analyze the ways in which technology government policy thesis

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Children are naturally curious—they want to know "how" and "why. In this minilesson, students organize the information they have compiled through the research process by using sentence strips. Students first walk through the process using information on Beluga whales as a model. Students match facts written on sentence strips to one of four categories: appearance, behavior, habitat, and food. Sentence strips are color-coded to match each category. The sequence of notes sentence strips under each category are case studies page in an indented outline form, and regrouped so that similar facts are placed together.

Analyze the ways in which technology government policy thesis essay about teachers day in india

Analyze the ways in which technology government policy thesis

Between and , the railroad increased in enormous ways, making cattle trails entirely obsolete Doc B. As transportation became easier, commercial farming became possible and farmers were able to send out more produce. Farmers continued increasing production through the use of new equipment. In , it was possible to harvest wheat in big rows through the use of the combine Doc D.

Also with the invention of the grain elevator more farmers had the ability to store grain in bulk. Another technological advancement that developed during this time would be the railroad system. The railroads linked the farms to the big cities as shown in Document B. Vanderbilt, who had monopolistic power over the railroads. Mechanization- machine were replacing people and animals of doing agricultural. Tractors being developed produced right after civil war.

Problems: need money to own tractors, banks load money to farmer, interest. Upkeep and maintain it to keep tractors running. Money to paid mechanic Added to the financial risk of farming, already gambling on soil and weather and crops. From Canada to the Gulf of Mexico and from California to the Atlantic Ocean there are several thousand head of cattle being raised. However these cattle are all being raised the some way or under the same conditions. Ranchers in the north have to deal with snow and ice while the southern ranchers are dealing with mud, water, and, mosquitoes.

The people raising cattle in the Midwest are faced with droughts and having to keep their crops and cattle watered. The development of these machines was affected by long run price variation Meij 4. When prices of grains were high, there were demands for ploughs, seed drills, cultivators, reapers, winnowing machines and others Meij 5.

After , there was a shift from steam to gasoline power, resulting in tractors forcing out the steam engines Meij 6. These tractors were so heavy that they damaged the soil Meij 6. This shift from horses to tractors was to eliminate human labor, increase productivity, and influence the development of a wider range of machines to be used with the tractor "Agripedia" 4.

The populist movement is considered to be an agrarian revolt by farmers and those concerned with agriculture, because in the gilded age many people were moving to rural areas where banks and industrial systems were superior over agriculture.

The high tariffs, decentralization of currency, and decreasing crop prices were hurting the farmers. Founded by James B Weaver and Tom Watson, they wanted the government to have a stronger control over banking and industries. Populism pursued limited coinage of silver and adjusted income tax so the wealthy would be paying more than the poor. They wanted free coinage of silver because this would eventually help the farmers pay off their debts. The US wheat industry demonstrates how integration across the food chain can raise efficiency.

At the beginning of the century, it was much like what India is today. It was fragmented, with a proliferation of small regional markets. There was no standard grading system; each state had its own informal grades. Farmers, although large, were exploited by traders, who often bought wheat at low prices by claiming that it was poor or that demand was weak.

The price of corn decreased from to , and the price of wheat fell from to DOC A. Static money in America also deflated the prices. When the prices were falling farmers were still trying to pay off mortgages, therefore they The creation of railroads in Kansas allowed cattle to be transferred to the markets. Two and a half million cattle were being marketed in Chicago Doc.

The Problems with Farm Subsidies Subsidies are payments, economic concessions, or privileges given by the government to favor businesses or consumers. Cohen and Levin 10 , and Schmoch and Schnoring 17 discuss the strengths and limitations of different methodological approaches. This ap proach provides a more realistic and robust understanding of innovative processes than any single method would offer. Each of the methods depicted in Figure 1 is briefly described below, with additional details provided in ref 1.

High Resolution Image. Patent Activity Analysis. Researchers have long used patents as a measure and descriptive indicator of inventive activity Patents provide detailed and publicly accessible technical and organizational information for inventions over a long period of time. In addition, studies have shown that patenting activity can be linked to events external to a firm.

This attribute of patents also is especially useful for studying the effects of SO 2 -related government actions on inventive activity in SO 2 control technology. FGD capacity between and First, the USPTO classes used to develop prior art earlier patents whose claims are legally determined by the patent examiner to be closely related to the claims in the citing patent 20 were elicited from the patent examiner, then used to generate a time-series of 2, patents issued from to that were relevant to SO 2 control.

Patent classes are a relatively broad method for identifying specific technologies, however. Thus, a second dataset of 1, patents was generated based on an electronic search for relevant keywords in the abstracts of all patents granted from to These dates were used because systematic electronic keyword searching is possible only for USPTO patents granted after The final yield was 1, relevant patents.

Patent activity in this dataset was later analyzed in the context of various government actions through econometric analysis and the interpretation of experts, as discussed later in this paper. To check the commercial relevance of both the class-based and abstract-based datasets, the patent lists obtained from prominent FGD vendors were compared to those in each dataset to see if the screening had identified them. Both datasets included a high percentage of these commercially relevant patents, with the abstract-based dataset showing better overall performance.

Inferences drawn from these patent datasets also are discussed later in this paper. Key outcomes of the innovation process for FGD technology include improvements in the reliability, performance, and cost of new and existing systems over time. Analysis of the rate of technical improvements for new FGD systems was conducted using the concept of a learning curve or experience curve 21 , in which a performance variable such as cost is displayed as a function of total cumulative production of the technology; in this case, total installed FGD capacity in the United States.

In a second analysis, improvements in FGD capital cost were analyzed based on a benchmark MW power plant burning a high-sulfur coal, as analyzed by five historical studies and adjusted to dollars. It was important to investigate costs based on a benchmark plant because FGD capital costs depend on a variety of site-specific factors.

Implicit in the FGD cost analysis was a high degree of system reliability relative to early designs. Results of the performance and cost analyses are presented later. Analysis of Knowledge Transfer Activity. As noted earlier, the diffusion of information is an important component of the innovation process. To study the influence of govern ment activity in this area, we conducted two additional types of analysis centered on the government-sponsored SO 2 Symposium that was held on a regular basis from to First, a technical content analysis of each conference proceedings was conducted to examine changes in emphasis on various SO 2 -related technology areas over time, and their relationship to the timing of major government legislative and regulatory actions.

Technical content analysis of this type is in the research tradition of examining a variety of indicators of innovative activity, including journal articles and advertisements in trade publications. Santarelli and Piergiovanni 24 provide a brief review of such literature-based innovation research.

The second type of analysis examined researcher coauthorship networks. This analysis was conducted to capitalize on previous innovation research showing that networked organizations have better opportunities to benefit from knowledge transfer 23 , and that technical conferences and consortia are among the important knowledge transfer mechanisms In this research, network analysis of the changing coauthorship patterns at the SO 2 Symposium provided a proxy for the channels of inter-personal and inter-organizational information exchange relevant to the diffu sion process that were facilitated by the conference.

For the content analysis, paper sessions were grouped by technical category. Ref 1 provides additional details of these methods. Expert Elicitations. Finally, we conducted extensive interviews with twelve experts representing a variety of organizational backgrounds and affiliations involved in SO 2 control technology development. These experts were identi fied on the basis of the length and level of their participation in the SO 2 Symposium and the range of perspectives they provided including those of industry, government, and academia.

FGD performance trends were elicited from them in order to calibrate other expert responses. Key technological developments and government actions considered significant also were elicited. In addition, experts were asked about the importance of patents and the SO 2 Symposium to the industry and SO 2 control technology development, and they were asked to give their interpretation of observed patenting trends. Results and Discussion. The key findings from this study are organized into three main areas.

In general, the results and conclusions in each area are drawn from more than one of the methodological approaches described above. Effect of Regulation on Inventive Activity. Figure 2 shows the level of inventive activity in SO 2 control technology as reflected by patenting activity over more than years using the class-based dataset. Patenting levels can be portrayed as a step-function dividing two time periods.

Prior to the late s, there was little or no activity no more than four patents per year , despite government legislation dating back to that authorized research into air pollution abatement methods see Table 1. After , patenting activity never fell below 76 per year. Thus, the patenting trend in Figure 2 suggests that the adoption of stringent national regulations for SO 2 emissions control stimulated inventive activity more than government-sponsored research support alone.

This indication that national regulation was a more effective stimulant of inventive activity than federal research funding alone is supported by other veins of evidence in our research, notably the technical content analysis of the SO 2 Symposium and the testimony of experts interviewed. It is also consistent with findings from case studies of other environmental technologies The anticipation of government regulation also appears to have spurred inventive activity as reflected by patent filings.

Trends in the abstract-based patent dataset Figure 3 , together with expert testimony, support this hypothesis see ref 1 for modeling details. The experts in our study also believed that the pattern of peaks observed in Figure 3 was due to contemporary national legislative and regulatory events identified in Table 1.

For example, as an explanation for the peak, nearly all the experts mentioned a heightened public and legislative awareness of acid rain in the mid- to lates and the anticipation of legislation that would have overhauled the Clean Air Act. The result of that anticipation, they explained, was an intensification of research, technology demonstra tions, and testing of moderate-removal SO 2 control technologies that would have fit contemporaneous Congressional proposals see Table 1 which ultimately did not get enacted.

The idea that anticipated regulation has the ability to drive innovation is not new to this study; Ashford, Ayers, and Stone 26 , for example, drew a similar conclusion from studies of other industries. This study shows, however, that the direction and nature of innovative activity can be affected significantly by the anticipated and actual requirements of environmental regulations. Evidence that regulatory stringency directs the focus of inventive activity is seen in Figure 4 , which shows patenting activity in precombustion SO 2 control technologies, which are primarily coal cleaning processes.

Although these technologies were not dominant in the overall patent datasets, in the early s patenting activity in this area grew significantly. At that time, SO 2 emission standards allowed low-sulfur coals to play a prominent role as a compliance strategy for both new and existing sources, and precombustion sulfur removal was of significant interest.

However, after the CAAA required New Source Performance Standards to be tightened based on the technological capabilities of both wet and dry FGD systems , patenting activity in coal cleaning technologies dropped precipitously. Conversely, the stringency of the NSPS for low-sulfur coals was an important driver of innovation in dry FGD technology in the s, according to both expert interviews and the content analysis of papers presented at the national SO 2 Symposium 1.

The CAAA, however, although initially predicted to increase demand for FGD systems, eroded the market potential for both dry and wet FGD system applica tions at existing power plants when the SO 2 allowance trading market returned low-sulfur coal to its importance in SO 2 control. In this case, the flexibility provided by the acid rain regulations discouraged inventive activity in technologies that might have had broader markets under the traditional command-and-control regimes in place prior to Overall, our results regarding the effects of regulatory stringency and market scope on environmental technology innovation are consistent with one of the strong conclusions of the mainstream innovation literature, namely that the demand for a technology is a major driver of innovation In the context of environmental technologies, the demand for various types of pollution control equipment is almost inseparable from the details of environmental legislation Innovation Impacts on Performance and Cost.

The most tangible outcomes of technology innovation in SO 2 control over the past several decades have been the improvements in reliability and SO 2 removal efficiency of FGD systems relative to those of early designs of the s, as well as substantial reductions in the cost of this technology. Figures 5 and 6 show the results of the performance and cost analyses described earlier for wet limestone FGD systems at new U.

Figure 5 first shows the average SO 2 removal efficiency of new units coming online each year. The improvements seen reflect advances in FGD process design stemming from continued research and development and operating experience 1. Reliability has not been an issue for over a decade because of design changes now embodied in this technology. Figure 6 illustrates the dramatic reduction in capital cost that has been achieved since FGD systems were first deployed in the U. Over the year period shown, capital cost decreased by a factor of 2.

In some cases, the benefits or knowledge gained from learning by doing can be passed on to others. The role of government in facilitating such knowledge transfer is illustrated by our findings for SO 2 control, as discussed below. Influence of Knowledge Transfer Activities. Government support of the national SO 2 Symposium as a technology transfer and knowledge diffusion mechanism played a key role in the evolution of SO 2 control technology, according to strong agreement among the diverse set of experts interviewed for this research.

In addition, experts credited the conference with fostering cooperation between utility operators and technology developers and researchers, as it brought together all the major technological actors in SO 2 control to try to advance the technology. The patterns of coauthorship between these technological actors approximate the knowledge transfer routes facilitated by the confer ence.

To explore these patterns through network analysis, we began by dividing the conferences into three time periods based on real or anticipated government actions; the NSPS and CAA, both of which represented important changes in the stringency and scope of SO 2 control require ments, were chosen as the period-defining government actions.

The organization type network in the Group 1 conferences is quite different from that in the Group 2 and 3 conferences. In the Group 1 conferences to , not every organization type is connected to others through authorship ties on papers. This is perhaps to be expected in this time period, which was marked by litigation between regulated utilities and government, as well as by a particularly competitive SO 2 control market in which FGD systems were being deployed on a limited scale.

This was an impetus to FGD equipment and services industry acquisitions and new entry the number of firms in the utility FGD market between and increased from one to thirteen. In the organization type network in the Group 2 confer ences to , there were substantial increases not only in the total number of paper coauthorship ties, but in the percentage of ties across organization types.

This provides evidence of the formation of a collaborative community of researchers that appeared just after the implementation of the NSPS, a stringent technology-based standard that applied to all new and substantially modified coal-fired plants, and during a period in which acid rain was under intense study and new SO 2 control requirements were widely anticipated. By this period, FGD systems had largely matured see Figures 5 and 6 , and the relatively lax stringency of the new act was unlikely to drive the research community to work together more closely across organizational types.

The high demand anticipated but not realized by the scrubber industry for new FGD installations resulting from the act, however, was likely to drive more overall interest in the industry, just as each major new national regulatory event had prompted new entry by firms into the market see ref 1 for more details. Ref 1 provides additional analyses of the SO 2 Symposium and its role in knowledge and technology transfer.

The key implication of these findings is that government actions played an important role not only in establishing markets for environmental technologies via the emission reduction requirements imposed , but also in stimulating the formation of communication channels important to knowledge transfer and diffusion, as well as overall technological innovation. Concluding Remarks. The methods used here to study technology innovation for SO 2 control are being extended to case studies of other environmental technologies to provide a larger empirical basis for generalized insights about the influence of govern ment actions on environmental technological innovation.

Our hypothesis, based on the present study and other supporting literature, is that the stringency, flexibility, market size, and time allowed to achieve mandated emission reductions are among the key factors that affect the nature and pace of environmental technology innovation. Our preliminary analysis of the history of innovation in selective catalytic reduction SCR technology for NO x control is consistent with the findings presented here for FGD systems Improved understanding of how government actions affect environmental technology innovation will be particularly important in the context of future policy decisions such as those regarding global climate change.

Continued research into how such actions can most effectively promote environmental technology innovations that reduce the cost of environmental compliance can thus have a major impact on this and other areas of environmental policy. Author Information. Margaret R. Edward S. David A. Google Scholar There is no corresponding record for this reference. Status of flue gas desulfurization systems in the United States.

Diffusion of Innovations , 4th ed. Cohen, W. Empirical Studies of Innovation and Market Structure. Capitalism, Socialism and Democracy. Petroleum Industry. America's Green Strategy. Narin, F. Patent Bibliometrics.

Scientometrics , How Does Knowledge Flow? Interfirm Patterns in the Semiconductor Industry. Strategic Manage. Using Regulation to Change the Market for Innovation. Harvard Environ. Law Rev. Air Waste Manage. Hounshell, D. Cited By. This article is cited by 76 publications. Journal of Informetrics , 15 2 , Induced innovation in energy technologies and systems: a review of evidence and potential implications for CO 2 mitigation.

Environmental Research Letters , 16 4 , The effects of environmental technologies: Evidences of different national innovation systems. Journal of Cleaner Production , , Srinivasan , Amit Kanudia , Jai Asundi. Implication of emission regulation on cost and tariffs of coal-based power plants in India: A system modelling approach.

Energy Policy , , American Economic Journal: Economic Policy , 12 3 , The appropriate use of reference scenarios in mitigation analysis. Nature Climate Change , 10 7 , Improving cost estimates for advanced low-carbon power plants. International Journal of Greenhouse Gas Control , 88 , Economic freedom and corporate environmental responsibility: The role of small government and freedom from government regulation.

Environmental Research Letters , 13 12 , Nemet , Vera Zipperer , Martina Kraus. The valley of death, the technology pork barrel, and public support for large demonstration projects. Air Pollution and Air Quality. Bumpus , S. Emerging clean energy technology investment trends. Nature Climate Change , 7 6 , A dynamic programming approach for modeling low-carbon fuel technology adoption considering learning-by-doing effect.

Applied Energy , , Teaching an old dog new tricks: Firm learning from environmental regulation. Energy Economics , 59 , Atmosphere , 7 5 , Environments , 3 1 , 4. Peredo-Alvarez , Allen S. Bellas , Whitney J. Trainor-Guitton , Ian Lange. Mandate a Man to Fish? Water Resources Research , 52 2 , Nemet , Martina Kraus , Vera Zipperer. Transnational Environmental Law , 4 1 , Environmental regulation and the cross-border diffusion of new technology: Evidence from automobile patents.

Research Policy , 44 1 , Serban Scrieciu.

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Analyze the ways in which technology government policy thesis LEEA. An empirical study of supply chain and intensification program on Madura tobacco industry in East Java. It tackles the big picture, providing insights on the key questions of technology and economic growth, the role of social capital in facilitating innovation, and appropriate measures of technology policy effectiveness. References 1. The high demand anticipated but not realized by the scrubber industry for new FGD installations resulting from the act, however, was likely to drive more overall interest in the industry, just as each major new national regulatory event had prompted new entry by firms into the market see ref 1 for more details. Action for Health Cross Thematic Professional phd annotated bibliography topic. Industrial funding of university research has also increased dramatically in recent years, providing a further indication of industry''s growing reliance on external sources of technology.
Analyze the ways in which technology government policy thesis Forcing technological change: A case of automobile emissions control technology development in the US. A university librarian with expertise in the field of agriculture was consulted for input on key terms and database selection. The region of Northern Ontario has experienced prolonged socio-economic decline since the s, and the continuation of these trends presents a threat to the sustainability of communities in the region. Tobacco growing and the sustainable development goals, Malawi. Tob Cont.
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Altmetric -. Citations Abstract The relationship between government actions and innovation in environmental control technology is important for the design of cost-effective policies to achieve environmental goals. Throughout history, technological innovation has played an essential role in economic development and the creation of wealth.

For this reason it has also been the subject of scholarly research to better understand the factors and forces governing the innovation process. Understanding the impacts of government actions on environmental technology innovation is important because such insights can help shape policies that reduce the costs and improve the effectiveness of future environmental control measures.

This paper presents findings from a study of the effects of government actions on innovation in SO 2 control technology, particularly flue gas desulfurization FGD systems that achieve high levels of SO 2 control at coal-fired power plants and industrial boilers. Because much of the world's electricity is generated from the combustion of coal, emis sions from coal-fired power plants have been the subject of substantial scrutiny and attention in the United States and elsewhere.

Until recently, the primary focus has been on pollutants directly linked to adverse human health effects, namely, particulate matter, sulfur dioxide, nitrogen oxides, and air toxics, especially mercury. Today, power plant emissions also are the subject of intense study in the context of a new environmental problem global climate change.

This issue centers primarily on emissions of carbon dioxide CO 2 , a greenhouse gas widely linked to global warming and climate change impacts. In looking prospectively at potential technological options and costs for abating power plant CO 2 emissions, historical experience for other environmental technologies can serve as a plausible guide to future trends in ongoing assessments of options such as CO 2 capture and storage technologies. We begin with a brief summary of the history of public concern and government actions to control SO 2 emissions in the United States.

We then describe the industry responses to government policies and the subsequent impacts on technological innovation with respect to SO 2 control. Our results and findings are discussed in the context of the technology innovation literature and past treatments of environmental technologies.

Throughout the paper, we also include brief descriptions of relevant methodologies, more detailed treatments of which are found in ref 1. Historical Context for SO 2 Control. There is a long history of public concern about SO 2 because of its negative effects on human health and ecosystems. SO 2 is an eye, nose, and throat irritant, which in the extreme has contributed to infamous air pollution incidents such as the killer smogs in Donora, Pennsylvania, in and London, England, in 2, 3.

SO 2 emissions also are the major culprit along with nitrogen oxides in acidic deposition, with resulting damage to lakes, streams, plants, and forest growth. More recently, SO 2 emissions have been linked to the formation of fine particles associated with increased human mortality 4. Table 1 summarizes the key legislative and regulatory actions undertaken by the U.

These actions over several decades have set the stringency of emission reduction requirements, defined the flexibility and time constraints for regulatory compliance, and established markets for suppliers of SO 2 abatement equipment. In addition, the U. All of these measures have directly affected the design, deployment, and operation of SO 2 control equipment.

In the United States, the main source of SO 2 emissions is the combustion of coal at electric power plants 5. The latter measure is the primary focus of this paper. Today, over 90, MW of U. As Table 1 shows, all new coal-fired plants built since were required to install SO 2 removal systems, with many older plants also installing FGD units to comply with state and local air quality regulations, or with federal acid rain control requirements.

In hearings held in , FGD systems brought into service in and reported operating difficulties related to chemical scaling, demister pluggage, corrosion, reheater problems, and mechanical failures in equipment such as fans, pumps, and dryers. Since those early days, FGD technology has matured and improved considerably, as will be shown later in this paper.

The sources of innovation in SO 2 control technology included electric power producers, FGD vendors, equipment suppliers, engineering firms, government agencies, universities, and industrial researchers. More detailed discussions of these concepts can be found in the technology innovation literature for example, refs 9 and A brief review of that literature provides additional context for the present study.

Literature Review. Previous research on the effects of government actions on technology innovation can be found in two types of literature. A comprehensive review of this literature can be found in Stoneman Thus environmental regulation could serve as an inducement mechanism for technological change innovation , leading to competitive advantage. Kemp 15 provides a useful review and critique. Underlying this hypothesis is the long-standing debate in the environmental technology literature of how best to design the specifics of environmental standards in order to spur innovation.

Throughout this literature the need for detailed case studies is emphasized as especially critical for developing and supporting defensible hypotheses relating environmental technology innovation to government actions and policies. Thus, the present study is intended to contribute to a better understanding of how the forces of innovation can be harnessed to help meet environmental goals. Research Methods. A number of different methods have been used in the past to study technology innovation.

Cohen and Levin 10 , and Schmoch and Schnoring 17 discuss the strengths and limitations of different methodological approaches. This ap proach provides a more realistic and robust understanding of innovative processes than any single method would offer. Each of the methods depicted in Figure 1 is briefly described below, with additional details provided in ref 1. High Resolution Image.

Patent Activity Analysis. Researchers have long used patents as a measure and descriptive indicator of inventive activity Patents provide detailed and publicly accessible technical and organizational information for inventions over a long period of time. In addition, studies have shown that patenting activity can be linked to events external to a firm.

This attribute of patents also is especially useful for studying the effects of SO 2 -related government actions on inventive activity in SO 2 control technology. FGD capacity between and First, the USPTO classes used to develop prior art earlier patents whose claims are legally determined by the patent examiner to be closely related to the claims in the citing patent 20 were elicited from the patent examiner, then used to generate a time-series of 2, patents issued from to that were relevant to SO 2 control.

Patent classes are a relatively broad method for identifying specific technologies, however. Thus, a second dataset of 1, patents was generated based on an electronic search for relevant keywords in the abstracts of all patents granted from to These dates were used because systematic electronic keyword searching is possible only for USPTO patents granted after The final yield was 1, relevant patents.

Patent activity in this dataset was later analyzed in the context of various government actions through econometric analysis and the interpretation of experts, as discussed later in this paper. To check the commercial relevance of both the class-based and abstract-based datasets, the patent lists obtained from prominent FGD vendors were compared to those in each dataset to see if the screening had identified them.

Both datasets included a high percentage of these commercially relevant patents, with the abstract-based dataset showing better overall performance. Inferences drawn from these patent datasets also are discussed later in this paper. Key outcomes of the innovation process for FGD technology include improvements in the reliability, performance, and cost of new and existing systems over time. Analysis of the rate of technical improvements for new FGD systems was conducted using the concept of a learning curve or experience curve 21 , in which a performance variable such as cost is displayed as a function of total cumulative production of the technology; in this case, total installed FGD capacity in the United States.

In a second analysis, improvements in FGD capital cost were analyzed based on a benchmark MW power plant burning a high-sulfur coal, as analyzed by five historical studies and adjusted to dollars. It was important to investigate costs based on a benchmark plant because FGD capital costs depend on a variety of site-specific factors. Implicit in the FGD cost analysis was a high degree of system reliability relative to early designs.

Results of the performance and cost analyses are presented later. Analysis of Knowledge Transfer Activity. As noted earlier, the diffusion of information is an important component of the innovation process. To study the influence of govern ment activity in this area, we conducted two additional types of analysis centered on the government-sponsored SO 2 Symposium that was held on a regular basis from to First, a technical content analysis of each conference proceedings was conducted to examine changes in emphasis on various SO 2 -related technology areas over time, and their relationship to the timing of major government legislative and regulatory actions.

Technical content analysis of this type is in the research tradition of examining a variety of indicators of innovative activity, including journal articles and advertisements in trade publications. Santarelli and Piergiovanni 24 provide a brief review of such literature-based innovation research. The second type of analysis examined researcher coauthorship networks. This analysis was conducted to capitalize on previous innovation research showing that networked organizations have better opportunities to benefit from knowledge transfer 23 , and that technical conferences and consortia are among the important knowledge transfer mechanisms In this research, network analysis of the changing coauthorship patterns at the SO 2 Symposium provided a proxy for the channels of inter-personal and inter-organizational information exchange relevant to the diffu sion process that were facilitated by the conference.

For the content analysis, paper sessions were grouped by technical category. Ref 1 provides additional details of these methods. Expert Elicitations. Finally, we conducted extensive interviews with twelve experts representing a variety of organizational backgrounds and affiliations involved in SO 2 control technology development. These experts were identi fied on the basis of the length and level of their participation in the SO 2 Symposium and the range of perspectives they provided including those of industry, government, and academia.

FGD performance trends were elicited from them in order to calibrate other expert responses. Key technological developments and government actions considered significant also were elicited. In addition, experts were asked about the importance of patents and the SO 2 Symposium to the industry and SO 2 control technology development, and they were asked to give their interpretation of observed patenting trends.

Results and Discussion. The key findings from this study are organized into three main areas. In general, the results and conclusions in each area are drawn from more than one of the methodological approaches described above.

Effect of Regulation on Inventive Activity. Figure 2 shows the level of inventive activity in SO 2 control technology as reflected by patenting activity over more than years using the class-based dataset. Patenting levels can be portrayed as a step-function dividing two time periods. Prior to the late s, there was little or no activity no more than four patents per year , despite government legislation dating back to that authorized research into air pollution abatement methods see Table 1.

After , patenting activity never fell below 76 per year. Thus, the patenting trend in Figure 2 suggests that the adoption of stringent national regulations for SO 2 emissions control stimulated inventive activity more than government-sponsored research support alone. This indication that national regulation was a more effective stimulant of inventive activity than federal research funding alone is supported by other veins of evidence in our research, notably the technical content analysis of the SO 2 Symposium and the testimony of experts interviewed.

It is also consistent with findings from case studies of other environmental technologies The anticipation of government regulation also appears to have spurred inventive activity as reflected by patent filings. Trends in the abstract-based patent dataset Figure 3 , together with expert testimony, support this hypothesis see ref 1 for modeling details. The experts in our study also believed that the pattern of peaks observed in Figure 3 was due to contemporary national legislative and regulatory events identified in Table 1.

For example, as an explanation for the peak, nearly all the experts mentioned a heightened public and legislative awareness of acid rain in the mid- to lates and the anticipation of legislation that would have overhauled the Clean Air Act. The result of that anticipation, they explained, was an intensification of research, technology demonstra tions, and testing of moderate-removal SO 2 control technologies that would have fit contemporaneous Congressional proposals see Table 1 which ultimately did not get enacted.

The idea that anticipated regulation has the ability to drive innovation is not new to this study; Ashford, Ayers, and Stone 26 , for example, drew a similar conclusion from studies of other industries. This study shows, however, that the direction and nature of innovative activity can be affected significantly by the anticipated and actual requirements of environmental regulations.

Evidence that regulatory stringency directs the focus of inventive activity is seen in Figure 4 , which shows patenting activity in precombustion SO 2 control technologies, which are primarily coal cleaning processes. Although these technologies were not dominant in the overall patent datasets, in the early s patenting activity in this area grew significantly. At that time, SO 2 emission standards allowed low-sulfur coals to play a prominent role as a compliance strategy for both new and existing sources, and precombustion sulfur removal was of significant interest.

However, after the CAAA required New Source Performance Standards to be tightened based on the technological capabilities of both wet and dry FGD systems , patenting activity in coal cleaning technologies dropped precipitously. Conversely, the stringency of the NSPS for low-sulfur coals was an important driver of innovation in dry FGD technology in the s, according to both expert interviews and the content analysis of papers presented at the national SO 2 Symposium 1.

The CAAA, however, although initially predicted to increase demand for FGD systems, eroded the market potential for both dry and wet FGD system applica tions at existing power plants when the SO 2 allowance trading market returned low-sulfur coal to its importance in SO 2 control. In this case, the flexibility provided by the acid rain regulations discouraged inventive activity in technologies that might have had broader markets under the traditional command-and-control regimes in place prior to Overall, our results regarding the effects of regulatory stringency and market scope on environmental technology innovation are consistent with one of the strong conclusions of the mainstream innovation literature, namely that the demand for a technology is a major driver of innovation In the context of environmental technologies, the demand for various types of pollution control equipment is almost inseparable from the details of environmental legislation Innovation Impacts on Performance and Cost.

The most tangible outcomes of technology innovation in SO 2 control over the past several decades have been the improvements in reliability and SO 2 removal efficiency of FGD systems relative to those of early designs of the s, as well as substantial reductions in the cost of this technology. Figures 5 and 6 show the results of the performance and cost analyses described earlier for wet limestone FGD systems at new U.

Figure 5 first shows the average SO 2 removal efficiency of new units coming online each year. The improvements seen reflect advances in FGD process design stemming from continued research and development and operating experience 1. Reliability has not been an issue for over a decade because of design changes now embodied in this technology.

Figure 6 illustrates the dramatic reduction in capital cost that has been achieved since FGD systems were first deployed in the U. Over the year period shown, capital cost decreased by a factor of 2. In some cases, the benefits or knowledge gained from learning by doing can be passed on to others. The role of government in facilitating such knowledge transfer is illustrated by our findings for SO 2 control, as discussed below.

Influence of Knowledge Transfer Activities. Government support of the national SO 2 Symposium as a technology transfer and knowledge diffusion mechanism played a key role in the evolution of SO 2 control technology, according to strong agreement among the diverse set of experts interviewed for this research. In addition, experts credited the conference with fostering cooperation between utility operators and technology developers and researchers, as it brought together all the major technological actors in SO 2 control to try to advance the technology.

The patterns of coauthorship between these technological actors approximate the knowledge transfer routes facilitated by the confer ence. To explore these patterns through network analysis, we began by dividing the conferences into three time periods based on real or anticipated government actions; the NSPS and CAA, both of which represented important changes in the stringency and scope of SO 2 control require ments, were chosen as the period-defining government actions.

The organization type network in the Group 1 conferences is quite different from that in the Group 2 and 3 conferences. In the Group 1 conferences to , not every organization type is connected to others through authorship ties on papers. This is perhaps to be expected in this time period, which was marked by litigation between regulated utilities and government, as well as by a particularly competitive SO 2 control market in which FGD systems were being deployed on a limited scale.

This was an impetus to FGD equipment and services industry acquisitions and new entry the number of firms in the utility FGD market between and increased from one to thirteen. In the organization type network in the Group 2 confer ences to , there were substantial increases not only in the total number of paper coauthorship ties, but in the percentage of ties across organization types.

This provides evidence of the formation of a collaborative community of researchers that appeared just after the implementation of the NSPS, a stringent technology-based standard that applied to all new and substantially modified coal-fired plants, and during a period in which acid rain was under intense study and new SO 2 control requirements were widely anticipated. By this period, FGD systems had largely matured see Figures 5 and 6 , and the relatively lax stringency of the new act was unlikely to drive the research community to work together more closely across organizational types.

The high demand anticipated but not realized by the scrubber industry for new FGD installations resulting from the act, however, was likely to drive more overall interest in the industry, just as each major new national regulatory event had prompted new entry by firms into the market see ref 1 for more details. Ref 1 provides additional analyses of the SO 2 Symposium and its role in knowledge and technology transfer.

The key implication of these findings is that government actions played an important role not only in establishing markets for environmental technologies via the emission reduction requirements imposed , but also in stimulating the formation of communication channels important to knowledge transfer and diffusion, as well as overall technological innovation. Concluding Remarks. The methods used here to study technology innovation for SO 2 control are being extended to case studies of other environmental technologies to provide a larger empirical basis for generalized insights about the influence of govern ment actions on environmental technological innovation.

Our hypothesis, based on the present study and other supporting literature, is that the stringency, flexibility, market size, and time allowed to achieve mandated emission reductions are among the key factors that affect the nature and pace of environmental technology innovation.

Our preliminary analysis of the history of innovation in selective catalytic reduction SCR technology for NO x control is consistent with the findings presented here for FGD systems Improved understanding of how government actions affect environmental technology innovation will be particularly important in the context of future policy decisions such as those regarding global climate change.

Continued research into how such actions can most effectively promote environmental technology innovations that reduce the cost of environmental compliance can thus have a major impact on this and other areas of environmental policy.

Author Information. Margaret R. Edward S. David A. Google Scholar There is no corresponding record for this reference. Status of flue gas desulfurization systems in the United States. Diffusion of Innovations , 4th ed. Cohen, W. Empirical Studies of Innovation and Market Structure. Capitalism, Socialism and Democracy. Petroleum Industry. America's Green Strategy. Narin, F. Patent Bibliometrics.

Scientometrics , How Does Knowledge Flow? Interfirm Patterns in the Semiconductor Industry. Strategic Manage. Black youth in Canada experience poor labour market outcomes compared to other Canadian youth. Data shows that Black youth experience a higher unemployment rate, lower employment rate and lower earnings compared to other Canadian youth.

Using a literature review, case study analysis and expert interviews, this study identifies key labour market barriers Black youth face and policy options to address them. The barriers identified include socioeconomic, educational and discrimination, both during the job search and during employment.

The study makes a case to focus on education and discrimination as the two significant barriers. The options evaluated include using mentorship programs for Black youth in secondary school and in post-secondary institutions, adopting AI technology in the hiring process and initiating workplace solutions such as anti-racism training and mentorship. The study concludes with the recommendation to implement mentorship programs at the secondary and post-secondary level to address the educational barriers Black youth face, which in turn affects their labour market outcomes.

The region of Northern Ontario has experienced prolonged socio-economic decline since the s, and the continuation of these trends presents a threat to the sustainability of communities in the region. This study argues that current regional economic development policy for Northern Ontario has been ineffective in promoting sustainable development.

Using a comparative case study analysis, involving secondary data collection, a review of academic and grey literature, and a jurisdictional scan, the region is placed in a broader Canadian context. Three policy options are identified and analyzed based on their ability to effectively promote sustainable development in the region, their cost, their ease of implementation, and their political viability. It is recommended that the federal government increase funding through the Federal Economic Development Initiative for Northern Ontario FedNor by implementing an Indigenous-focused program in the near term, while engaging the Government of Ontario to implement collaborative Regional Economic Planning Agencies in the long term.

With a rising immigrant population in Canada, it is increasingly important to ensure positive socioeconomic outcomes for all immigrants. Although all women experiencing IPV share some common experiences, immigrant women face unique structural barriers to seeking and accessing formal supports for IPV arising from their position at the intersection of gender, race, class, and immigration status. This study identifies the structural barriers faced by immigrant women, including women with precarious immigration status, and provides three policy options to improve their access to formal supports.

Given the important role of the federal government in immigration policy and more recently in anti-violence initiatives through its Gender-Based Violence Strategy, recommendations are provided for the federal government to ultimately ensure safety for all immigrant women.

Precarious work is a growing form of employment associated with low-pay, job insecurity, income volatility, unsafe working conditions, and a lack of access to training opportunities among other conditions. These conditions are damaging for all who work in precarious employment and yet, research finds women are disproportionately represented in this type of work. As a result, women may be more likely to face socio-economic challenges in the short and long-term, including having limited access to training opportunities.

A series of policy options are analyzed and compared to provide a recommendation for how to improve access to training opportunities for women in precarious work. Policymakers are increasingly recognizing the ways in which Indigenous Knowledge can complement Western science to improve our understanding of and response to important issues such as climate change. Despite this, there are few areas where Indigenous Knowledge is currently being applied in decision-making by non-Indigenous governments.

The goal of this paper is to explore concrete ways that Indigenous Knowledge could be respectfully and appropriately included in climate adaptation decision-making at the provincial level. Based on a literature review, an environmental scan, expert interviews, and examples from across Canada, I first identify key principles that should guide government policies relating to Indigenous Knowledge.

I then propose a framework with specific policy examples for how Indigenous Knowledge could be applied to climate adaptation and resilience planning in BC. Public transportation is crucial in helping to grow cities sustainably. Good public transportation allows for less car-dependence, healthier and less polluted communities, and more equitable communities. The study looks at data from a jurisdictional scan and expert interviews to analyze several different inter-regional transit proposals that have been discussed within the Lower Mainland.

Incarcerated individuals are more likely to deal with mental health challenges than the broader Canadian public. Mental illness can be a contributor to criminal behaviour, while the experience of incarceration can exacerbate underlying mental health conditions. However, there are limited existing supports for these incarcerated individuals, meaning that offenders may become trapped in vicious cycles of recidivism linked to ongoing mental health challenges.

This study explores what might be done to this policy problem in Canadian correctional facilities. Drawing on existing literature, case studies and a series of expert interviews, the study presents, and evaluates, four possible policy paths forward. The analysis supports three policy recommendations to begin to tackle this issue: transferring healthcare responsibilities to provincial Ministries of Health; introducing mandatory mental health training for staff; and creating a community program liaison officer pilot project.

Telemedicine has grown exponentially in the wake of the COVID pandemic and has demonstrated the benefits of a virtual healthcare system. In British Columbia, third-party providers are currently meeting the demand for telemedicine, but legislation and policies are lagging behind.

DESIGN HOMEWORK ROOM

The barriers identified include socioeconomic, educational and discrimination, both during the job search and during employment. The study makes a case to focus on education and discrimination as the two significant barriers. The options evaluated include using mentorship programs for Black youth in secondary school and in post-secondary institutions, adopting AI technology in the hiring process and initiating workplace solutions such as anti-racism training and mentorship.

The study concludes with the recommendation to implement mentorship programs at the secondary and post-secondary level to address the educational barriers Black youth face, which in turn affects their labour market outcomes. The region of Northern Ontario has experienced prolonged socio-economic decline since the s, and the continuation of these trends presents a threat to the sustainability of communities in the region.

This study argues that current regional economic development policy for Northern Ontario has been ineffective in promoting sustainable development. Using a comparative case study analysis, involving secondary data collection, a review of academic and grey literature, and a jurisdictional scan, the region is placed in a broader Canadian context.

Three policy options are identified and analyzed based on their ability to effectively promote sustainable development in the region, their cost, their ease of implementation, and their political viability. It is recommended that the federal government increase funding through the Federal Economic Development Initiative for Northern Ontario FedNor by implementing an Indigenous-focused program in the near term, while engaging the Government of Ontario to implement collaborative Regional Economic Planning Agencies in the long term.

With a rising immigrant population in Canada, it is increasingly important to ensure positive socioeconomic outcomes for all immigrants. Although all women experiencing IPV share some common experiences, immigrant women face unique structural barriers to seeking and accessing formal supports for IPV arising from their position at the intersection of gender, race, class, and immigration status.

This study identifies the structural barriers faced by immigrant women, including women with precarious immigration status, and provides three policy options to improve their access to formal supports. Given the important role of the federal government in immigration policy and more recently in anti-violence initiatives through its Gender-Based Violence Strategy, recommendations are provided for the federal government to ultimately ensure safety for all immigrant women.

Precarious work is a growing form of employment associated with low-pay, job insecurity, income volatility, unsafe working conditions, and a lack of access to training opportunities among other conditions. These conditions are damaging for all who work in precarious employment and yet, research finds women are disproportionately represented in this type of work.

As a result, women may be more likely to face socio-economic challenges in the short and long-term, including having limited access to training opportunities. A series of policy options are analyzed and compared to provide a recommendation for how to improve access to training opportunities for women in precarious work.

Policymakers are increasingly recognizing the ways in which Indigenous Knowledge can complement Western science to improve our understanding of and response to important issues such as climate change. Despite this, there are few areas where Indigenous Knowledge is currently being applied in decision-making by non-Indigenous governments. The goal of this paper is to explore concrete ways that Indigenous Knowledge could be respectfully and appropriately included in climate adaptation decision-making at the provincial level.

Based on a literature review, an environmental scan, expert interviews, and examples from across Canada, I first identify key principles that should guide government policies relating to Indigenous Knowledge. I then propose a framework with specific policy examples for how Indigenous Knowledge could be applied to climate adaptation and resilience planning in BC. Public transportation is crucial in helping to grow cities sustainably.

Good public transportation allows for less car-dependence, healthier and less polluted communities, and more equitable communities. The study looks at data from a jurisdictional scan and expert interviews to analyze several different inter-regional transit proposals that have been discussed within the Lower Mainland.

Incarcerated individuals are more likely to deal with mental health challenges than the broader Canadian public. Mental illness can be a contributor to criminal behaviour, while the experience of incarceration can exacerbate underlying mental health conditions. However, there are limited existing supports for these incarcerated individuals, meaning that offenders may become trapped in vicious cycles of recidivism linked to ongoing mental health challenges. This study explores what might be done to this policy problem in Canadian correctional facilities.

Drawing on existing literature, case studies and a series of expert interviews, the study presents, and evaluates, four possible policy paths forward. The analysis supports three policy recommendations to begin to tackle this issue: transferring healthcare responsibilities to provincial Ministries of Health; introducing mandatory mental health training for staff; and creating a community program liaison officer pilot project.

Telemedicine has grown exponentially in the wake of the COVID pandemic and has demonstrated the benefits of a virtual healthcare system. In British Columbia, third-party providers are currently meeting the demand for telemedicine, but legislation and policies are lagging behind. The results informed the development of policy options for decision-makers in government. The recommendations are the development of standards for providers, the creation of a provincial telemedicine program and the establishment of clear leadership in virtual care.

Simon Fraser University. These two qualifying adjectives, which appear in the Omnibus Trade and Competitiveness Act creating the Advanced Technology Program ATP in the Department of Commerce, were intended to make sure that any commercial technology funded by government was precompetitive not yet ready for commercialization and was generic of interest to many users. But President Bush''s willingness to accept the Democrats'' ATP program at a modest level of funding was not shared by the activists who controlled the Congress in The Clinton-Gore technology program, off to such an auspicious start in , was in trouble two years later.

The political battle over balancing the federal budget provided an opportunity for conservatives in the contentious Congressional session to raise ideological as well as fiscal objections to the Clinton administration''s technology policy priorities and programs. Although one might expect conservatives to support efforts aimed at improving the performance of U. The vehemence of the attacks came as a surprise to many observers. The bipartisan policy for U. However, by , the extreme nature of some of the attacks on government funding of technological research seems to have produced a reaction from moderates in both parties, who appreciate the importance of sorting out the issues and searching for common ground.

Early in the th Congress a new flurry of bipartisanship seems to have gripped the president and the Congress. Despite concerns about government distortions of a free market and the necessity to cut the discretionary budget, almost everyone in Congress believes that U. The Republicans'' first-day legislative package for the congressional session included an unexpected and widely praised authorization bill introduced by Senator Phil Gramm R-Texas that would double government expenditures in nominal dollars on non-defense basic scientific and medical research over the next ten years, implying an annual growth rate of some 7 percent before inflation.

There was other evidence of a common interest in resolving science and technology policy issues by leaders within both parties. A group of highly respected, influential legislators have formed a bipartisan Science and Technology Caucus in the Senate. There is a sense among key legislators that if agreement can be reached on the management of the Advanced Technology Program, many other program issues will be more easily resolved. The Congress now has a unique opportunity to set a new course that could endure for at least a decade and make a huge contribution to American capability and well-being.

Given that a willingness to compromise is shared by members of both parties, what are the basic differences in Republican and Democratic views of civilian technology policy? Conservatives have greater confidence in the power of competition to induce firms to invest in technology in pursuit of their commercial interests, which they understand in far greater detail than does the government. Most conservatives would agree that market failures may require government to supplement private investment in special cases.

Conservatives and liberals generally agree that government should support basic research in science. They understand that scientific research entails uncertainties about what may be learned, how quickly progress can be made, and how new knowledge might be used in a practical application. The serendipitous discoveries that emerge from science suggest that scientific research is best performed under conditions that allow a lot of freedom to researchers to follow nature''s lead in the quest for knowledge.

Indeed, scientific research is more about finding good questions than turning out predictable answers. However, the bipartisan agreement that government should support scientific research tends to break down when one moves from more theoretical science disciplines such as astronomy and mathematics to fields seen as more practical, such as chemistry, oceanography, or engineering.

In these fields, much more is assumed to be known in advance about how research results might be used. Politicians are tempted to treat research in these fields as "applied research" and, because the work is assumed to have economic value, conservatives may expect the market to motivate firms to pay for it. Thus, most of the argument centers on the more useful kinds of research, especially when government chooses to fund that research through partnerships with private firms.

When commercial firms are invited to share the cost of research with the government, the market failure that justified the public expenditure appears to be modest at best, adding to conservative doubts about its necessity. The line that divides basic scientific research from more immediately useful technological research is quite unclear. So too is the line that divides technological research from commercial product development.

Between science which has bipartisan support and commercial product development which neither party would have government subsidize lies a large part of the most intellectually exciting and economically useful research. The political controversy about government subsidies to research concerns primarily this gray area between "pure" science and development, in the area we call "basic technology research" see Chapter 5.

This book starts from the premise that managing a technology policy in support of economic growth is much more complex than implementing the traditional national security-oriented policies of the preceding four decades. This is so, not only because of ideological differences over the appropriateness of government activities in private markets, but because, for the new policies to be successful, much of the success must come by indirection. In its economic context, technology is always embedded in a larger business context of production, marketing, and finance.

Technology policy, if it is to contribute to the economy, must in turn be linked to economic policy. It was for this reason that the administration in created, in deliberate parallel to the National Security Council, a National Economic Council NEC to "monitor the implementation of the new [technology] policies and provide a forum for coordinating technology policy with the policies of the tax, trade, regulatory, economic development, and other economic factors.

Technology policy must derive at least part of its legitimacy from the mainstream national concerns about productivity and growth and from the capacity of the private sector to contribute more to public ends, such as environmental protection, public health, and the like.

It should not be seen as simply the "applied" component of science policy. The institutions for policy-making in the White House and the Executive Office will have to learn how to marry the function of economic policy-making, with its political salience and high stakes, to the traditionally apolitical, low-visibility function of science and technology policy support. Why is it important for the Congress and the administration to try to find common ground for a new policy direction?

There are other reasons for rethinking technology policy: new approaches to public-private partnerships may be the right strategy for defense and environment too. The new direction for defense acquisition, already begun in the last year of President Bush''s term, is to seek to utilize the innovative capacity of commercial firms to a greater extent as Linda Cohen explains in Chapter 7.

This entails co-investing with private firms in "dual-use" technology applicable to both military and civil uses so that the government''s investment is leveraged by private funds driving towards similar technological goals. Thus defense will, more and more often, ask of industry, "how close can you come to meeting my requirements with your technology and the limited funds we have available?

Similarly, the new policy path for dealing with environmental pollution as discussed in Chapter 11 by George Heaton and Darryl Banks will be to supplement end-of-pipe controls with incentives to modify process technologies so that less offensive effluent is produced without adding much, if any, cost to the product being made.

Even the delivery of health care, now being rapidly commercialized in the quest for cost containment, will have its influence on technology policy in the health sector, a trend that has shown up first in the extensive use of Cooperative Research and Development Agreements CRADAs by the National Institutes of Health NIH and collaborating medical industry firms discussed in Chapter 9 by David Guston.

Government is learning how to leverage research investments and other policies to empower private innovation and to induce behavior in commercial markets so as to reduce the need for federal regulatory intervention. The administration can claim some success with this kind of enabling policy in its effort to enhance the National Information Infrastructure see Chapter 13 by Brian Kahin. This is the path to achieving public ends at lowest cost, to building a strong economic base for the future, and for gaining the support of the U.

To understand the opportunities and constraints on policy for the future, it is important to see the current scene in historical context. During the first four decades after World War II, the United States attained the highest level of scientific and technological achievement in history.

With the world''s largest economy and the strongest armed forces, it helped to defend the cause of free societies and demonstrated the strength of market economies. There was little foreign competition for the new defense-based high-tech U. The nation met the security threat from the Soviet Union with massive commitments to technological superiority.

When, in , the Soviet Sputnik rattled public confidence in this strategy the nation put on a spectacular demonstration of its capability to mobilize and deploy technology, by going to the moon. Despite the success of these policies in containing Soviet expansionism and demonstrating technical prowess, there were early indications, as Japan and Germany recovered from the war, that the defense-based science and technology policies might not be sufficient to assure a strong economy.

In , Michael Boretzky, a Commerce Department economic analyst, began to document for a succession of Commerce secretaries and for the intelligence committees of the Congress the erosion, already visible by , of the previous highly favorable balance of trade in high technology goods.

President Nixon entertained a presentation from his special trade representative, Peter G. Peterson, documenting the situation. Nixon''s Secretary of Commerce Maurice Stans made a strong appeal to Congress for investment in research to reverse this high-tech trend. President Carter, during his last year in office, chartered a major study of how the federal government might enhance innovation rates in the private sector.

The study, completed for the secretary of commerce by Assistant Secretary for Science and Technology Jordan Baruch, was presented to Congress, but with the election of President Reagan it lost any opportunity to influence policy. It was President Reagan who introduced concern about competitiveness into the political discourse by declaring an administration "competitiveness" strategy.

But high-tech erosion continued, and in the U. Thus the government''s concern with ensuring a competitive commercial economy against technologically sophisticated competition from abroad began to provoke policy responses long before the fall of the Berlin Wall in In the first two decades after World War II, both mission-based technology and general scientific research were supported by the mission agencies, primarily the department of defense.

As a guarantee against central political control over scientific and engineering activities, American policy after the war called for a highly decentralized responsibility for investing in research and development by federal agencies. All federal agencies were to develop the technology needed for their assigned tasks and were also to support a proportionate share of the country''s basic research, as a kind of "mission overhead" re-investment in the basic knowledge on which their technology depended.

The autonomy of academic science was to be preserved by competitive selection, through peer review of proposals. The two main elements of postwar technology policy, then, were government support for research in basic science, and active development of advanced technology by federal agencies in pursuit of their statutory missions.

The assumption that these activities would sustain a competitive private economy was derived from a supply-side picture of how the process of innovation works in high-technology industries. This postwar technology policy approach, followed by France and Britain as well as the United States, has been characterized by Henry Ergas as mission-oriented technology policy, in contrast to the diffusion-oriented policies of Germany, Switzerland, and Sweden.

The bipartisan support for science in the postwar period rested on two assumptions. The first was acceptance of the "pipeline model" of the process by which social return arises from scientific research in the form of industrial innovations. Innovations, in this model, arise from scientific research and invention, followed sequentially by product development and production.

While this is not a bad description of how new industries arise from new science— a process that usually takes a decade or more— it is inapplicable to the way existing industries compete through rapid incremental progress in which product and process development, driven by market opportunity, provide the stimulus to research. The pipeline model is an even less appropriate description of how high-technology firms compete in the s.

The second assumption was that technology created in pursuit of governmental missions, especially defense, space, and nuclear energy, would automatically flow to industry and make for prosperity. The process through which this is presumed to happen is called "spinoff. Both of these assumptions have the attractive feature that if these processes are automatic and cost-free, the government does not have to "pick winners and losers" in order for the economy to gain the benefits.

Government can then claim that its policies achieve the goals of economic growth without interference with the autonomy of private firms. In short, U. The political attractiveness of this policy helps explain its persistence, despite the fact that its assumptions are no longer realistic today. But the alarms first sounded by Michael Boretsky in the late s suggested that there were flaws in the assumption that the pipeline from science and the spinoff from technology to commercial markets was either automatic or free.

The first response of Congress to the rising concerns about U. It was followed by the Stevenson-Wydler Act of , encouraging university-industry collaboration. This statute, in which Senator Hollings of South Carolina played an important role, represented the first important institutional change in federal agency structure for addressing the technological dimensions of economic performance.

Despite strong Republican opposition to many of the policy innovations embodied in the Omnibus Trade and Competitiveness Act, even after they won control of the Congress in , none of the legislative authorizations for these institutional changes has been repealed.

The recent fight has been over budgets and appropriations to implement the authorized activities. Until , it was reasonable to suppose that the Department of Defense DoD would continue to focus its main effort on neutralizing the strategic threat from the Soviet Union, even as it began to rely more on dual-use technologies as a means of shortening defense systems development cycles, reducing acquisition costs, and indirectly making a contribution to the defense industrial base.

The Department of Energy DOE still placed top priority on its nuclear weapons program, even as it began to broaden its technical activities into the Human Genome project and high-performance computing in support of new opportunities for the computer industry. The Commerce Department, until the law, had been the main focus of debates about federal roles in support of industrial competitiveness, but there had been little change in its agency structure or functions.

Indeed, the Reagan administration attempted to disestablish much of the activity in fire research, building technology, and computer engineering at the National Bureau of Standards. These were among the NBS activities directed most specifically at assistance to industry. Only a sympathetic Congressional ear to objections from industry trade associations kept these activities in place.

During the s, the National Science Foundation NSF had begun to build up its investment in fundamental engineering research in the universities. It initiated two new programs the Engineering Research Centers and the Science and Technology Centers intended to promote interdisciplinary research in universities in which industry participation would be required. Further evidence of interest in associating NSF with industrial interests was a brief and abortive effort by Congress to restructure the Commerce Department by merging the National Bureau of Standards with the National Science Foundation, and to redefine the mission of the Department as a "Department of Trade and Industry.

At this point, major changes in U. Table Contrasts in the management requirements for government technology programs. The break with reliance on the spinoff model was now clear, and was reflected, or at least implied, in the Clinton-Gore technology policy announced on February 22, The pace and scale of these proposals and the administration''s implicit confidence in their efficacy marked a dramatic change from the policy proposals of the s and s.

The political difficulties associated with executing this plan were clearly identified at the time. The resulting intense and often emotional debate between the Republican-controlled Congress and the administration has displayed radically different views about how the U. It is a thesis of this book that many of these political difficulties could be resolved with careful attention to what is known and indisputable about the role of government activities in the innovation process and the language used to discuss it.

However, while the effort to resolve these ideological differences proceeds— and it is making progress in the th Congress— the world economy is hurtling into new territory. Any forward-looking technology policy must deal with the world of innovation as it will be in the next decade, not as it was in the last. The search for a bi-partisan agreement on the nation''s civilian science and technology policies is chasing a rapidly moving target. The extraordinary changes that are sweeping over private industry all around the world call for a new role for government— one that exerts less authority over private activities, listens better to research requirements coming from the private sector, and focuses more on enabling innovation and building capacity than on creating new things for government use.

New patterns of innovative activity and new multi-firm industrial structures are emerging. The focus of innovation is shifting from the multinationals and their university-like central laboratories to the dozens of hungry firms in their supply chains. This is unleashing a wave of opportunity for creativity and entrepreneurship in the smaller firms, but their sights tend to be set on much closer time horizons.

At the same time that government has been struggling to find a new set of policy principles for technology appropriate to a shift in priorities from public to private innovation, sweeping changes have been affecting both the economy and the American system of innovation. American corporations have come to realize— now more than ever— that the playing field is on longer national but global. That goes not only for markets, but for technology development as well. Firms are seeking out sources of technology on a global basis, developing alliances with foreign competitors, and establishing laboratories in foreign nations.

Foreign companies are doing the same in the United States. These sweeping changes in the economic environment have made the old technology policies even less effective than they already were in the waning years of Cold War. Thus the need for a new perspective on government''s role arises not only from the transition from military security to economic and domestic security, but from the need to reflect these sweeping transformations and leverage them to American advantage.

Responding to these and other changes in the global economic landscape, research-based innovation in the United States and around the world is undergoing a fundamental shift. The dimensions are of this change include the increasing pace of technological change; the rise of new technology-intensive sectors, such as information technologies, advanced materials, and biotechnology; the increasing knowledge-intensity of industry; the relentless pressure for shorter development cycle times; the globalization of technology; and increasingly complex relationships and interdependencies between corporations, government, and university.

Underlying and driving these changes is the increasingly distributed and decentralized nature of technology. In the past, corporations could internalize research and technology development, but as the sources of technology have become more decentralized and distributed, the challenge has become how to manage external sources of technology.

Corporations have increased their reliance on outside suppliers both as sources of goods and service and as sources of innovation. Some have shifted their technology development work to more applied activities, while others have increased their reliance on universities for both pioneering and applied activities. New strategies are emerging to meet these challenges. That is now unsustainable. A number of corporations have cut back, and in some cases eliminated, their centralized research laboratories, RCA''s Sarnoff Laboratories being the most notable example.

The rise in collaborative research and development efforts among corporations, their suppliers, universities, and even government labs is a clear indicator of the trend toward ever more dependence on distributed, external sources of technology. For example, IBM, Toshiba, and Siemens are collaborating on the development of megabit memory chips. Collaboration reduces cost, spreads risk, and promotes cross-fertilization of ideas, while allowing companies to monitor constantly the external sources of technology.

It also places new demands on public support for the research infrastructure that creates new technological opportunities. The distributed nature of innovation has also resulted in an explosion in university-industry research relationships.

The university share of total research and development increased between and from 8. Industrial funding of university research has also increased dramatically in recent years, providing a further indication of industry''s growing reliance on external sources of technology. Industry''s share of the total expenditures on academic research grew from 2.

Relationships between university and industry have grown more extensive over the past decade or so, as universities have sought to cope with federal funding patterns that have not kept pace with demand, and have responded to changes in federal policy that made federal funding contingent on industry funding. The explosion of university-industry research relationships has been even larger than anticipated. University-industry centers provide government with a mechanism for accelerating the diffusion of useful technical knowledge to industry while concentrating public resources on advanced research accessible to a broad range of potential users.

A recent survey by the Industrial Research Institute indicates that firms are indeed increasing linkages with the external corporate environment. According to the IRI study, 49 percent of laboratories expect to increase their joint ventures and alliances, while just four percent expect this to decrease.

These findings are reinforced by a broad international survey of technology managers in North America, Europe, and Japan, which indicate that corporations are relying more heavily than ever on external sources for both basic research and product development.

Firms in Europe, North America, and especially Japan see themselves as increasingly dependent on external sources of technology. The study further indicates that corporations utilize different external sources for basic research and for product development. Universities are the primary external source for basic science, while, for product development, corporations rely much more on joint ventures and suppliers.

The shift toward distributed technology has been followed by decentralization of technology management responsibilities. Roughly 60 percent of the U. This shift in corporate structures and relationships poses important challenges for American technology policy.

This illustrates an important new dimension to technological innovation: innovation entails organizational change as well as advances in technology. Second, technology policy has long failed to give highly innovative small and medium-sized firms the central role that they deserve. Part of the reason for this reluctance was the fact that, by necessity, small and medium firms had a short-term perspective on research. But, as the center of industrial innovation shifts to these firms and away from fundamental, long-term, high-risk research, technology policy must find a way to compensate for this short-term perspective.

Japanese and European corporations continue to move control up the hierarchy from the business-unit level toward more centralized corporate control. Nevertheless, foreign-based firms are also increasing their reliance on suppliers as a source of technology and innovation. Japanese companies have long depended upon their suppliers as a key source of innovation.

German corporations are increasing their use of suppliers as a source of technology. The trend to new strategies and structures referred to variously as "lean production," the "knowledge-based firm," or the "high-performance organization" is worldwide, even though the models differ from one country to the next. This transformation has altered the internal structure of the firm, with new emphasis on the use of teams, a high degree of task integration, decentralized decision-making, continuous innovation, organizational learning, and a blurring of the sites of innovation and production.

Globalization of markets, production, and technology is another defining feature of the new economy. Goods are increasingly produced where they are sold. The exports from foreign subsidiaries of multinational firms now exceed the total exports from the home countries in which those multinationals are based.

Today, U. The notable exception to the pattern of aggressive U. European companies, which have long operated cross-national networks in Europe, are establishing new laboratories and expanding existing ones in the United States and Japan. Two thirds of this spending is concentrated in three sectors: chemicals, drugs, and electronics. Furthermore, the proportion of total U.

Foreign affiliates devote roughly 2. These changes affect the way government intervenes in the areas of science and technology policy. Some economists, including former Chairman of the Council of Economic Advisors Joseph Stiglitz, have come to believe that science and some aspects of technology are increasingly taking on the characteristics of what they refer to as an "international public good," a good that tends to flow across national borders and whose shared benefits are enjoyed by all.

If true, this raises a series of important questions, especially about the extent to which a national government can offer sufficient incentives for investment in science and technology assets that may then flow away beyond its borders. Globalization challenges some of most fundamental assumptions of U.

Foremost among these is the notion that technology policy can somehow act upon self-contained "national systems of innovation. The policy must shift to systematic concern for the quality of the U. Thus, while the nation-state may not be the natural unit within which the system of innovation is best understood, the proper concern of public policy is for the national capacity for innovation.

How the U. Strong voices within both of the dominant political parties are skeptical of the advantages of open markets, lowered barriers to foreign investment, and accelerating diffusion of technical knowledge. Concerns are expressed about free-riding on U. It is true that governments try, usually with limited success, to capture the benefits of their technology investments domestically. They erect barriers to participation in national technology programs by foreign-owned corporations, and barriers to foreign purchases of controlling interests in domestic firms seen as critical assets for national security.

Once the innovations have been internalized in a firm, it must be free to deploy these assets in the best way it can, including the possibility that it might sell the assets to a foreign owner at some time in the future. To do otherwise arrogates to government the very market power to which those who believe in private enterprise most object. As a result, current policy seeks a reasonable and moderated response to these political concerns. Foreign-owned firms are allowed to participate in most government programs if their own governments accord similar benefits to U.

Barriers to foreign direct investment have been raised only in rare cases. The American government is trying to find ways to enhance the respect for U. As the world economy becomes more open, and with the entry of former communist states into world markets and the growth of third world production, these political concerns may be expected to rise. It will take new international understandings and perhaps institutional innovations to resist political pressures to attempt to stem the tide of globalization.

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WHAT IS A POLICY ANALYSIS?

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