Bringing forth Global Sustainability Innovation through Collaboration between Academia,
Industry, and the Public Sector
YARIME Masaru Graduate Program in Sustainability Science (GPSS)
Graduate School of Frontier Sciences University of Tokyo
Session on Sustainability Innovation International Conference on Sustainability Science (ICSS) Asia 2011
Vietnam National University, Hanoi, Vietnam, March 2-4, 2011
How Sustainability Science is Different from Others
• Systemic aspects – Many issues are connected and interdependent, e.g.
climate change and biodiversity – Requiring systemic understanding and interventions
• Long-term time framework – Impacts and influences in the future – Dynamic process of change – Equity of different generations
• Action-oriented – Implementing knowledge for actions to address the
pressing sustainability challenges our societies face 2
Critical Role of Innovation towards Sustainability
• Stern Review on the Economics of Climate Change (2007)
• Accelerating technological innovation as a key component of policies to deliver timely, effective and economically efficient climate change mitigation
3
Understanding Innovation: From Individual Attributes to Systemic Characters
• Importance of Innovation in Economic Development – Schumpeter Mark I in the 1930s and Schumpeter Mark II in the 40s
• Market Concentration, Firm Size – Industrial Economics in the 1950s and 60s
• R&D Organization and Strategy – Rosenberg, 1976; Mowery, 1981; Freeman, 1982; Rosenberg, 1982; Dosi,
1984; 1988; Kodama, 1991; Rosenberg, 1994; Kodama, 1995 • National Innovation Systems
– Freeman, 1987; Lundvall, 1992; Nelson, 1993; Carlsson, 1995; Edquist, 1997; Goto and Odagiri, 1997
• Network of Universities, Firms, and Public Research Institutes – Powell, Koput, and Smith-Doerr, 1996; Owen-Smith, Riccaboni, Pammolli,
and Powell, 2002; Owen-Smith and Powell, 2004
Innovation for Sustainability
• Sustainability Science and Innovation Studies • Separate communities with different academic
backgrounds and approaches • Emphasis on systemic and dynamic characters • Need to integrate the two fields for
understanding the governance of innovation towards sustainability
5
Structural Components of Innovation Systems
• Knowledge domain (issue specificity) – Environmental protection, public health, food
security, poverty,
• Actors involved – Universities, public research institutes, private
companies, policy makers,
• Institutions – Norms, customs, established practices, rules,
laws/regulations, standards,
Functions of Innovation Systems • Knowledge development and diffusion
– R&D • Influence on search direction
– Understanding of social needs • Niche experimentation
– Promotion of Entrepreneurship • Market formation
– Establishment of Robust Business Models • Legitimization
– Social acceptance • Resource mobilization
– Human resources – Financial channels
(cf. Bergek, Jacobsson, Carlsson, Lindmark, and Rickne, 2008)
8
Functional Approaches to Innovation Systems
• Tend to be static, not a dynamic analysis • How to understand linkages/causalities
between different functions? • Case study of the technological innovation
system of membrane bioreactors (MBRs) in China (Xu, Yarime, and Onuki, 2010)
Sustainability Innovation as a Social Process of Knowledge Transformation • Emergence of a phenomenon
– Coupled natural-social systems, natural sciences and social sciences • Recognition of the issue
– Reporting in the media, discourse analysis • Scientific research conducted at universities and research institutes
– Behavior of scientists with incentives, sociology and economics of science • Technological development and production
– Technological development, engineering – Behavior of private firms with incentives, economics of technological change
and innovation studies • Impacts in society
– Assessment of environmental protection and safety, energy/materials flow analysis and life cycle assessment (LCA)
• Feedbacks from society – Reactions of various actors, STS
Nonlinear processes of multiple channels of feedbacks
(Yarime, 2011)
Expansion of the Missions of Academia
Teaching University
Research University
Entrepreneurial University
Preservation and dissemination of knowledge
First academic revolution
Second academic revolution
New mission of teaching, generating conflict of interest controversies
Two missions: teaching and research
Third mission: economic and social development; traditional missions continued
Etzkowitz (2003) 11
Functions of Industry-Academy Collaboration
• Scientific and technological knowledge – Can increase the efficiency of applied R&D in industry
by guiding research towards more fruitful directions • Prototypes for new products and processes • Equipment and instrumentation
– Used by firms in their production processes or their research
• Skills/Human capital – Embodied in students and faculty members
• Capacity for scientific and technological problem-solving
• Networks of scientists and engineers and users 12
Forms of Industry-Academia Collaboration
• Academic Society/Association – Exchange and dissemination of the findings of
basic research
• Bilateral Research Collaboration – Technological development
• Platform for Stakeholder Collaboration – Societal experimentation for innovation towards
sustainability
13
Cases of Innovation through Societal Collaboration between Academia, Industry, and the Public Sector
• Photocatalysts (Baba, Yarime, and Shichijo, 2010)
• Lead-Free Solders (Yarime, 2010) • Anti-Malaria Mosquito Nets • Electric Vehicles based on Secondary Batteries • Sustainable city project addressing the two
critical issues of climate change and aging society in Kashiwa
Exploratory Coupling of New Materials and Applications
Application
Application
Application Application
Application
Application
Importance of networks effectively coupling novel functions based on advanced scientific knowledge with diverse
applications for economic/social needs
Application New
Materials
Novel Functions
Commercial Applications of Titanium Dioxide (TiO2) Photocatalyst
Anti-Bacterial Ceramic Tile
Anti-Fogging Window Glass
Self-Cleaning Building Materials
Cleaning of Air/Water/Soil
TiO2 Photocatalyst
• Decomposition of organic compounds • Superhydrophilicity
Formation of Networks for New Applications of Photocatalysts for Environmental Protection
Application Industry University/Public Institutes
Cleaning of Agricultural Wastewater
Seiwa Industry (filter), Ube-Nitto Chemical
Kanagawa Agricultural Research Institute, Kanagawa Academy of Science and Technology
Cooling System for Buildings
Izumi, Taiyo Industry (tent), Matsushita Electric (roof), Nippon Sheet Glass, JFE (steel), YKK (aluminum panel), TOTO (coating)
New Energy Development Organization (NEDO)
Cleaning of Contaminated Soil
Nichiei Industry Kimitsu City Government, University of Tokyo
Deodorization of Farms
Izumi University of Tokyo
Network Structure of Collaboration on Lead-Free Solders in Japan (2004)
Red: Firm
Blue: University
Green: Public Institute Yarime (2010)
Global Co-evolution of Technology and Institution for Innovation on Lead-Free Solders
Proposals of Legislation on Lead-Containing Solders Formation of University-
Industry Networks and Creation of Roadmap
United States Japan Europe
Environmental Policy on Phase-out of Lead-
Containing Solders
Commercialization of Lead-Free Products
Formation of University-Industry Networks
Formation of University-Industry Networks
Formation of International Networks and Establishment of World Roadmap on the Development and Introduction of Lead-Free Solders
Introduction of Policies for Phase-Out of Lead-Containing Solders in Other Countries
22
Characteristics of Knowledge and Forms of University-Industry Collaboration
Knowledge Characteristics
Uniform
Exploratory Foundational
Concentration
• Foundational knowledge
• Sharing and coordination of knowledge
• Support for standardization and evaluation of new knowledge
• Exploratory Knowledge
• Diversification of knowledge, competition
• Support for application for social purposes (health, environmental protection)
Photocatalysts
Lead-Free Solders
Collaboration Form
Development and Diffusion of Mosquito Nets for Preventing Malaria
Ito (2009) Olyset Net of Sumitomo Chemical 23
Corporate Strategy for Research and Development and Production on Mosquito Nets
• Coordination between different divisions for research and development – Divisions of polymers and pesticides
• Long-term support within the company – Demands for products creating societal values might
not be large or stable at an initial stage. • Low production cost in developing countries
– Creation of jobs in local communities • Transfer of technologies to local firms
– Favorable conditions on intellectual property rights • Direct connection to firm’s core business
– Long-term expertise on polymers and pesticides
24
Adoption and Use of Products at Local Communities
• Critically important to understand how local people actually behave and use the product
• Implementation of education and information provision to users
• Establishment of appropriate systems for product distribution, maintenance service and recycling of used products
• From top-down approach to introducing products to bottom-up approach with community participation
• Improved efficiency in information sharing, monitoring, and feedback for further improvement
25
Collaboration with Stakeholders
• University and research institutes – Collection of data and information on the location of
diseases such as malaria – Evaluation of the effectiveness of anti-malaria nets actually
used in local conditions • Public sectors, including governments and
international organizations (WHO, UNICEF) – Ensuring long-term, sustained demands for products – Reliable and credible information on technologies – Providing legitimacy and neutrality
• Non-governmental organizations – Delivery and recycling of mosquito nets – Sharing and disseminating information – Establishment of networks of relevant actors at local
communities 26
Nutrition Improvement Project in Ghana by Ajinomoto
MOH
Mothers
Social Entrepreneur
Permission to new business
¥ ¥
Ajinomoto
University of Ghana
MDG project
・Collaborative development of baby food ・Research data
・Nutritious baby food ・Education
・Business-friendly environment ・Reliability
Research resource
International Nutrition
Foundation
・ Local Network ・ Research data ・Contribution to MDGs
¥
Reports
Research requests
NGO or
Social company
NGO or
Aid organization GHS
CHPS
・Community Health nurse ・Health Extension worker ・Health volunteer
Gov. Health Service System
・MDG contribution ・Education program
Education program
¥
Nutritious baby food
・Nutritious baby food ・Education
Cooperation
¥
¥
27
Case of Collaboration between University, Private Company, and NGOs in Africa
Suzuki (2011)
Inclusive Business Initiatives for Innovation
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Company Name
Category of Industry* Project Description MDG Contributions
SONY Electric Appliances
Public viewing in Africa with HIV/AIDS campaigns.
Preventing HIV/AIDS expansion.
MITSUI Wholesale Trade
Agricultural support utilizing photovoltaic generation in Mozambique
Reducing poverty by increasing agricultural productivity.
YAMAHA MOTOR
Transportation Equipment
Purification of dirty water by Clean Water System
Increasing population with sustainable access to safe drinking water.
Panasonic Electric Appliances
Multiuse innovation container for areas without electricity
Improving the quality of life of the poor with better educational conditions.
SANYO Electric Appliances
Small solar lantern business Mitigating CO2 emission by clean technology, Creating job opportunities.
SOMPO JAPAN Insurance
Weather Index Insurance mitigating financial damages by climate disaster
Providing the poor with adaptation measures of climate change, Reducing extreme poverty.
Implementation through Collaboration with Academia and International Organizations (UNDP, JICA, etc.)
Recent University Initiatives for Creating a Platform for Stakeholder Collaboration
• Social System Innovation through Secondary Batteries
• Introduction of electric vehicles to the island of Okinawa
• Creation of platform initiated by university researchers – University – Automotive company – Car rental company – Infrastructure provider – Local business communities
29
30
Social Experimentation for Innovation through Stakeholder Collaboration in Kashiwa City, Japan
Knowledge System
Housing Agriculture
Mobility
Urban Planning
Photovoltaics, Heat Pump, Smart Grid
Electric Vehicles, On-Demand Bus
Co-Evolution of Technology and Institutions for Sustainability Innovation
Low-Carbon Society Aging Society
Integration
Institutional Design
Low Carbonization with Elderly People
Emergence of Smart Grids/Cities for Sustainability • Systemic approaches to achieving sustainability of
cities around the world – Tianjin Eco City, Green Grid Initiative in New Mexico,
• Integration of electricity, water, housing, transport, and information
• Various types of stakeholders in society, including component suppliers, infrastructure providers, users, etc.
• Cannot be implemented by a single company specializing in providing specific products
• Requires collaboration with companies in different industries, governments, international organizations
• Transition in business models at corporate levels to societal level 31
Integration of Various Types of Knowledge and Establishment of Social Business Models for Innovation
• Understanding the mechanisms of producing innovation
• Linking and integrating innovations in different fields
• Establishing business model at societal levels • Packaging of knowledge, experience, and
know-how • International transfer of system innovation
coupled with institutional design
32
Academia-Industry-Government Collaboration for Sustainability Innovation
• Functions – Vision creation, Data collection and analysis,
Technological development, Societal legitimation • Challenges and obstacles
– Internal procedures, Mindsets, Costs, Evaluation of outcomes
• Choice of targets – Industrial sector, Geographical region, Technological
field, Societal issue • Methodology
– Basic research, Joint technological development, Demonstration, Wider diffusion in society
33
Program • “Bringing forth Global Sustainability Innovation through Collaboration between
Academia, Industry, and the Public Sector2 – Associate Professor, YARIME Masaru, GPSS, University of Tokyo
• “Vietnam towards Low Carbon Development” – Mr. Le Duc Chung, Ministry of Planning and Investment (MPI), Vietnam
• “JICA’s ‘Green’ ODA in the Case of Viet Nam” – Mr. ODAJIMA Ken, JICA
• “URENCO’s Environmental Business on 3R in Hanoi City” – Ms. Luong Thi Mai Huong, Hanoi University of Civil Engineering
• “Project Implementation through Collaboration between Industry and the Public Sector: ITOCHU’s Challenge to Sustainable Energy Development in Vietnam” – Mr. MASHIKO Ryutaro, ITOCHU Corporation
• “Some Results of Applying Energy Saving and Finding New Energy Resources for Sustainability Innovation” – Prof. Dr. Dinh Van Nha, Director of Institute of Science Technology & Training
Omega, Vice Chairman, Vice General Secretary of Vietnam Association on Automation, Vice General Director of Polyco Group
• “Effect of Environmental Financing on Green Innovation and Technology Transfer” – Mr. KAMIMURA Yasuhiro, GPSS, University of Tokyo
• Open Discussion
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