business funding is associated with some of the most frequently occurring university-industry interactions (e.g. contract research or joint research agreements) (Roessner, 1993) 4/8/2014 Science and Technology Indicators Conference •Needofaconceptualframework
  • 6. Four types of theoretical relationships between funding and UIC –an interactive model 6 University funding from business firmst-τ UICt University funding from business firmst+φ University funding from business firmst Industry financing University signalling Industry pull Science push 4/8/2014 Science and Technology Indicators Conference
  • 7. Data •Polytechnic University of Valencia (UPV) •247 UPV authors of UICs in 2008-2011 (Source: WoS) •UPV researchers of projects with firms in three periods (Source: UPV technology transfer office) –1,224 in 2000-2007 –1,004 in 2008-2011 –482 in 2012-2013 •Name matching of both databases •Project data includes amount of funding 4/8/2014 7 Science and Technology Indicators Conference
  • 8. Types of funding and UIC relationships at UPV 8 Industry financing University signalling Industry pull Science push 94% 6% UPV participants in projects with firms 2000-2007 Non-UICauthors UIC authors 93% 7% UPV participants in projects with firms 2008-2011 Non-UICauthors UIC authors 83% 17% UPV UIC authors Non-participantsin projects withfirms 2012-2013 Participants inprojects withfirms 2012-2013 72% 28% UPV UIC authors Non-participantsin projects withfirms 2008-2011 Participants inprojects withfirms 2008-2011 University funding from business firms2000-2007 UIC2008-2011 University funding from business firms2012-2013 University funding from business firms2008-2011 4/8/2014 Science and Technology Indicators Conference
  • 9. Pairwise correlation coefficients (R) 9 •Non-significant statistical relationships Mean business project funding (2000-2007) Mean business project funding (2008-2011) # UICs 2008-2011 R = 0.01 R = -0.01 # UICs 2008-2011 (funding 2008-2011) # UICs 2008-2011 (funding 2012-2013) Mean business project funding R = -0.01 0.15 Science and Technology Indicators Conference 4/8/2014
  • 10. Regression analysis –control variables •Individual characteristics (#projects, %PI, age, gender, visibility) •Project characteristics (R&D type, year, duration, #firms, %foreign) •UIC characteristics (#authors, %international, %third affiliations, #citations, year, journal, area) Science and Technology 4/8/2014 Indicators Conference 10
  • 11. Let’s start with the left half of the picture 11 Industry financing Industry pull University funding from business firms2000-2007 UIC2008-2011 University funding from business firms2008-2011 Science and 4/8/2014 Technology Indicators Conference
  • 12. Econometric models of financing and industry pull •UIC = f(university funding from business firms) •But UIC=0 may mean two things: –Authors wanted to produce UIC and could not, e.g. for confidentiality or lack of scientific novelty –Authors did not want to produce UICs, e.g. they used funding for other purposes or lack of environmental culture •Correct verification of impact of business funding in two steps: –Step 1 UIC(yes/no) = f (university funding from business) –Step 2 For UIC>0, #UIC = f (university funding from business) Science and Technology 4/8/2014 Indicators Conference 12
  • 13. Heckman selection models of financing and industry pull at the UPV 13 •No sample selection bias •No sign of financing or industry pull effects at the UPV Step Dependent variable Coefficient of mean business project funding (2000-2007) Coefficient of mean business project funding (2008-2011) 1 UIC (yes/no) 2008-2011 -0.94 -0.18 (1.58) (0.48) 2 # UIC 2008-2011 2.14 -2.01 (4.24) (1.25) # observations 1,224 1,004 Science and 4/8/2014 Technology Indicators Conference
  • 14. Let’s move to the right half of the picture 14 University signalling Science push UIC2008-2011 University funding from business firms2012-2013 University funding from business firms2008-2011 Science and 4/8/2014 Technology Indicators Conference
  • 15. Econometric models of signalling and science push •University funding from business firms = f(UIC) •But business funding=0 may mean two things: –Researchers wanted business funding but did not get it, e.g. need of minimum scientific visibility –Researchers did not want business funding, e.g. to preserve academic freedom •Correct verification of impact of UICs on business funding in two steps: –Step 1 Business funding(yes/no)=f(UIC) –Step 2 For funding>0, amount of university funding from business firms=f(UIC) Science and Technology 4/8/2014 Indicators Conference 15
  • 16. Heckman selection models of signalling and science push at the UPV •Sample selection bias in science push •Positive association between UIC and funding: high (science push) or borderline (signalling) –both in Step 2 Science and Technology Indicators Conference 16 Step Dependent variable Coefficient of # UICs 2008-2011 (funding 2008-2011) Coefficient of # UICs 2008-2011 (funding 2012-2013) 1 Business funding (yes/no) -0.02 -0.05 (0.09) (0.11) 2 Mean business funding 0.01*** 0.12* (0.00) (0.01) # observations 247 247 4/8/2014
  • 17. Heckman selection models of signalling and science push at the UPV •Sample selection bias in science push •Positive association between UIC and funding: high (science push) or borderline (signalling) –both in Step 2 Science and Technology Indicators Conference 17 Step Dependent variable Coefficient of # UICs 2008-2011 (funding 2008-2011) Coefficient of # UICs 2008-2011 (funding 2012-2013) 1 Business funding (yes/no) -0.02 -0.05 (0.09) (0.11) 2 Mean business funding 0.01*** 0.12* (0.00) (0.01) # observations 247 247 4/8/2014
  • 18. Do UIC output volumes correspond with university funding from business firms? •In general, UICs can occur without business funding, and business funding without UICs – Answer: ‘no’ •For a minority of authors (those who participate in business funded projects), there is a positive association of current UICs and business funding –Answer: ‘yes’ (partial evidence of a science push) Science and Technology 4/8/2014 Indicators Conference 18
  • 19. Conclusions •Convenience of an interactive model to capture the complexity in the relationship between university funding from business firms and UICs Science and Technology Indicators Conference 19 •UICs as predicting factor: Wong and Singh (2013) also found a positive effect of UICs on university technology commercialization •Scarce overlap between researchers participating in projects and publication of UICs (consistent with Lundberg et al, 2006) •Studies based exclusively on UICs to analyse university-industry interactions do not fully capture business funded research –more evidence is needed 4/8/2014
  • 20. Future research •Analysis of the relationship of several project-related features and the generation of UICs (e.g. type of agreement, duration, gender…) Science and Technology Indicators Conference 20 •Broader approach, including any type of R&D activity and not only when the source of funding are business companies 4/8/2014
  • 21. www.ingenio.upv.es INSTITUTE OF INNOVATION AND KNOWLEDGE MANAGEMENT