Text version of PowerPoint™ presentation for webcast sponsored by SEDL’s
NCDDR: “Three States of Knowledge & Their Implications for Innovation
Policies”
March 2, 2011.
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Slide 1: Three States of Knowledge & Their Implications for Innovation
Policies
Joseph P. Lane
Center on Knowledge Translation for Technology Transfer, University at Buffalo
March 2, 2011, 3:00 pm Eastern
A webcast co-sponsored by the National Center for the Dissemination of
Disability Research (NCDDR). Funded by NIDRR, US Department of Education,
PR# H133A060028
© 2011 School of Public Health and Health Professions
Slide 2: Outline – 7 Points
Issues in Innovation Policies
Three States of Knowledge
Policy Implications of 3 Knowledge States
Innovations Milestones within the “Black Box”
Clear Path from Research to Innovation
Need to Knowledge (NtK) Model
Innovation Policy Recommendations
Slide 3: Caveat
This presentation is relevant to Federal programs and projects intending to
generate socio-economic impacts through technology-based innovations.
This presentation is not relevant to Federal programs sponsoring basic, inquirydriven research, or technology-based “R&D” projects with no expressed
intention to generate beneficial socio-economic impacts.
Slide 4: Trends in Expectations
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Convergence of Science & Society
- Public funding for Basic Research generates a repository of conceptual
knowledge (Science Push);
- Innovation may result serendipitously via Diffusion Model.
Convergence of Science, Engineering & Society
- Public funding for Applied R&D generates a repository of prototype
devices/services (Tech Push/Market Pull);
- Innovation expected routinely via Linear Model.
Convergence of Government, Academia, Industry
- Open integration of sectors in Problem Solution – (Collaboration).
- Innovation deliberate and systematic via Challenge Model.
Slide 5: Paradox I of “Trickle Down” Models
Science relies on healthy skepticism, demonstration and replication, yet
academia did not challenge the paradigm. Instead, it remains an untested
assumption underlying a closed system of public funding combined with peer
review.
Slide 6: Paradox II of “Trickle Down” Models
If the scientific process had been followed, evidence might exist to support the
role of upstream R&D in collaborative innovation.
Instead, rhetoric, politics and obfuscation substitute for facts in shaping public
policy regarding innovation.
Slide 7: We can do better!
Clarify the antecedent components of innovation – particularly technology-based
innovations with global socio-economic value.
Define each component’s contributions and how they generate synergy across
sectors.
Identify and resolve issues and confounds.
Get on with connecting the methods, resources and people involved to
accelerate innovation.
Slide 8: Knowledge Translation
A movement out of medical research to extract “what works” from the research &
practice literature, and communicate effectively to stakeholders - CIHR.
Requires a global systems view to consider knowledge value, interests and paths
to application.
Relevant to solving Innovation Paradox.
Slide 9: “Translating Three States of Knowledge: Discovery, Invention &
Innovation”
Lane & Flagg (2010), Implementation Science
http://www.implementationscience.com/content/5/1/9
Slide 10: Main Points of Article
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A cycle from knowledge creation to knowledge application, is a dynamic
exchange embedded in the context of a stimulus (question/problem) and
response (answer/solution).
For technology-based knowledge, the dynamic exchange requires transitions
within and between three related methods (research, development & production),
and the translation of each method’s output to various stakeholders critical to
continued progress.
The transitions are readily depicted in a stage-gate framework, while the
translations are tailored to the unique state of knowledge outputs resulting from
each method (discovery, invention, innovation).
Effective transitions and translations optimize opportunities for both passive
general diffusion and active specific innovation.
Slide 11: 3 Methods = 3 Knowledge States
- Research methods generate knowledge in gas state of Conceptual Discoveries
(conceptual discoveries in red text).
- Development methods create knowledge in liquid state of Tangible Inventions
(tangible inventions in red text).
- Production methods formulate knowledge in solid state of Market Innovations
(market innovations in red text).
Slide 12: 1) Discovery State of Knowledge
- Research methods create new knowledge.
- Process – Empirical analysis reveals novel insights regarding key variables.
- Output – Conceptual Discovery (conceptual discovery in red text) expressed
in manuscript external to context (gas state).
- Value – Novelty as first articulation of new concept as contributed to knowledge
base.
- IP Status – Copyright against plagiarism.
Slide 13: 2) Invention State of Knowledge
- Development methods apply knowledge.
- Process – Trial and error experimentation and testing demonstrates proof-ofconcept.
- Output – Tangible Invention (tangible invention in red text) embodied as
operational prototype linked to context (liquid).
- Value – Novelty of conceptual discovery + Feasibility of tangible invention.
- IP Status – Patent against infringement.
Slide 14: 3) Innovation State of Knowledge
- Production methods codify knowledge.
- Process – Systematic specification of components and attributes yields final
form.
- Output – Market Innovation (market innovation in red text) embodied as viable
device or service in a defined context (solid state).
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- Value – Novelty, Feasibility + Utility defined as revenue to company and
function to customers.
- IP Status – Patent family/fence against competition.
Slide 15: Delivering Impact through Innovation requires progress across all
three Knowledge States
Initiated by Validated Need for Knowledge:
Research (leads to) Discovery (text in red) (leads to) Translation (leads to)
Utilization (leads to)
Development (leads to) Invention (text in red) (leads to) Transfer (leads to)
Integration (leads to)
Production (leads to) Innovation (text in red) (leads to) Release (leads to)
Consumption (leads to)
Impact! (symbol for reiteration) Lifecycle
Slide 16: Policy Implications
Some Federal agencies already support knowledge generation in all three states,
and operate full systems of innovation (Defense Department).
Others traditionally focus on the first state, relying on diffusion/linear models for
the downstream states (NIH/NSF).
For specific programs intending technology-based innovations to benefit society,
the latter could establish policies emulating the former.
Slide 17: Barriers to Emulation
“Black Box” of innovation conceals operational details of methods and metrics.
Confounded Terms: “R&D” collapses two methods with subjective definitions by
stakeholders; “S&T” mixes a process with an output; “Innovation” used as
synonym for insight, improvement, discovery or invention.
Culture of research agency staff and incentives for scholars, reject active and
expanded role, and take zero-sum stance toward parallel tracks.
Slide 18: Barriers to Innovation
Each Method has own rigor and jargon.
Actors over-value the method in which they are trained and operate.
Myopic focus on “R&D” outputs misses broader range of actors, methods &
goals.
Lack of foresight precludes proper IP custodial care, or knowledge preparation
for rapid industry absorption.
Slide 19: Milestones inside the Black Box of Innovation
There are four equal-sized columns: Evidence Milestones, Research Discovery,
Development Invention, Production Innovation, with seven rows below the
column headings.
Row 1
Evidence Milestones: Identify opportunity
Research Discovery: Knowledge gap in literature
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Development Invention: Supply push or demand pull
Production Innovation: Feature/function gap in device or service
Row 2
Evidence Milestones: Establish scope
Research Discovery: Volume of topic discussion in literature
Development Invention: Inventor described or analysis defined
Production Innovation: Statement of need by users or vendors
Row 3
Evidence Milestones: Propose solution
Research Discovery: Experimental hypothesis
Development Invention: Champion’s vision or stakeholder defined
Production Innovation: Value proposition for customers/company
Row 4
Evidence Milestones: Validate originality
Research Discovery: Literature review
Development Invention: Assumed or state of market survey
Production Innovation: Prior art and state of practice search
Row 5
Evidence Milestones: Conduct process
Research Discovery: Control variables for objective results
Development Invention: Manipulate variables for subjective results
Production Innovation: Optimize function within constraints
Row 6
Evidence Milestones: Conclude results
Research Discovery: Discovery documented (text in red)
Development Invention: Invention claimed (text in red)
Production Innovation: Innovation specified (text in red)
Row 7 (final row; items are in yellow boxes)
Evidence Milestones: Internal delivery of output
Research Discovery: Scholarly manuscript
Development Invention: Proof of concept prototype
Production Innovation: Market ready device or service
Slide 20: Milestones inside the Black Box of Innovation (cont.)
There are four equal-sized columns: Evidence Milestones, Research Discovery,
Development Invention, Production Innovation, with four rows below the column
headings.
Row 1
Evidence Milestones: Claim/protect intellectual property
Research Discovery: Copyright (automatic)
Development Invention: Invention disclosure/patent application
Production Innovation: Patent family/fencing continuous improvement
Row 2
Evidence Milestones: External quality examination
Research Discovery: Peer review of method rigor and contribution
Development Invention: USPTO examines claimed novelty and feasibility
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Production Innovation: Government certification or industry standard
Row 3
Evidence Milestones: External quality verification
Research Discovery: Manuscript accepted/in press
Development Invention: Patent issued
Production Innovation: Device/service approved
Row 4 (final row; items are in yellow boxes)
Evidence Milestones: Output disclosure & dissemination
Research Discovery: Discovery disclosed in journal paper by external publisher
Development Invention: Invention disclosed in Patent issued by U.S. government
Production Innovation: Innovation disclosed in press release by manufacturer
Slide 21: Milestones inside the Black Box of Innovation (cont.)
There are four equal-sized columns: Evidence Milestones, Research Discovery,
Development Invention, Production Innovation, with seven rows below the
column headings.
Row 1
Evidence Milestones: Stakeholder awareness (ST01)
Research Discovery: Subscriber base, web hits, queries
Development Invention: IP Office inquiries, hits on disclosure
Production Innovation: Press releases, web hits industry chatter
Row 2
Evidence Milestones: Stakeholder interest (ST02)
Research Discovery: Letters to editor, email queries
Development Invention: Request for package confidentiality forms
Production Innovation: Vendor, customer, distributor queries
Row 3
Evidence Milestones: Stakeholder adoption (ST03)
Research Discovery: Author citation, quotations, plagiary
Development Invention: Negotiations for sale or lease, emulation
Production Innovation: Advanced orders, licenses, corporate espionage
Row 4 (final row for this section; items are in yellow boxes)
Evidence Milestones: Intermediate outcome – Output use by stakeholder
Research Discovery: Discovery attributions and citations in literature
Development Invention: Invention IP transferred by license or practiced illegally
via infringement
Production Innovation: Innovation purchased, reviewed and promoted in
marketplace
Row 5
Evidence Milestones: Establish merit
Research Discovery: Acclaim, promotion, invitations, rebuttals
Development Invention: Related collaborations and new funding
Production Innovation: Ramp-up, spin-off products, competition
Row 6
Evidence Milestones: Establish worth
Research Discovery: Textbook references, international honors
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Development Invention: License royalties, sponsors, partners
Production Innovation: Sales revenues, ROI, market share, efficacy
Row 7 (final row; items are in yellow boxes)
Evidence Milestones: Establish impact
Research Discovery: Advance state of science for scientific field
Development Invention: Advance state of art for field of application
Production Innovation: Advance state of industry practice and Quality of Life
Slide 22: Paths for Research Outputs in Innovation
Path 1 – Cease effort and communicate finding via publication (message in
bottle). May contribute to innovation but without attribution but retain citations as
metric.
Path 2 – Continue effort into development and communicate claim via patent
(QED). Applications will attribute or infringe, and add patents and licenses to
citation metrics.
Slide 23:
On the left side is a red circle with a large letter “R” inside. Below the “R” within
the circle are the words “RESEARCH ACTIVITY.”
An arrow is pointing from the red circle to the right, leading to the word
“DISCOVERY”.
A second arrow points from the word “DISCOVERY” to a box on the right side.
Inside the box are the words “Dissemination via Publication.”
A yellow triangle under the word Discovery points below and to the left, to a blue
circle that is under the red circle. Inside the triangle are the words
“Contextualization via Application.” Inside the blue circle, there is a letter “D”.
Below the letter “D” within the circle are the words “DEVELOPMENT ACTIVITY.”
An arrow leads from the right of the blue circle to the word “INVENTION”.
A second arrow to the right of the word “INVENTION” points to a box with the
words “Protection via Patent” inside the box.
A yellow triangle under the word Invention points below and to the left, to a green
circle that is under the blue circle. Inside the triangle are the words
“Commercialization via Specification.” The green circle has a large letter “P”
inside and below it, the words “PRODUCTION ACTIVITY.”
An arrow to the right of the green circle leads to the word “INNOVATION”.
A second arrow to the right of the word points to a box that contains the words
“Promotion via Multi-Media”.
Slide 24: Both R and D paths are distant from Socio-Economic Impact
There are four equal-sized columns: Milestones, Research, Development,
Production, with ten rows below the column headings.
Row 1
Milestones: Identify opportunity
Research: Knowledge gap in literature (item in yellow box)
Development: Supply push or demand pull (item in yellow box)
Production: (empty cell)
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(Rows 2 and 3 are empty)
Row 4
Milestones: Project output
Research: Journal publication (item in yellow box)
Development: Patent issued (item in yellow box)
Production: (empty cell)
(Rows 5 and 6 are empty)
Row 7
Milestones: Stakeholder outcome
Research: Discovery use and citation
Development: Practice/license
Production: (empty cell)
(Rows 8 and 9 are empty)
Row 10 (final row)
Milestones: Claim impact
Research: (empty cell)
Development: (empty cell)
Production: Advance industry practice and Quality of Life (item in orange box)
Slide 25: Evidence of progress is not a surrogate for Impact
Project Output – Embodied in manuscript submission or patent application.
Short-term Outcome – External quality validation by publication or patent.
Intermediate Outcome – Evidence of application in author citations or patent
license.
Key to Innovation & Impact – Generate socio-economic merit and worth, as
solution to problem.
Slide 26:
Slide 29: There is a white box in the upper left hand corner of the slide, which
contains the words “PROBLEM STATEMENT”. Below the box is a large red
circle with a large “R” inside and the words “RESEARCH ACTIVITY”. An arrow
points from the bottom of the red circle down to a large blue circle, which
contains a large “D” and the words “DEVELOPMENT ACTIVITY”. An arrow
points from the bottom of the blue circle down below to a large green circle with a
large “P” inside and the words “PRODUCTION ACTIVITY”. An arrow points from
the bottom of the green circle down below to another white box that contains the
words “BENEFICIAL IMPACT”. These boxes and circles align in a column on the
left side of the slide.
To the right of the first column is a new column, which also contains a white box
at the top, reading “PROBLEM STATEMENT”. Below the box is a small red circle
with a large “R” inside. An arrow coming from the bottom of the circle points to
the word “Discovery”, which is directly underneath the circle. A longer arrow
points from the word “Discovery” below to a white box with the words
“BENEFICIAL IMPACT”. Also under the word “Discovery” is a blue question mark
to the right of the large blue circle reading “DEVELOPMENT ACTIVITY”, and
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another green question mark below that, to the right of the large green circle
reading “PRODUCTION ACTIVITY”.
A third column to the right of the second column has a white box at the top,
reading “PROBLEM STATEMENT”. Below the box is a small red circle with a
large “R” inside. An arrow points downward from the bottom of the small red
circle to a small blue circle with a large “D” inside. An arrow points from the
bottom of the blue circle down to the word “Invention” right under the circle. A
longer arrow points from the word “Invention” below to a white box with the words
“BENEFICIAL IMPACT”. Also under the word “Invention” is a green question
mark to the right of the large green circle reading “PRODUCTION ACTIVITY”.
A fourth column to the right has a white box at the top, reading “PROBLEM
STATEMENT”. Below the box and to the right of the large red circle reading
“RESEARCH ACTIVITY” is a red question mark. Below the question mark is a
small blue circle with a large “D” inside. An arrow points from the bottom of the
blue circle below to a small green circle with a large “P” inside. A short arrow
points below to the word “Innovation” right under the circle. Another arrow points
from the word “Innovation” to a white box with the words “BENEFICIAL IMPACT”.
The final column, on the right side of the slide, has a white box at the top, reading
“PROBLEM STATEMENT”. Below the box, and to the right of large red circle
reading “RESEARCH ACTIVITY” is a red question mark. Below the red question
mark, and to the right of the large blue circle containing the words
“DEVELOPMENT ACTIVITY” is a blue question mark. Below is a small green
circle with a large “P” inside. A short arrow points from the bottom of the green
circle down to the word “Innovation” right under the circle. An arrow points from
the word “Innovation” to a white box with the words “BENEFICIAL IMPACT”.
Slide 27: Need to Knowledge (NtK) Model
Integration – Product Development Managers Association (PDMA) New Product
Development practices with the Canadian Institutes of Health (CIHR) Knowledge
to Action Model.
Validation – Government funded technology-based R&D projects intending to
result in societal impact, start with a technology-based problem and potential
solution validated by all relevant stakeholders – including Industry.
Orientation – Actors in innovation process need to know the problem,
stakeholders, methods and their respective roles in advancing toward the Goal.
Slide 28: NtK Model
There two columns: Phases; Stages and Gates.
There are three phases in the left column: Discovery (Research), Invention
(Development), and Innovation (Production).
Each phase has three stages in the right column.
Phase (top left): Discovery (Research).
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Stage 1: Define problem and solution.
Thumbs up, thumbs down, question?
Stage 2: Scoping.
Thumbs up, thumbs down, question?
Stage 3: Conduct research and generate discoveries (arrow to right) Discovery
Output! (text in red)
Phase (middle left): Invention (Development)
(items in yellow box) Communicate Discovery State Knowledge -Thumbs up,
thumbs down, question?
Stage 4: Build business case and plan for development.
Thumbs up, thumbs down, question?
Stage 5: Implement development plan.
Thumbs up, thumbs down, question?
Stage 6: Testing and validation (arrow to right) Invention Output! (text in red)
Phase (bottom left): Innovation (Production)
(items in yellow box) Communicate Discovery State Knowledge -Thumbs up,
thumbs down, question?
Stage 7: Plan and prepare for production.
Thumbs up, thumbs down, question?
Stage 8: Launch device or service? (arrow to right) Innovation Output! (text in
red).
(items in yellow box) Communicate Innovation State Knowledge -Thumbs up,
thumbs down, question?
Stage 9: Life-cycle review/terminate
Thumbs up, thumbs down, question?
Slide 29: NtK Model
See prior Webcast #28: http://www.ncddr.org/webcasts/webcast28.html
See FOCUS Technical Brief #28:
http://www.ncddr.org/kt/products/focus/focus28/
See NtK Model website:
http://kt4tt.buffalo.edu/knowledgebase/model.php
Slide 30: Innovation Policy Recommendations
Change governments policies for innovation programs – directly link R&D
investment to Industry outcomes.
Require technology-oriented research projects to address downstream
development and production plans.
End “Rush to Research” – Subsume applied research under a broader innovation
framework, to verify if new research will add value, is relevant or even necessary.
Add voices of stakeholders (Industry and Customers) to ensure public
investments generate innovations that benefit society – The GOAL!
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Slide 31: ACKNOWLEDGEMENT
This is a presentation of the Center on Knowledge Translation for Technology
Transfer, which is funded by the National Institute on Disability and Rehabilitation
Research, U.S. Department of Education, under grant #H133A080050.
Image: A line of shadow figures across the center of the slide, representing men,
women, and children with varying modes of mobility (walking, wheelchair,
scooter, walker, crutches, cane, skates, skateboard, stroller).
The opinions contained in this presentation are those of the grantee and do not
necessarily reflect those of the U.S. Department of Education.
Slide 32: Thank you!
Visit the kt4tt.buffalo.edu website for additional information about the Center on
Knowledge Translation for Technology Transfer
Email KT4TT: smarnold@buffalo.edu
Questions? (during live webcast) Call 800-266-1832 or 512-391-6517; send e-mail
to: webcast@ncddr.org