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Publication to Patent Analysis for Detecting Science & Technology Frontiers: The Case of Biofuels, Biochemicals and Biomaterials or Academic Lock-In is Not Necessarily Affecting Business Behavior
KTH, School of Industrial Engineering and Management (ITM), Industrial Economics and Management (Dept.), Sustainability and Industrial Dynamics.ORCID iD: 0000-0002-2582-2647
KTH, School of Industrial Engineering and Management (ITM), Industrial Economics and Management (Dept.), Sustainability and Industrial Dynamics.
(English)Manuscript (preprint) (Other academic)
Abstract [en]

In this paper we apply large-scale review methodologies and introduce the PPA model - Publication to Patent Analysis ‑ in order to map recent developments in science and technology frontiers of biorefinery activities. Using a bibliometrical approach in the PPA model, we aim to detect and analyze scientific and technological trends in a potentially huge sector. This study takes on the challenge of closing the gap between two strands of analysis - publication analysis and a parallel patent analysis. Bibliometrics is used in order to provide the basis for identification of Science & Technology frontiers, i.e. clusters. Moreover, the data analysis can be used for probabilistic topic modelling of clusters created from publication and patent data. In the studies of knowledge transfer between science and technology this kind of approach has previously been applied only at the micro level. We provide a novel approach proposed for analyses of broader technology sectors which may support policymakers, R&D funding agencies as well as industrial management in the production of scientific and technological intelligence. In our case study results indicate that old forest industry nations in Europe (Austria, Germany, and Sweden) seem at best reactive and pragmatic leaning on their industrial specialization. In general, the EU countries are lagging behind when it comes to new and fast-growing science fields based on non-woody biomass materials and product fields and instead concentrated to more mature or slow-growing wood-based activities.

Keyword [en]
Bibliometrics, large-scale review, science and technology frontiers, science and technology indicators, technological paradigms and lock-in, publication to patent analysis
National Category
Social Sciences Interdisciplinary Other Social Sciences not elsewhere specified
Research subject
Industrial Engineering and Management
Identifiers
URN: urn:nbn:se:kth:diva-191251OAI: oai:DiVA.org:kth-191251DiVA: diva2:955727
Note

This research was funded by the grant ERN45/09 from the Torsten and Ragnar Soderberg Foundation and by the grant 12/09 from the Lars Erik Lundberg Foundation for Research and Education.

QC 20160829

Available from: 2016-08-26 Created: 2016-08-26 Last updated: 2016-08-29Bibliographically approved
In thesis
1. Breaking the chains: A technological and industrial transformation beyond papermaking: Technology management of incumbents
Open this publication in new window or tab >>Breaking the chains: A technological and industrial transformation beyond papermaking: Technology management of incumbents
2016 (English)Doctoral thesis, comprehensive summary (Other academic)
Abstract [en]

In recent years, the necessity and opportunity for transforming pulp and paper mills into integrative units for large-scale output of biochemicals, biomaterials, and biofuels have come up in discussions of industrial renewal in the Northern hemisphere (mainly in Canada, Sweden and Finland). This transformation is related to technology shifts as well as changing business models based on new bioproducts due to profoundly new market conditions. The aim of this dissertation is to analyse how wood-based biomass industries – with an emphasis on incumbent pulp and paper industries (PPIs) – are managing this industrial and technological transformation that is taking place beyond the papermaking paradigm. Innovation theories on mature industries, their incumbents, and their propensity for technological lock-in and inertia are well-known. How new entrants and incumbents manage these large shifts is seen as central in understanding the dynamics of new, large-scale sustainable technologies on the one hand and the renewal of large, mature process industries on the other. Three research questions are addressed. First, where are the knowledge and technology frontiers developing in this transformation? Second, how are incumbents of PPIs are managing large market and technology shifts based on existing capabilities and knowledge bases? Third, what are the key mechanisms behind the transformation of PPIs from a process-industry perspective? The hermeneutical insights into the system of biomass technologies in general and the PPI industries in particular were gained by using a qualitative case-study approach, which formed the basis for four research articles and for outlining the empirical context and key words search of the quantitative bibliometric methods in a fifth research article. The research findings and main contributions address an identification of the, analytical, “formal”, science-based technology frontiers from a knowledge base perspective.  Old industrialised forest/PPI nations tended to specialize in rather slow growing, forest-based frontiers. They seem to have stayed close to the research trajectories of their woody raw material and knowledge base with the exception of North America. However, this not the entire explanation of transformation and technology development. Chemical pulp mills, in several cases developed into biorefineries, are the nexus of the emerging development block. They are contributing with products in a bioeconomy that is actively moving away from fossils and polluting materials (such as cement, cotton, plastics). In addition, demo plants (potentially nurturing hundreds of bioproducts) that are present at mill sites and involve different stakeholders, can act as the interface between analytical and synthetic knowledge bases that otherwise are difficult to combine in the upscaling phases of process industries. The response of PPI organizations to shifts in both technology and business models is also explained by the concept of diverging innovations of non-assembled products. These are part of a diversification of an industry from a forest industry perspective, and also of a diversification that may enter trajectories of several by-products and side-streams of the pulp “biorefinery” mill, and have analogies to a product-tree and to the material transformation flow of its production systems. But it is also a phenomenon of synergies in a broader multi-sectorial perspective, i.e. new sets of related products/processes that are able to replace industries of non-assembled products under the above-mentioned, new market conditions. The phenomenon of diverging innovations can be regarded as both an empirical contribution – the breaking up of a closed integrated process industry into something new with several emerging and integrative industries as a response to the large shifts in papermaking and sustainable needs in society – and as a theoretical remark on the model for non-assembled products presented by Utterback (1994).

Abstract [sv]

Under de senaste åren har nödvändigheten och möjligheten att omvandla massa- och pappersbruk till integrerade produktionsenheter för storskalig produktion av biokemikalier, biomaterial och biobränslen uppkommit i diskussioner om industriell förnyelse på norra halvklotet - främst i Kanada, Sverige och Finland. Denna omvandling är relaterad till teknikskiften samt förändrade affärsmodeller baserade på nya bioprodukter och kraftigt ändrade marknadsförutsättningar. Syftet med avhandlingen är att analysera hur vedbaserade industrier – med betoning på befintliga massa- och pappersindustrin - hanterar denna industriella och tekniska omvandling utanför det traditionella papperstillverkningsparadigmet. Innovationsteorier om mogna branscher, deras benägenhet för teknisk inlåsning och tröghet är välkända. Hur nya och etablerade aktörer hanterar dessa stora förändringar ses som central för att förstå dynamiken i ny, storskalig, hållbar teknik å ena sidan och förnyelse av mogna processindustrier å andra sidan. Tre forskningsfrågor behandlas. Först, var utvecklas kunskaps- och teknikfronter i denna omvandling? För det andra, hur hanterar etablerade aktörer i massa- och pappersindustrin  stora marknads- och teknologiskiften baserade på befintliga kunskapsbaser? För det tredje, vilka är de huvudmekanismerna bakom omvandlingen av massa- och pappersindustrin ur ett processindustriellt perspektiv? Förståelsen för det biomasseteknologiska systemet i allmänhet och massa- och pappersindustrin i synnerhet erhölls genom att använda kvalitativa fallstudier och metoder. De låg till grund för fyra forskningsartiklar och utmejslade den empiriska kontexten för kvantitativa, bibliometriska metoder i en femte forskningsartikel. Forskningsresultaten utgörs bl a av en identifiering av analytiska, "formella", vetenskapligt baserade teknikfronter. Äldre skogsindustriländer tenderar att specialisera sig i långsamväxande, skogsbaserade teknikfronter. De följer forskningsbanor närmare deras vedråvaru- och kunskapsbaser (med undantag av Nordamerika). Men det är inte hela förklaringen till teknikutvecklingen och dess omställningspotential. Kemiska massabruk, i flera fall utvecklade till bioraffinaderier, kan utgöra hävstången för ett framväxande utvecklingsblock. De bidrar med produkter i en bioekonomi som aktivt rör sig bort från fossila och resursineffektiva material och processer (såsom cement, bomull, plast). Dessutom kan demonstrationsanläggningar härbärgera en storskalig testmiljö för hundratals bioprodukter som är placerade i närheten av massafabriker och som involverar forsknings-, industri- och samhällsintressenter. De kan ävenfungera som gränssnitt mellan analytiska och syntetiska kunskapsbaser som annars är svåra att kombinera i uppskalningsfaser. Massa- och pappersindustrins omvandling förklaras också av begreppet divergerande innovationer av icke-sammansatta produkter. Dessa är delvis en diversifiering av en bransch ur ett skogsindustriellt perspektiv, delvis en diversifiering som kan generera i biprodukter och sidoströmmar, som har analogier med produktträd och påminner om det materiella transformationsflödet i det egna produktionssystemet. Divergerande innovationer kan ge ett synergifenomen ur ett bredare sektoriellt perspektiv, dvs nya uppsättningar av produkter och processer som kan ersätta industrier med icke-sammansatta produkter under de nya marknadsförhållandena som ovan beskrivits. Fenomenet med divergerande innovationer kan betraktas som både ett empiriskt bidrag - att bryta upp en sluten, integrerad processindustri till något nytt med flera framväxande och integrerande näringar som ett svar på de stora förändringarna i industrin och i samhället – och också som en kritik av modellen för icke-sammansatta produkter som tidigare presenterats av Utterback (1994).

Place, publisher, year, edition, pages
Stockholm: KTH Royal Institute of Technology, 2016. 40 p.
Series
, TRITA IEO-R, ISSN 1100-7982 ; 2016:09
Keyword
Technological and industrial transformation, development block, incumbents, pulp and paper industries, wood-based biorefinery, diverging innovations of non-assembled products, Teknologisk och industriell omvandling, utvecklingsblock, etablerade företag och industrier, massa- och pappersindustrin, vedbaserade bioraffinaderier, divergerande innovationer av icke-sammansatta produkter.
National Category
Economics and Business
Research subject
Industrial Engineering and Management
Identifiers
urn:nbn:se:kth:diva-191261 (URN)978-91-7729-083-4 (ISBN)
External cooperation:
Public defence
2016-09-29, F 3, Lindstedtsvägen 26, Stockholm, 09:00 (Swedish)
Opponent
Supervisors
Note

QC 20160829

Available from: 2016-08-29 Created: 2016-08-26 Last updated: 2016-09-08Bibliographically approved

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