IUCRP Grant P00-04

Project Title:
The California Academic-Industry Research Nexus Survey (CAIRN): Industry-University Collaboration Research in Context

Grant From:
University of California's Industry-University Cooperative Research Program, grant # P00-04

Principal Investigators:
Lynne G. Zucker

Co-Principal Investigators:
Michael R. Darby (UCLA), Linda Cohen, (UC Irvine) and Bronwyn Hall (UC Berkeley)

Project Period:
August 1, 2001 - July 31, 2003

Submitting Unit:
UCLA, School of Public Policy and Social Research: Center for International Science, Technology & Cultural Policy


This project is designed to assess the impact of co-publishing by California firms with universities on process and product innovation, looking specifically at the full range of tech transfer mechanisms (including targeted funding programs), at the role of the professional workforce with California-based training, and at the methods of intellectual property sharing—as well as protection—actually used by California firms. We have named the survey the California Academic-Industry Research Nexus Survey (CAIRN). CAIRN draws together a multi-campus, interdisciplinary team of researchers (Zucker and Darby at UCLA, Cohen at UC Irvine, and Hall at UC Berkeley) to design, field, and initiate the analysis. CAIRN will be fielded by staff at the Survey Research Center (SRC), Institute for Social Science Research, UCLA.

All California firms that publish in the journals followed by the Institute for Scientific Information from 1981 through 1999 will be eligible for inclusion in CAIRN. Approximately 300 California firms will be interviewed using two basic criteria for selection: number of articles and types/quality of institutions listed as the location of co-authors. Other sampling criteria are likely to include public firm or privately-held, and 5 broad science and engineering areas. We will compare the effects of co-authoring with scientists and engineers at the top 12 California universities (out of 112 nationally) to other collaborations, where "top" is defined by amount of federal research funding: the 9 UC campuses, plus Caltech, Stanford, and USC.

CAIRN data will be quickly put into analysis-ready data sets by SRC and sent to all four co-PIs within 2 months after CAIRN is completed. Data sets at the firm level will be archived in ALIST (Archive Linking Innovation, Science and Technology) immediately, but reserved for co-PI exclusive use for 5 years. Data on industry/science area aggregated to the regional level, will be made available after 3 years to other researchers via password access to a secure ALIST web site. These data will further open the black box of academic-industry collaboration and will be available quickly in forms that are most useful to the wider research community without revealing firm identity. Firm identifiers will be available only to the four-person P.I. team in order to protect the data used to construct the sampling frame that is licensed under binding non-disclosure terms by Zucker and Darby from the Institute for Scientific Information, Systems Data Corporation, and other vendors.

At the present time, it is expected that CAIRN will collect only archival data on firms that is publicly available. If other data are collected, then additional restrictions on release of data may be required under human subjects regulations.