Rozprawy doktorskie na temat „National innovation systems”

Abstract This paper uses the concepts of means of innovation and modes of innovation to introduce an alternative approach to the understanding of the evolution of the South African system of innovation. Modes of innovation are defined in terms of ownership and control patterns of the means of innovation, as well as the role played by human capital. The relationship between ideology and modes of innovation is briefly examined. This paper lays the basis for an alternative approach to the analysis of the transition of South Africa’s economic structure from apartheid to democracy and of the rifts and continuities in that transition.

This thesis investigates the evolutionary foundation of the Innovation System concept and the quantitative techniques that could be used for a systemic evaluation of innovation policies. This topic has been covered through 6 chapters:
Chapter I: The innovation system concept, which is the central concept of this thesis, finds its foundations in the evolutionary theory of economics and the Schumpeterian point of view on the co-evolution of innovation, organizations and institutions. Developed by Nelson and Winter in 1982, this theory is based on the idea that the surviving firms on the markets are not necessarily the ones that maximize their profits. Indeed, their ability to survive is reinforced by the development of internal organizational routines allowing for a fast adaptation to their changing environment. Thus, when assessing performances in terms of innovation in general, the single firm should not by the only centre of attention anymore. The entire environment surrounding its innovation activities should by analysed to understand the conditions underlying its failure or success. The definition of the innovation system (IS) concept finds its roots in this theory: the environment in which innovation activities take place is as important as the decision of the single innovation actor. Defined as all the institutions and organizations involved in the creation and diffusion of new knowledge and technology, the IS includes not only stakeholders of the innovation process, but also all the transversal sectors affecting innovation near or far: labour market, finance, and education… In such a context, the main justification for public intervention shifted from the market failures described by the neo-classical theory, to systemic failures, i.e. the dysfunctions of the IS, on which governments may take actions. And this shift in the policy rationale also leads to specific evaluation techniques of public initiatives.
Chapter II: The IS concept is defined as all the institutions and organizations involved in the creation, diffusion and absorption of new knowledge and technology. An important question is raised by such a point of view: what is a system? What are its components? How does it foster innovation? This theoretical step is necessary to understand all the aspect of the innovation environment that are concerned by innovation policy design. How could a policy-maker integrate the systemic framework of the IS when initiating public action with the aim to improve performances in terms of science, technology and innovation? A large part of the economic literature is dedicated to the description of innovation systems. So the aim of this chapter consists of synthetizing the aspects referenced in the economic theory as the components of the IS in a normative exercise. First, the term “system” involves the articulation of several components and the relationships existing between them. Departing from this definition, three broad aspect of the IS are considered: the actors of the innovation process, the functions of the system and the resulting objectives that should be pursued by the stakeholders, and the instruments used by public authorities to intervene in such a systemic context. The actors involved in the innovation process are not only the recipient of a public policy, they are also policy makers, implementation agents and targets of the policy measures. The functions of the IS mainly concerns the creation, diffusion and absorption of new knowledge and technology. As the role of the State is to improve the performances of such a system, those functions should be considered as the objectives of public action. Finally, the instruments used by the State to reach these goals can also be detailed: innovation policies can be implemented through direct support measures (financial or fiscal tools), the improvement of the infrastructure allowing for the diffusion of innovation, or the general framework conditions affecting performances. The normative exercise ended up with an exhaustive taxonomy that may be used for further analysis
Chapter III: As the aim of this thesis is to develop analytical tools to integrate the IS point of view in public policy evaluation, the most important aspect of the work consisted in building an exhaustive database on innovation policies implemented in the EU28 Member States and its main non-EU competitors (Australia, China, Japan, the US, India, the Russian Federation, Brazil, South Korea and Canada). This database was constructed in the context of the ENIRI study conducted by the European Commission, between 2013 and 2015. This long-lasting work involved the collection of information concerning the innovation policy measures implemented in all the considered countries, both at the national and regional levels. This information was related to the IS dimensions highlighted in previous chapter. The main sources for data collection were the RIO (former Erawatch) and OECD STIP databases, the RIM Plus Monitor and national sources (Ministry websites), as well as national experts. The budgets was also included or estimated for the 2007-2013 period. Once the data were collected, the policy measures were classified according to the theoretical canvas developed through the taxonomy of chapter II. Functional matrices combining different aspects of the IS allowed for detailed information on the distribution of policy measures among the different dimensions of the system. For example, it is possible to estimate the percentage of policy measures implemented in one country that are dedicated to the fundamental research activities in SMEs. This distribution has been computed both in absolute and budget terms. This difference provided information on the contrast existing between governmental claims and intentions in terms of innovation policies and the effective use of money dedicated to the announced target. Indeed, it is not because a substantial number of policies are dedicated to a specific sector of beneficiary that the allocated budget will be more important. Thus, this policy database should shed a light on the way innovation policies are articulated at a national level, and how they are effectively implemented through their budgets
Chapter IV: The evolutionary foundations of the IS concept imply that there is no general equilibrium describing an ideal situation to which a specific case can be compared. In other words, there is no optimal innovation system, and no ideal configuration that should be imitated by the others. This absence of equilibrium and the systemic point of view adopted in this context lead to the use of alternative techniques to evaluate performances and policies. As suggested by Edquist (2006), this has to be done through a diagnosis of the IS, consisting in the identification of the systemic failures, and the elaboration of strategy to fix the problem. This demarche will be investigated in this chapter of the thesis and the following. In this section, a diagnosis of the IS of 37 countries (28 EU and their 9 non-EU competitors) will be realized through a typology based on innovation performances indicators. The aim of such an analysis is to see whether the different IS can be gathered in groups sharing the same characteristics, relative strengths and weaknesses. The expected results should reveal groups of countries sharing the same configurations in terms of innovation process, and facing the same type of weaknesses, dysfunctions or systemic failures. By doing so, one should be able to identify the needs of each IS, i.e. the components that may need improvement and eventually public intervention. To do so, a principal component analysis and a hierarchical ascendant clustering technique have been implemented on the 37 IS, revealing 4 clusters of countries, depending on their NIS characteristics and advancement: 1) The Asian economies, 2) The lagging-behind and catching-up NIS, 3) The small opened systems, 4) The technological leaders. This analysis has been realized for the 2003-2005 and 2013-2015 periods, revealing that, if the general features of the clusters do not tend to change over time, some countries faced a change a modification of their status: Korea left the Asian group to join the leaders, Cyprus and Ireland opened their boarders to a larger extent in a decade.
Chapter V: Innovation policy typologyThis chapter is focused on the construction of an innovation policy typology based on the distributions of policies obtained in the database presented in chapter III. The results of this typology will be compared with the diagnosis realized in previous section to see if the weaknesses and needs of the NIS are effectively targeted by public action in innovation. Also, the aspects that could enhance or weaken such action, and their combination with other component of the NIS could be better understood. To this purpose, a multiple factor analysis has been implemented on the distributions of policy measures in terms of NIS components, followed by a hierarchical ascendant clustering, revealing groups of countries sharing the same characteristics in terms of policy design and implementation. 34 NIS have been examined (India, Brazil and Russia have been removed from the sample due to the bad quality of the information), using both the budget-weighted and non-budget-weighted distributions of measures on the 2007-2013 period. However, the results of this typology cannot be interpreted separately from the general innovation framework in which the public action is implemented. Indeed, countries having the same features in terms of beneficiaries and/or objectives in terms of policy do not necessarily share the same kind of IS. These implementation characteristics should rather be interpreted in light of the results obtained in the NIS diagnosis typology, in order to examiner if the public money effectively go where it is needed. In general, the different examined countries seem to effectively tackle their weaknesses, but countries facing the same types of problems do not implement the same type of policy mix, reinforcing the hypothesis that the innovation process is embedded in a large institutional framework that my orient public action in a direction rather than another. Two specific cases hold the attention in those results: South Korea, whose leader status came along with an improvement of the in force regulatory framework and a focus on private research, and Japan, dealing with research in the pharmaceutical research and ageing-population issues.
Chapter VI: The impact of macroeconomic and IS factors on the efficiency of public R&DAnother point of view can be adopted in an attempt to integrate the IS representations in policy evaluation techniques: the analysis of their impact on the efficiency of public R&D in leveraging private investments. In this chapter, a combination of two types of analysis is used to examine the problematic: the study of the efficiency of public R&D expenditure and its determinants on one hand, and the investigation of a possible crowding out effect of public R&D on the private one on another hand. The crowding out effect is translated into efficiency analysis, considering the BERD funded by government as an input, and the BERD funded by business as an output. And if an increase in the output leads to a decrease in the output, public intervention is considered to crowd out private initiative, as the firm may decide to replace its own investment with public money, instead of using it as an extra resource to increase its R&D activities. In this context, the IS as environment of R&D activities can be seen as a determinant of this efficiency, as it can strengthen or weaken this crowding out effect. The question asked in this section is the following: how to quantify and model the interdependencies existing between the different components of a NIS in order to integrate them in a quantitative analysis. This has been done in this study by implementing factorial analysis (Buesa, 2010) on a set of indicators collected in the Global Competitiveness Index database, and considered as descriptors of the different aspects of the innovation system. Those IS factors are: 1) the general STI environment, 2) the accessibility of the financial markets, 3) the internationalization of the system, 4) barriers to entrepreneurship and 5) the flexibility of labour regulation. Afterwards, these variables have been added as efficiency determinants in a stochastic frontier model assessing a possible crowding out effect between public and private initiatives. The main results showed that there is an additional effect of public R&d expenditure on private R&D investments (no crowding out). Moreover, the general STI environment and accessibility of financial markets have a positive impact on this efficiency, contrary to the presence of foreign stakeholders in the system. The two last factors remain insignificant. Those results suggest that, if public intervention should have an effect on the performances of the NIS, this relationship is also reciprocal: a well-functioning NIS may have a positive effect on the results of a policy measure.
Doctorat en Sciences économiques et de gestion
info:eu-repo/semantics/nonPublished

Thesis (MScEng)--Stellenbosch University, 2012.
ENGLISH ABSTRACT: The concept of National Innovation System (NIS) as new conceptual framework appeared in the late 1980s. The framework of NIS not only focuses on the science and technology development of a country, but also on concerns about a nation’s demand and strategy. The best technology, as well as patents, can be found in developed countries. Their development leads world development in many ways and influences the development model in developing countries. Although it is not hard to see that they seem to be progressing well, the question is why development just happens in some countries. Even fast developing countries, like China, India, Brazil, and South Africa have fewer such well-known or successful business models, compared to developed countries. The thesis attempts to scrutinise the internal and external factors in NIS which may influence countries and the innovation of enterprises within South Africa and China. The thesis focuses on fundamental research of the NIS of South Africa and China. The objective of the thesis is to find out which factors are involved in the NIS and how the system works in South Africa and China. The purpose of the study is to ascertain the difference and gap between these two countries and other more innovative countries, as well as the differences between South Africa and China. The literature study and quantitative method will be used to research and compare the NIS of South Africa and China.
AFRIKAANSE OPSOMMING: Die konsep van Nasionale Innovasie Stelsels (NIS) as ʼn nuwe konsepsionele raamwerk het in die laat 1980s na vore gekom. Die raamwerk van NIS het beide op die wetenskap en tegnologiese ontwikkeling, asook nasionale strategie van ʼn land gefokus. Die beste tegnologie sowel as patentregte kan in ontwikkelde lande gevind word. Hul bydrae is aan die voor front van globale ontwikkeling en het ʼn direkte invloed op ontwikkelingsmodelle vir ander ontwikkelende lande. Die voorspoed in hierdie lande is vir almal duidelik, maar die vraag is waarom ontwikkeling slegs plaasvind in sommige lande. Lande soos China, Indië, Brasilië en Suid Afrika het minder goeie en suksesvolle besigheidsmodelle, in vergelyking met ontwikkelde lande, alhoewel ontwikkeling steeds vinnig plaasvind. Die tesis poog om interne en eksterne faktore van die NIS te ontleed wat sal bydra tot die innovasie van ondernemingsontwikkeling in Suid Afrika en China. Die tesis fokus op fundamentele navorsing op die NIS van Suid Afrika en China. Die doel van die tesis is om uit te vind watter faktore die NIS in beide Suid Afrika en China beïnvloed. Die besondere oogmerk van die studie is om verskille en gapings tussen die twee lande en ander innovasie georiënteerde lande te beklemtoon, asook die verskil tussen Suid Afrika en China. Die literatuurstudie en kwantitatiewe metode word geïmplementeer om die NIS in Suid Afrika en China te ondersoek en vergelyk.

Today Armenia strives to build a knowledge-based economy to improve its competitiveness. For this reason, the creation and development of innovation-supporting infrastructure becomes a critical challenge for the next few years. In this regard, the experience of developed countries in the design and implementation of innovation policies can be useful for the creation of National Innovation System (NIS) in Armenia. This thesis work investigates the NIS model in the Nordic countries, specifically in Sweden and Finland, and make conclusion on how the Nordic model of NIS could work in Armenia. For this purpose, a comparative analysis of the NIS models in the Nordic countries, specifically in Sweden and Finland, with the NIS models in Israel and South Korea was conducted. To study the implementation of the Nordic model in transition economies, an example of one of Baltic countries - Estonia, was considered where currently this model of NIS is being implemented. Also, the current situation of NIS in Armenia was studied, and conclusions were made on what lessons can be learned for the development of effective innovation policy in Armenia. An attempt was made to answer the following research questions supporting the purpose of this thesis: 1. What are the specifics of the NIS model in two Nordic countries studied, i.e. in Sweden and Finland (the main features and peculiarities of NIS in Sweden and Finland has been identified through a comparative analysis of the NIS in these countries with the NIS models in two non-Nordic countries, i.e. in Israel and South Korea)? 2. To what extent has the Nordic model of NIS been implemented in Estonia and what are NIS development challenges there? 3. What are NIS development challenges in Armenia? 4. What lessons can be learned for the development of effective innovation policy in Armenia? The theoretical basis for this work originates in scientific articles by Lundvall, Freeman, Metcalfe and many others, research and reports of international organizations and national agencies, official documents and information posted on the websites of governmental organizations. Also, semi-structured interviews were conducted in seven private companies in Armenia to compile firm-level innovation data sets.

ABSTRACT This thesis investigates innovative entrepreneurship in Addis Ababa, Ethiopia. The thesis is guided by the National Innovation Systems theory, where innovation is seen as result of interactions and learning between different institutions or actors. The objective was to investigate how conducive is the national system of innovation of Ethiopia in the perception of entrepreneurs and how relevant is the innovation policy of Ethiopia is to innovative entrepreneurship. A field study was conducted in order to collect empirical data through semi-structured interviews, observations and participation. Most of the interviews took place in the innovation hub iceAddis with most of the sample focusing on entrepreneurs that were members there. The results of the field study show that the national system of innovation of Ethiopia is not particularly conducive nor developed to empower to innovative entrepreneurs. Moreover, the policy although very ambitious does not explicably aim to empower entrepreneur. Other goals of the policy could have had spillover effects on entrepreneurs but they were not yet attained in the perception of innovative entrepreneurs. Keywords: Ethiopia, Innovation, Entrepreneurship, ICT, National Systems of Innovation

This Master Thesis hinges on the concept of Innovation and its association with regional development as a phenomenon that has attracted both researchers and policy makers’ attention.  The thesis presents two different innovation perspectives on regional development – Innovation Systems and Complex Systems of Innovation, and applies them into the case-study of the Life Sciences Cluster in Lund. In order to do so, the key aspects of each of the perspectives are highlighted within the part devoted to the Framework of this thesis. Within these, the networks between organizations in the Innovation Systems and the actors and their interrelations in the Complex Systems perspective have been analyzed. The analysis of these aspects brings up similar outcomes in both perspectives applied, i.e. the creation of various organizations within the Cluster. Both of the perspectives account for the importance of Lund University for the creation of these organizations and subsequent development of the Life Sciences cluster.

Thesis: Ph. D. in Strategy, Innovation, and Engineering, Massachusetts Institute of Technology, Engineering Systems Division, 2015.
Submitted to the Interdepartmental Thesis Committee: Aeronautics & Astronautics, Engineering Systems, and Sloan School of Management. Cataloged from PDF version of thesis.
Includes bibliographical references (pages 241-259).
The United States' global lead in secure technology innovation is a cornerstone of national defense. Breakthroughs in technology are critical in establishing and maintaining military superiority. Technology innovation strategies enable the U.S. to maintain this superiority by effectively yielding innovation from R&D investment. However, these strategies must evolve within increasing financial pressures, technological complexities, and dynamic geo-political conditions. Through an analysis of the innovation landscape and development of a taxonomy of open innovation, this dissertation shows that emergent open technology innovation strategies (OTIS) have been successfully applied in the commercial sector, and, after analyzing the relevant metrics, establishes that OTIS could be beneficial in secure U.S. Government (USG) R&D environments to enhance technology innovation. A system-level analysis of the complexities endemic to these environments revealed two fundamental challenges: (1) Secrecy Challenge: Secrecy and national security are often conflated. Secrecy can be in tension with innovation, such as when R&D is hampered because specific requirements are obscured for national security reasons. (2) Participation Challenge: Innovation strategies that depend on open collaboration to bring forth the fullest breadth of potential solutions are impeded when regulatory regimes appropriate these innovations in the name of national security without adequately incentivizing participants. This dissertation shows that USG cannot optimize the application of OTIS without addressing these pervasive challenges; high-level change is needed. This dissertation evaluates current approaches by regulatory regimes and uses a combination of legal, policy, and stakeholder analysis to identify opportunities for system-level improvement. This dissertation finds that regulatory regimes should moderate secrecy a) when secrecy is the real interest being protected, and b) if it can be done in a manner that furthers both innovation and national security. In particular, Government agencies tasked with critical innovation must be empowered to do so in a way that thoughtfully balances innovation and national security interests. This dissertation also finds that a system of non-monetary and monetary incentives is needed to prevent short-term national security interests from unintentionally jeopardizing long-term interests. Such system-level change is necessary to ensure sustainable improvement in USG's ability to effectively transition R&D investment into technology innovation to support national security.
by Tina Prabha Srivastava.
Ph. D. in Strategy, Innovation, and Engineering

Thesis (S.M. in Technology and Policy)--Massachusetts Institute of Technology, Engineering Systems Division, Technology and Policy Program; and, (S.M.)--Massachusetts Institute of Technology, Dept. of Mechanical Engineering, 2009.
Includes bibliographical references (p. 75-79).
Many economists agree that countries wishing to develop their national economies should focus on increasing their innovation output. In recent years, the Portuguese government has pursued this goal, taking strides to improve the country's national system of innovation. This effort has included policy measures to increase the educational attainment of the Portuguese population and to improve the amount of collaboration between academia and industry in Portugal. Prior studies of locational effects have concluded that universities have a positive effect on the innovation output of the regions in which they are located. However, there is little understanding of how this locational effect varies with alternative types of higher education institutions, such as polytechnics and community colleges. This thesis evaluates the co-locational effects of educational institutions and industry clusters on innovation output, and makes recommendations for how these results may be put to use, given the historical context of the Portuguese higher education system. The analysis is a comparative study of the geographic sub-regions within Portugal and the U.S. states of Georgia and Pennsylvania. The data used in the analysis includes industry data (enterprises, employment, and wages), educational data (number of graduates by field and type of institution), and innovation survey data. The result of the co-location analysis shows that in Portugal, the technology-focused courses at universities and polytechnics are not concentrated in the same region as technological industry.
(cont.) However, the concentrations of university and polytechnic courses in Portugal frequently co-locate with one another, indicating an overlap in the regional offerings of these institutions. On the other hand, the states of Georgia and Pennsylvania show several instances of education-industry co-location in the technology sectors, with community colleges tending to co-locate with industry more than universities. The results show that, in both Georgia and Pennsylvania, co-locations between universities and industry occur more frequently in the research-focused Chemical/Pharmaceutical sector, while co-locations between community colleges and industry occur more frequently in the Equipment and Machinery sectors. A regression analysis of innovation survey data in Portugal observes no correlation between industry-academic co-location and innovation activity. However, I observe that the Community Innovation Survey dataset is not conducive to regression analysis. The stated goal for Portuguese polytechnics is to serve industry needs and promote regional economic development. However, the results indicate that efforts to concentrate educational courses near industry clusters have not been successful. My most important observation from a policy perspective is that Portugal may be spreading its educational resources throughout its regions in ways that diminish the potential value of co-location and its potential value in innovation.
by John Decker Ringo.
S.M.
S.M.in Technology and Policy

Reforms to the national research and research training system by the Commonwealth Government of Australia sought to effectively connect research conducted in universities to Australia's national innovation system. Research training has a key role in ensuring an adequate supply of highly skilled people for the national innovation system. During their studies, research students produce and disseminate a massive amount of new knowledge. Prior to this study, there was no research that examined the contribution of research training to Australia's national innovation system despite the existence of policy initiatives aiming to enhance this contribution. Given Australia's below average (but improving) innovation performance compared to other OECD countries, the inclusion of Finland and the United States provided further insights into the key research question. This study examined three obvious ways that research training contributes to the national innovation systems in the three countries: the international mobility and migration of research students and graduates, knowledge production and distribution by research students, and the impact of research training as advanced human capital formation on economic growth. Findings have informed the concept of a research training culture of innovation that aims to enhance the contribution of research training to Australia's national innovation system. Key features include internationally competitive research and research training environments; research training programs that equip students with economically-relevant knowledge and the capabilities required by employers operating in knowledge-based economies; attractive research careers in different sectors; a national commitment to R&D as indicated by high levels of gross and business R&D expenditure; high private and social rates of return from research training; and the horizontal coordination of key organisations that create policy for, and/or invest in research training.

The practice of forcing onto developing countries policies developed in other contexts assumes standardised paths to social and economic growth. These policies should enable rapid economic development by “correcting” local market inefficiencies, without considering the role these may have in preserving stability and preventing violence. Moreover, this approach does not address the compatibility of such policies with the culture, values and norms of the receiving country. The thesis aims at extending our understanding of success factors for policy transfer, focusing on organisational schemes for innovation support. It follows the pragmatic Research paradigm and adopts a deductive approach using mixed methods to study the link between administrative efficiency and innovation performance in developing countries, an under-researched area. This thesis argues that policies successfully implemented in culturally proximal contexts are more likely to lead to similar results in the receiving context. The results of the quantitative analysis indicate a strong relationship between administrative efficiency and innovation performance in low-middle income countries in the Middle East and North Africa. The performance of organisational schemes supporting innovation in the national innovation systems of Egypt and Morocco is qualitatively assessed on the basis of 72 face-to-face interviews with entrepreneurs, policy makers and academics. The research finds that similar organisational schemes have produced similar results in the two case studies, confirming the working hypothesis and supporting an approach to policy transfer based on “relevant” good practice.

The main objective of this thesis is to propose a new perspective in terms of the convergence debate as it is discussed in varieties-of-capitalism (VoC) literature. The initial configuration of VoC stance as well as a part of the literature foresees the convergence of hybrids to a liberal market economy. By revisiting the core arguments of national-systems-of-innovation approach as well as the elaborations of the various critiques of VoC stance, we will propose the opposite. If we are to take &lsquo
innovation&rsquo
as a starting-point of analysis and favor government intervention with respect to it, hybrids are more likely to converge to a political economy that resembles more a coordinated-one. However the meanings of the key terms such as &lsquo
coordinated-market-economy&rsquo
and &lsquo
convergence&rsquo
will be re-evaluated to be able to provide an adequate standpoint in terms of the convergence debate.

This is claimed to be an era of knowledge-based economies; the knowledge developed in National Innovation Systems (NISs) is widely thought to have become crucial to science and technology development in leading economies. Most scholars admit the NIS is a complex, dynamic and non-linear system. In order to enhance understanding of the structure and process of the NIS as well as the level and the rate of flows within an NIS, a system dynamics approach and computer simulations are applied in this research. This research will therefore centre on an attempt to develop a mathematical model of the national innovation system of Taiwan, particularly with regard to its Integrated Circuit (IC) industry. Various definitions and models of an NIS have been proposed from different points of view (e.g. Freeman, 1987; Lundvall, 1992; Nelson, 1993; Patel and Pavitt, 1994; Metcalfe, 1995; Smith, 1996; OECD, 1997; Gregersen et al., 1997; Vanichseni, 1998). The approach taken here is additionally based on the viewpoint of System Dynamics to describe its complex status. Therefore, the main aim of this research is to combine related theories/practices of innovation systems and system dynamics in order to understand both the dynamic relations and the innovative performance among the structural elements (actors) of Taiwan's IC industry. One objective is to increase our insight into the dynamics of national systems of innovation by means of computer modelling and formulating research questions for future research. Another objective is to create scenarios to verify the behaviour of the institutions under investigation by simulation, and to assess possible outcomes in those varying scenarios. By means of questionnaire/in-depth interviews and SD model simulation, as cross-comparisons between them, the thesis aims to increase our insight into the dynamic processes of the Taiwanese IC industry's systems of innovation and our understanding of the interdependence and interaction among the capital flow, human resource flow, knowledge & technology flow and product flow in the NIS. In addition, a comparison of innovation commercialization in Taiwan's IC industry under the different policy tests and scenario tests is undertaken. These simulations show that single policies are relatively ineffective and that innovation performance requires combining a range of policies and capabilities.

This thesis examines the evolution and development of science, technology and innovation (STI) policies in Colombia as a particular case study of a developing country within the Latin American and Caribbean (LAC) Region. The initial stage of the research analysed attempts by Colombian policy-makers from the 1960s onwards to build a National System of Innovation (NSI), following recommendations from transnational organisations such as the Organisation for Economic Co-Operation and Development and the Organisation of American States. This investigation found little evidence of systemic relationships between public, industrial and academic organisations to generate, exchange and apply knowledge. Central to these innovation strategies was a focus upon funding research with public resources to strengthen knowledge generation as the main mechanism for promoting innovation. This suggested that, although the STI policy was formally defined as following a ‘systemic’ approach, the policy mix reflected a linear reading of innovation (Tait & Williams, 1999) and generated an unhelpful (mis)perception of an uptake lag (Brown, Gregson, & Mason, 2015). The study was therefore refocused to develop a bottom-up understanding of innovation in selected industrial settings. A detailed analysis was undertaken of the innovation arrangements in three key Colombian agricultural industries - coffee, flower and sugarcane - within the national economy and global supply chains. This is an exploratory qualitative research based upon semi-structured interviews and specialised focus groups with key academic, public and private actors related with the evolution, design and application of innovation policies and strategies at the national and sectoral levels, supported by analysis of published and unpublished literature. Moving beyond narrow Innovation Systems (IS) perspectives, this thesis brought together aspects of STI policy design with an analysis of formal and informal social, economic and political institutions. A detailed focus on specificities of the three ISs under study highlighted important differences in terms of the generation and exploitation of knowledge linked to differences in inter-organisational relationships within the sub-sectors and their governance and governability. This in turn pointed tothe importance of cultural factors shaping innovation dynamics and the co-evolution of sectoral actors with technical, organisational and market changes. These findings suggest a top-down and bottom-up approach to understanding how national innovation strategy can be embedded in firms and industries. This thesis makes three contributions to knowledge. Firstly, it contributes to theories of sectoral innovation systems - showing that even at the sub-sectoral level, there are very different innovation pathways depending upon ownership, trading relations, scale, political insertion, longevity, sources and cumulativeness of knowledge. This reinforces the need for NSI to be grounded in broader historical and sociological understanding. Secondly, the operation of (de facto) innovation systems needs to be understood through a broad analysis of the embedded institutions and the power dynamics between the actors involved in the system. We suggest that the NSI approach might usefully be reconnected with earlier Latin American intellectual approaches that took into account the particularities of local/national industrial and knowledge institutions and the insertion of the LAC economies into global trading systems. Finally, it provides a critical appraisal of how the NSI approach can be read and understood by political actors to justify and shape particular policy mixes that encourage a narrow focus on the promotion and exploitation of public sector research based upon linear models of innovation.

In this paper, we analyze, estimate and compare five prototypic models of innovation, from a simple learning-by-doing model to an elaborated model that includes financial, organizational and technological determinants of innovation. From the comparison of the five models we conclude that institutions - in particular the national system of innovation - and organizations matter. The importance of networks and the importance of information flows from different economic actors add to the explanatory power and gives the best model fit among all models specified.
Series: Department of Economics Working Paper Series

This PhD thesis investigates underlying causes of the “European periphery paradox” by employing the National Innovation System (NIS) approach and the mixed methods methodology. The central contribution of the thesis is to the NIS literature and lies within providing new theoretical and empirical explanations for the underlying causes of systemic differences between Western and Eastern European innovation systems. The thesis is composed of three parts. The quantitative part proposes an empirical model that incorporates the innovation diffusion concept into the analysis of NIS dynamics. The model reveals significant differences in causal relationships between innovation generation and diffusion within five different groups of NISs globally. It also reveals various social, institutional and economic factors that possibly stimulate dynamics of the NISs. The qualitative part looks for deeper contextualised explanations for factors that influence transformation of NISs in transition economies. The case study points to various institutional inefficiencies as barriers to transformation. It reveals that institutional entrepreneurship could be one of the most effective mechanisms to stimulate institutional change through internal (within organisation) and through external (policy-making level) pressures. The conceptual part of the thesis contributes to a better understanding of the institutional change process by exploring the principal-agent model in the context of an entrepreneurial university and NIS. By incorporating the concept of innovation diffusion, the concept of institutional entrepreneurship and the principal-agent model, this thesis links macro, meso and micro levels in analysing the operations of NISs. It reveals the importance of active interrelationships between all actors of NIS and their abilities to generate, adopt and diffuse innovations locally. Furthermore, this thesis highlights the necessity of having entrepreneurial public institutions for countries seeking innovation-based growth. The thesis points to the importance of the human agency role, in particular, the role of institutional entrepreneurship, in the process of institutional change. The thesis also proposes a balanced individualised incentive system to motivate agents to contribute to the change from an ordinary to an entrepreneurial institution.

This study addresses public sector intermediaries and their role in facilitating innovation in Small and Medium Sized Enterprises (SMEs) in South Korea. The primary aim is to understand and address the informational and relational barriers that SMEs face during the innovation process and how these are resolved through interaction. Although the government has been implementing SME support policies for several decades, the Korean National Innovation System (KNIS) has been characterised with six words: ‘strong large firms, weak small firms’. Korean Government policies for R&D have not been effective in enhancing the economic performance and innovative capabilities of SMEs and the ‘low level of competitiveness’ of SMEs obstructs knowledge interaction between firms. Policies directed at SMEs mainly focus on direct support and do not reflect the interactive nature of the innovation process. This mismatch between policy and desired outcomes has led this study to go beyond examining the informational and relational constraints. It analyses the factors influencing successful (or less successful) innovation and asks whether public intermediaries have provided an effective mechanism in resolving innovation barriers (i.e. system failures). Yet, there has been a lack of research into public intermediaries and SMEs within the National Innovation Systems (NIS) framework. The NIS approach is a loosely configured framework and the intermediary literature is fragmented and has rarely been integrated with the NIS literature. Research has tended to focus on specific functions of private intermediaries and far less on the public intermediaries, which have been playing a crucial role in facilitating innovation in Korean industry for several decades. The central focus of this study is on the knowledge interaction process between public intermediaries and SMEs occurring at multiple levels of interaction in the Korean NIS. This study therefore attempts to integrate the NIS concept and the intermediary approach to provide a robust way to explore the knowledge interaction process at meso- and micro-levels. Four functions of the intermediary are constructed to explore how they might influence SME innovation: knowledge facilitation, learning facilitation, knowledge enabling and managing interfaces. Through in-depth analysis of five case studies encompassing firms in mechatronics and IT, this study explicates the knowledge interaction process and influential factors of successful innovation. The analysis addresses a series of issues that the generic NIS concept cannot fully explain: (1) knowledge interaction at meso- and microlevels; (2) multiplicity of relationships and their evolving nature; (3) the role of public intermediaries in a specific cultural context; and (4) the heterogeneity of SMEs with their pre-existing resources and routines. Sociological perspectives especially provide insights for investigating not only the dynamic nature of interactions but also micro-level factors that determine successful interactions and innovation that are largely neglected in both NIS and intermediary studies; e.g. productive combination of competing rationalities, social learning, and the importance of reflexive individuals. Focusing on a modulated NIS concept for public sector intermediaries and SMEs in a Korean context, the study opens the ‘black box’ of knowledge interaction and learning that resolves the barriers, shapes the successful innovation environment and hence strengthens the innovation system. The findings have implications for policy, including the need to establish new policy measures aimed not simply at achieving a set goal but rather at facilitating the interaction process with a long-term view. The study recommends that public intermediaries need to focus on monitoring activities that integrate and support the knowledge interaction process by facilitating ‘associativeness’ among actors. Furthermore, the heterogeneity of the local contexts and SMEs in the innovation process need to be taken into account in designing the programmes, moving away from one-size-fits-all type services.

Climate change constitutes a major threat to our planet. Finding and developing new technologies that can utilize renewable sources of energy is an essential component in combating this threat. The concerns are global, and today there is large variation in innovation intensity across advanced countries. Motivated by these differences, this thesis provides an empirical investigation of the determinants of country-level production of patents related to renewable energy generation. The investigation examines the impact of public environmental policy by assessing the effect of policy stringency and environmental taxes on renewable patents. Green innovative capacity is not separated from general innovative capacity. Drawing from the concept of national innovation system we therefore identify country-specific factors of innovation and examine to what extent they can be translated to the domain of environmental technology. We construct a panel of 22 OECD countries over the years 1994-2015 and analyze how governmental R&D expenditures, how different macroeconomic and institutional factors, as well as how environmental policy stimulate innovative activities. We analyze these factors using regression analysis and we use two count data models, namely the Poisson model and the Negative Binomial model. Our findings suggest that public policy is important for inducing innovation, both by deciding the level of R&D resources available to the economy and the level of environmental taxes. Furthermore, our thesis provides evidence that certain determining factors of general innovative performance also affect countries’ innovative capacity in green technologies.
Klimatförändringarna utgör idag ett allvarligt hot mot vår planet. Vår förmåga att ta fram ny teknologi, inte minst inom förnyelsebar energi, har pekats ut som en avgörande faktor för att vi ska kunna möta klimatkrisens utmaningar. Idag kan vi observera stora skillnader mellan länder när det kommer till deras förmåga att introducera och utveckla teknik kopplad till förnybara källor. För att förstå vilka faktorer som avgör ett lands benägenhet att generera ny teknologi inom detta område genomför vi i denna uppsats en empirisk undersökning med fokus på patentstatistik. Vi undersöker både effekten av stringens samt om miljöskatter kan användas för att stimulera mer förnybar innovation. Då länders innovativa förmåga inom grön teknologi är svår att separera och är starkt kopplad till dess generella innovativa förmåga utgår vår studie från teorin om nationella innovationssystem. Genom att använda det ramverket identifierar vi flera olika landspecifika faktorer som antas påverkar länders benägenhet att patentera teknik och vi utvärderar således teorins relevans inom området för förnyelsebar energi. Denna studie bygger på paneldata från OECD-länder mellan åren 1994 - 2015, data som sedermera används för att analysera hur statliga insatser kopplade till FoU, hur olika institutionella och makroekonomiska faktorer, samt hur miljöpolicy påverkar innovation inom grön teknologi. Våra resultat visar att policy, både i form av satsningar på FoU samt att miljöpolitiska åtgärder, spelar en betydande roll för att främja innovation inom förnyelsebar energi. Vidare finner vi i denna uppsats att de faktorer som påverkar ett lands generella innovativa förmåga också till en viss del påverkar dess förmåga att ta fram och patentera ny teknik kopplad till förnyelsebara energikällor.

Abstract The research question we wish to investigate is the degree to which different countries with differing levels of NSI strength and weakness cope in mitigating some of the adverse impacts of the recession. In general during the recession confidence declines or what Keynes calls the „animal spirit‟. Creative destruction is heightened as firms destroyed need to find other ways of recreating their economic activities. Exports and imports change. Investment from abroad declines and consumers afraid of the recession save or even hoard. Such a state is likely to impact those who are absorbing FDI and exporting to the heartland of the current recession which is the US market. China and India both export mainly hardware and software related goods and services respectively to this market where reduction in demand has resulted in company closures and unemployment. Even free trade has been challenged with protectionist and nationalist rhetoric on the rise during this recession. Given a recession that has affected the entire world economy and its constituent parts, both the way the recession impacts on different national economies and the ability of national economies to mitigate the recession are likely to be different. This paper concentrates on the latter not on the former per se. We examine what mitigating capability different national innovation systems have in relation to dealing with and responding to the current world financial and economic crises. The hypothesis we would like to test with descriptive comparative data is how far the relative strength or weakness of the NSI is capable of mitigating the adverse impact of the recession. We assume that that the nature and degree of impact of the recession across countries are likely to be different. In this paper we would like to take only the NSI factor in trying to account how such differences due to the individual characteristics of NSIs across different countries mitigate recessionary impact on given economies. For this, we propose to examine selected sectors from selected emerging economies such as China, India, Brazil and South Africa (BRICS excluding Russia) to estimate mitigating capabilities of different NSIs.

Since the 1960s the government of Burkina Faso has consistently sought to implement new development policies to improve the economic and social conditions of its people. Until the end of the 1990s these efforts have been disappointing and unsatisfactory. In the early 2000s there was a shift towards a knowledge-centred development policy and policy makers trusted that it would bring about the sough-after improvements. In 2006 Burkina Faso chose to adopt the National Innovation Systems (NIS) framework as a policy tool to implement this new policy. Drawing on a broader definition of technology that covers social technologies, this thesis used the ST-Systems analytical concept to chart the adoption and diffusion of the NIS policy tool at two levels, namely at strategic policy level and at the operational level, focusing here on the case of Bt cotton which was officially introduced to Burkina Faso in 2003. Ethnographic methods, including in-depth interviews with policy makers, farmers, Monsanto representatives, civil society actors and researchers, were used to gain new insights into the difficulties encountered by these actors when trying to implement the NIS policy tool. 60 interviews were analyzed against a backdrop of detailed historical studies, based on examining a large amount of grey literature, published between 1961 and 2016. Findings show that the implementation of the NIS policy for innovation diffusion for socio-economic development in Burkina Faso was shaped by local actors competing for control of financial resources and power positions. The new tool also had to compete with older, more familiar tools. In the end, it failed to bring about the expected improvements in policy design and practice at sectoral level. The thesis is among the first to have studied empirically the transfer processes of the NIS policy tool for innovation diffusion in an African country (Burkina Faso) through a case study focusing on the introduction of Bt cotton. The results achieved should contribute to more informed development policy-making in Burkina Faso.

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Esta pesquisa buscou conhecer a percepção dos alunos do último ano do curso de graduação em administração da EAUFBA sobre questões relacionadas ao empreendedorismo e a inovação. De forma mais específica, buscou-se investigar, mediante o resultado da construção de mapas cognitivos e de respostas a questões quantitativas, o grau de associação existente entre os conceitos de empreendedorismo e de inovação, as percepções sobre os desafios da instituição e do seu corpo docente no processo de incentivo ao empreendedorismo e de integração da EAUFBA ao Sistema Nacional de Inovação. Além disso, mapeou-se o grau de adesão da amostra a iniciativas empreendedoras, bem como o grau de inovatividade dos projetos, tipos de inovação existentes e motivos para o não engajamento nas iniciativas empreendedoras. A análise dos dados coletados apontou que o grau de associação entre os conceitos de empreendedorismo e inovação ainda é baixo, que o corpo docente é visto como o grande responsável pelo incentivo ao engajamento em iniciativas empreendedoras e que a percepção da importância das redes de integração entre diversas instituições para o desenvolvimento do empreendedorismo e da inovação ainda ocorre de maneira incipiente. O percentual da amostra envolvido em iniciativas empreendedoras, 17,1% chega a surpreender positivamente, considerando que a pesquisa captou também a ausência de um viés de estímulo ao empreendedorismo na estratégia educacional da instituição. Os resultados obtidos por esta pesquisa reforçam a necessidade de uma discussão mais ampla sobre o posicionamento da EAUFBA como uma das principais instituições responsáveis na região nordeste pelo desenvolvimento do moderno profissional em administração.
Salvador

Scientific developments in genetics receive great public and political attention. However, genetic tests as medical innovations need to travel from the laboratory to the individual patient in order to fulfil the goal that makes the science so attractive. A medical innovation has to pass through the institutions of diverse health care systems. This thesis compares how the structures of two very different health care systems in Europe (Germany and the UK) foster or hinder the diffusion of genetic technologies. It presents a detailed analysis of the institutional pathways involved in order to discuss whether and in which way the kind of medical innovation that genetic testing represents is accommodated. The case study used for analysing the passage of a genetic test in both countries is diagnostic testing for Maturity Onset Diabetes of the Young (MODY). This example has the idiosyncratic dimension that it had strong support by scientists and government when the UK Government prioritized genetics in health policy. However, MODY testing was chosen for this study because MODY is a ‘simple’ monogenetic test, and it is one of the few at present that are both reliable and lead to altered treatment with a better quality of life for the patient. MODY represents, according to the current state of genomic knowledge, a prime example of what genetics is likely to deliver at best over the coming decades. In brief, the comparison of the pathways MODY travelled and the degree to which it reached patients successfully shows that both systems are not optimally set up to exploit what MODY genetic testing has to offer, but that the vertical structure and centralization in the UK system fit the needs of genetic medical innovations better than the horizontal, diversified and market oriented structures dominating the German health care system.

Since the discovery of genetic inheritance by Mendel (1890) and the identified role of DNA in cell division (Crick/Watson 1950), scientists have worked to advance stem cell technologies to treat and cure human disease. The broad techniques of therapeutic cloning are gene therapy, stem cells growth and pharmacogenetics together constitute a complex and demanding science. Each involves the alternating and growth of new cells including the use of human embryos undifferentiated cells and a potential to grow into any organ and tissue type. This work explores the national context in which stem cell science is advancing in a case study between the UK and China using National Systems of Innovation (NSI) as a theoretical structure. NSI is defined by the literature, which includes economic performance, political and legislative structure, research investment, and societal values (Freeman 1997; Fagerberg 2004). Using ethnographic and statistical analysis, it compares the effect each National System of Innovation is having on the advance of therapeutic cloning. Diabetes is chosen as the clinical model because of its global prevalence, affecting over 200m people (BHF 2004) and accounting for 9% of mortality (WHO 2002). and the prediction that it will become the world's most major non- communicable cause of death by 2025 (Atlas 2004).During this study, China experienced unprecedented economic growth underpinned by strong research investment, which is now three times the size of that in the UK (Wilsden 2006). It has a permissive social culture for stem cell research (Mann 2003), having adapted much of the European legislation (Salter 2007) with much of its research led by doctors, enabling a quicker advance of stem cell therapies to the clinic (Prescott). The UK is, in comparison, a global leader in stem cell science, having a prestigious record of achievements including the final mapping of the human genome (Goodfellow 2001), the cloning of Dolly the Sheep (PHGU 2002), and being first to legislate for such embryo research (HFA 1990). The UK's economic performance is also strong during this study, but well behind that of China, and neither does it enjoy the relaxed ethical stance of the Chinese structure. This is evidenced in its research investment, which has fallen as a proportion of GDP from 2.24 in 1990 to 1.78 in 2005 (National Statistics 2007), whereas China has increased from 0.7 to 1.31 (Wilsdon 2006).There is evidence in the literature of the importance of innovation to economic growth (OECDa 2004) and the relationship of this to GDP performance. This research explores the impact the National System of Innovation is having on the advance of stem cell research in the UK and China, using diabetes as a clinical model.

A teoria sobre Sistemas Nacionais de Inovação (SNI) evoluiu significativamente e tem auxiliado no diagnóstico de inovação em diferentes países. Ela tem sido criticada, porém, pela ausência de conceitos, instrumentos e ações práticas que permitam atuar no aprimoramento contínuo desses sistemas. No Brasil, por exemplo, análises do SNI indicam entraves como dispersão de recursos, fraquezas no sistema educacional e baixo investimento em P&D, mas não indicam caminhos concretos para se estimular mudanças nos atores do sistema. Este trabalho descreve uma experiência de indução da melhoria no SNI brasileiro, combinando a teoria de SNI com conceitos clássicos de Sistemas de Gestão Normalizados. Propõe-se um modelo de gestão que serve de orientação para Instituições de Pesquisa Científica e Tecnológica, pertencentes a um SNI, e que atuam como parte importante do processo de transferência dos produtos para os consumidores da tecnologia. A hipótese é que o padrão possa induzir a melhoria nessas instituições e gerar melhorias no sistema como um todo. A proposição do modelo foi realizada a partir de uma pesquisa-ação e um método etnográfico, utilizado para captar a percepção de especialistas da área. A partir dessa experiência, discutem-se entraves e especificidades para um Sistema de Gestão Normalizado voltado para a melhoria de Sistemas Nacionais de Inovação. Os resultados indicam a viabilidade da proposta, demonstrando que um padrão de sistema de gestão para inovação tem potencial para: a) sensibilizar e orientar atores do SNI para objetivos comuns em prol da cooperação no desenvolvimento de tecnologias; b) indicar mecanismos e ações que podem ser tomadas por estes atores; c) estimular o desenvolvimento de capacidades e habilidades que facilitem a cooperação entre empresas nas instituições que compõem o SNI.
The theory of National Innovation Systems (NIS) has evolved significantly and has aided the diagnosis for innovation in different countries. The NIS theory has, however, been criticized by lack of concepts, tools and practices that allow actions in ongoing improvement of these systems. In Brazil, for example, analysis indicate barriers related to dispersion of resources, weaknesses in the educational system and low investment in R&D, but dont indicate concrete ways to stimulate changes on the players of the system. This paper presents an experience for the improvement in the Brazilian NIS, combining NIS theory with classical concepts of Standardized Management Systems. It is proposed a management framework that provides a guidance for institutions of Scientific and Technological Research belonging to a NIS, playing an important role on the technology transfer process. The hypothesis is that the standard induces improvements to the R&D institutions and therefore to the whole system. The proposed framework has been developed from an action research and ethnographic methods in order to capture the perceptions of specialists. From this experience, it is discussed the main barriers and specificities of the development of a Standardized Management System oriented to the improvement of National Innovation Systems. The results indicate the feasibility of the proposal, showing that a management system standard for innovation can: a) sensitize and guide NIS actors to promote common goals to cooperate in developing technologies; b) indicate mechanisms and actions that can be applied by these actors; c) encourage the development of skills and abilities that facilitate cooperation between companies in the institutions comprising the NIS.

This dissertation presents a multilevel model of national-level factors and their impact on the organizational-level characteristics of social enterprises and their innovations. This study builds on the foundations of two theoretical frameworks: the national systems of innovation, which recognizes economic competitiveness to be a product of several interrelated institutions (e.g. financial, educational, cultural, historical) and where organizational-level innovation drives country level competitiveness; and the comparative social enterprise framework, which contends that national-level institutions (e.g., economic competitiveness, models of civil society) drive the size and shape of the social enterprise sector of a country. Data for this study were collected from multiple secondary global datasets representing 54 countries across seven world regions. Research questions and hypotheses are examined using ordinal and logistic hierarchical generalized linear modeling, two analytical techniques capable of explaining variation at one level (i.e., organizations) as a consequence of factors at another level of analysis (i.e., countries) for non-normally distributed dependent variables. Findings indicate that economic competitiveness, welfare spending, culture and quality of life significantly impact the odds of a business being a social enterprise. Fewer significant relationships were found social enterprise innovations. Conclusions and policy implications are discussed in light of data limitations and the current state of the field.

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O presente trabalho tem o fito precípuo de analisar o cenário econômico da nanotecnologia no Brasil à luz de experiências internacionais selecionadas sob o prisma de Sistemas Nacionais de Inovação. A proposta de contribuição deste trabalho está centrada na ampliação da escassa literatura sobre a temática, especialmente sob o viés analítico dos Sistemas Nacionais de Inovação. O trabalho em um primeiro momento analisa os principais conceitos, características e as funcionalidades da nanotecnologia. A partir da contextualização e caracterização, o estudo avança, dedicando-se a ingressar na teoria econômica com vistas a buscar os fundamentos analíticos que sustentam a análise da nanotecnologia sob a ótica dos Sistemas Nacionais de Inovação. Sob o viés de SNI, analisam-se, posteriormente, experiências internacionais de países selecionados: EUA, Alemanha, Rússia e China, bem como da União Europeia, intentando a compreensão da criação de iniciativas nacionais focadas no desenvolvimento da nanotecnologia. À luz dessas experiências, por fim, busca-se compreender o cenário econômico da nanotecnologia no Brasil através de uma análise das dimensões científica, tecnológica-industrial e político-regulatória ao longo dos últimos anos (2000 a 2013), uma vez que essas dimensões possibilitam o aporte ao entendimento de fatores que auxiliam a análise econômica, considerando a linha neoschumpteriana. Em linhas gerais, é possível depreender-se das experiências internacionais que todos os países estudados possuem Iniciativas Nacionais já consolidadas, com mais de 10 anos de experiências, e se caracterizam: a) pelo estímulo de atividades de inovação com interação entre Universidades e Empresas; b) pela realização de investimentos públicos em projetos para desenvolvimento da nanotecnologia em empresas; c) pelo destaque mundial na produção científica e em depósitos de patentes; e d) pela criação de marcos regulatórios e de definições, conceitos e limites de aplicações em nanopartículas na indústria. No que tange aos resultados encontrados no estudo, referente ao Brasil, verifica-se um incipiente ambiente de promoção e de incentivo à nanotecnologia no Brasil, especialmente em termos de estrutura de atividades de pesquisa aplicada, de fomento de atividades de Interação Universidade-Empresa e de inexistência de marcos regulatórios. Contudo, é possível a visualização, partir da análise do cenário das referidas dimensões, de bons resultados nos planos de produção científica (18º colocação no ranking mundial, conforme dados de 2011) e de depósitos de patentes (13º colocação no ranking mundial, conforme dados de 2011) se comparado a países líderes, seus respectivos investimentos e suas dimensões referentes à criação de iniciativas nacionais em nanotecnologias já há anos consolidadas. Em termos de contribuição teórica, destaca-se a apresentação da discussão a respeito da nova onda nos SNI com a chegada da nanotecnologia. Conclui-se também pela grande lacuna, em uma perspectiva de agenda de pesquisa, lançando-se o desafio de novos estudos sobre a temática.
This work has the aim of analyzing the economic scenario of nanotechnology in Brazil in the light of international selected experiences under the prism of National Innovation Systems. The contribution proposed by this research is focused on expanding the scarce literature on this subject, especially in the analytical bias of National Innovation Systems. The work at a first moment analyzes the main concepts, features and functionality of nanotechnology. From the contextualization and the characterization, the study advances, dedicating up to enter in the economic theory in order to get the analytical foundations underpinning the analysis of nanotechnology from the perspective of National Innovation Systems. Under the bias of SNI, we will analyze, posteriorly, international experiences of selected countries: USA, Germany, Russia and China, as well as European Union, attempting to understand the creation of national initiatives focused on the development of nanotechnology. In light of these experiences, finally, we seek to understand the economic scenario of nanotechnology in Brazil through an analysis of the scientific, technological-industrial, political and regulatory dimensions over the past years (2000-2013), since these dimensions will enable the contribution to the understanding of factors that support the economic analysis, considering the neoschumpterian line. Generally speaking, it is possible to infer from international experiences that all the countries studied have national initiatives already consolidated, with over 10 years of experience, and are characterized by: a) the encouragement of innovation activities with interaction between universities and companies; b) carrying out public investment in projects for the development of nanotechnology in companies; c) the world highlight in the scientific literature and patent applications; d) the creation of regulatory frameworks and definitions, concepts and application limits on nanoparticles in the industry. With respect to the results found in the study, referring to Brazil, there is an incipient environment of promotion and encouragement of nanotechnology in Brazil, especially in terms of structure to applied research activities, promotion of university-industry interaction activities and the absence of regulatory frameworks. However, it is possible to visualize, from the analysis of these dimensions scenario, good results in terms of scientific production (18th place in the world ranking, according to data of 2011) and patent deposits (13th place in the world ranking, according to data of 2011) compared to leading countries, their investments and its dimensions referent to the creation of national initiatives in nanotechnology which was years ago consolidated. In terms of theoretical contribution, is highlighted the discussion of the new wave in SNI with the arrival of nanotechnology. It also concluded that there is a large gap, in a perspective of research agenda, launching the challenge of new studies on the subject.

This thesis was motivated by the importance of technological capability for economic growth process in developing countries. The main objective of this study is to analyze the creation of technological capability in the Turkish manufacturing industry
and to set out opportunities and impediments for technological development by ascribing special emphasis to MNCs in this process within the framework of national innovation system. The technology policy advice relying on attracting foreign firms is also questioned. In order to shed light on how technological capability is accumulated in the Turkish manufacturing industry
and to understand the role that MNCs play in this process, the thesis investigates static and dynamic spillover effects of MNCs in the Turkish manufacturing industry. The study also focuses on the factors that determine innovativeness of, and the technology transfer by the firms in Turkey, and the role of MNCs in this context. The probable effects of firm and technology specific characteristics such as size and technology level are taken into consideration in the analyses. Our results suggest that foreign firms are superior to domestic firms in many respects. There are no horizontal or vertical spillovers from MNCs in Turkey for the 1983-2000 period. We found lagged positive horizontal spillovers, though. However, these spillovers are far beyond to register a net dynamic benefit for the whole Turkish manufacturing industry to be felt in the current period. This lagged spillover is found for large firms
and one can mention net dynamic positive spillovers for the large firms. We also found positive spillovers from labor transfer from MNCs to domestic firms for the 1995 and 2000 period. We conclude that technological capability is limited in domestic firms
and it can be improved by on-the-job training and general education policies as well as increasing domestic R&
D. The technology policies relying attracting more FDI should be reviewed given the insights provided by the analysis conducted in this thesis.

Die Arbeit untersucht die Rolle des Wissens- und Technologietransfers in nationalen Innovationssystemen und insbesondere im Innovationsprozess. Bisher vorliegende Arbeiten zu diesem Thema behandeln entweder den Wissens- und Technologietransfer als einen eigenständigen Prozeß oder den Aufbau nationaler Innovationssysteme. Die Verbindung beider Konzepte ist Gegenstand der Arbeit.

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Coordenação de Aperfeiçoamento de Pessoal de Nível Superior
This study aimed to analyze the evolution of innovation policy and national PRIME Program and its local application in APL ICT Campina Grande. The methodology consists of : the application of the type and arrangement for local production and innovation systems as Cavalcanti Filho (2013 ) to characterize the cluster of ICT in Campina Grande , in the application of the systemic model of public policy analysis in conjunction with the cycle model public policy as Street (2009 ) to analyze the process of formation and implementation of the PRIME program . For data acquisition was used desk research , questionnaires and interviews . There was an evolution in the design of industrial policy and innovation in response to economic developments , in particular the process of globalization . Regarding the PRIME program , he presented barriers to implementation derived from inconsistencies in the design phase of the program , yet its goal was achieved in 85 % of participating companies in the case of PaqTc . A significant effect was the achievement instill in companies the importance of developing management skills and marketing , both considered weak in APL ICT companies Campina Grande. These new companies with business profile differentiated from standard corporate APL is an important variant of the arrangement and result in increased sales , one of the bottlenecks found by the analysis of APL . Therefore, the PRIME program was an important mechanism of variation within APL ICT Campina Grande ( PB ) .
O presente trabalho teve como objetivo analisar a evolução da política de inovação e o Programa PRIME nacional e sua aplicação local no APL de TIC de Campina Grande. A metodologia empregada consiste: na aplicação da tipologia para arranjo e sistemas produtivos e inovativos locais conforme Cavalcanti Filho (2013) para caracterizar o APL de TIC de Campina Grande; na aplicação do modelo sistêmico de análise de políticas públicas em conjunto com o modelo de ciclo de políticas públicas conforme Rua (2009) para analisar a processo de formação e implementação do Programa PRIME. Para aquisição de dados foi utilizado pesquisa documental, aplicação de questionários e entrevistas. Observou-se uma evolução na concepção da política industrial e de inovação, em resposta a evolução da economia, em especial ao processo de globalização. Com relação ao programa PRIME, ele apresentou entraves para implementação derivados das inconsistências na fase de concepção do programa, contudo seu objetivo foi alcançado em 85% das empresas participantes no caso do PaqTc. Um efeito relevante foi ter conseguido incutir nas empresas a importância do desenvolvimento das competências de gestão e mercadologia, ambas consideradas fracas nas empresas do APL de TIC de Campina Grande. Essas novas empresas com perfil empresarial diferenciado do padrão das empresas do APL é um importante fator variante dentro do arranjo, podendo impactar no aumento do faturamento, um dos gargalos encontrados pela analise do APL. Portanto, o Programa PRIME foi um importante mecanismo de variação dentro de APL de TIC de Campina Grande (PB).

Die Arbeit untersucht die Rolle des Wissens- und Technologietransfers in nationalen Innovationssystemen und insbesondere im Innovationsprozess. Bisher vorliegende Arbeiten zu diesem Thema behandeln entweder den Wissens- und Technologietransfer als einen eigenständigen Prozeß oder den Aufbau nationaler Innovationssysteme. Die Verbindung beider Konzepte ist Gegenstand der Arbeit.

Este trabalho visa investigar as demandas do setor empresarial voltadas às políticas de Ciência, Tecnologia e Inovação no Brasil a partir de 1990. São o foco central deste estudo entender como se processa a relação entre os principais atores do Sistema Nacional de Inovação (SNI) brasileiro e evidenciar como a Anpei, Anprotec e Abipti articulam às demandas empresariais e às políticas públicas para inovação. Questiona-se neste trabalho se as demandas do setor empresarial privado brasileiro têm sido contempladas pelas políticas de CT&I a partir dos anos 1990. Em um primeiro momento foram coletados dados e informações da Anpei, Anprotec e Abipti acerca do tema inovação tecnológica e das demandas empresariais em CT&I. Na seqüência, foram realizadas entrevistas com representantes de cada uma das três instituições. Além disso, foram reunidos dados e informações de outras associações como CNI, Fiesp, Firjan e IEDI. Da investigação realizada pode-se concluir que a partir dos anos 1990 tem aumentado a participação do setor empresarial na discussão de temas ligados à inovação. Todavia, os resultados dessa interface com o governo ainda mostram-se pouco efetivos em termos de atendimento de suas demandas. Verifica-se que falta uma cultura de inovação do setor empresarial bem como planejamento estratégico tanto por parte de governo e empresas para a formulação e implementação de políticas de inovação eficazes no país.
This study seeks to investigate the Science, Technology and Innovation (ST&I) demands of the private sector in Brazil since the 1990s by advancing understanding on how the relationship between the key National Systems of Innovation (NSI) actors operates. It also outlines how the Anpei, Anprotec and Abipti articulate private sector demands and public polices for innovation. The dissertation seeks to explore the extent to which the demands of the Brazilian private sector have been contemplated in the formulation of ST&I policies since the 1990s. In a first stage, data and information related to technology innovation and the ST&I demands of the private sector were collected from the Anpei, Anprotec and Abipti. Following these efforts, interviews with representatives of each institution were carried out. In addition, data from other business associations like CNI, Fiesp, Firjan and IEDI were also collected. Based on the analysis of this data, I conclude that there has been an increase in the participation of the private sector with respect to discussions on topics related to innovation. However, the results from the interface of this sector with the public sector have had limited effectiveness as the demands of private firms remain unmet. I also find that there is a lack of culture of innovation in the private sector, as well as strategic planning on the part of both the public and private sectors, and that these factors impede the formulation and implementation of more effective innovation policies.

O trabalho submete a teste a hipótese de que o direito concorrencial brasileiro não possui hoje grau de sofisticação institucional adequado para lidar com arranjos cooperativos interempresariais utilizados por empresas a fim de desenvolver, implantar e difundir inovações tecnológicas. O critério da sofisticação institucional empregado para tanto consiste na verificação da implementação deliberada e estratégica de mudanças institucionais pelo Estado para prover vantagens institucionais comparativas para as empresas nele baseadas, em termos de maior segurança jurídica e menores custos de compliance. A fim de identificar os fatores relevantes para tal análise são empregados conceitos teóricos das linhas de pesquisa conhecidas como Nova Economia Institucional (NEI) e Variedades de Capitalismo (VdC), bem como uma análise empírica comparativa da política concorrencial aplicável a tais arranjos cooperativos nos Estados Unidos e no Brasil.
This work tests the hypothesis that the Brazilian competition law has not today an appropriate degree of institutional sophistication to deal with interfirm cooperative arrangements employed by companies to develop, deploy and disseminate technological innovations. The criterion of institutional sophistication hereby employed consists on the verification of the deliberate and strategic implementation of institutional changes by the State in order to provide comparative institutional advantages for the companies based therein, in terms of more legal certainty and lower compliance costs. In order to identify the relevant factors for such analysis, theoretical concepts from New Institutional Economics (NIE) and Varieties of Capitalism (VoC) literatures are employed, as well as a comparative empirical analysis of the competition policy applicable to such cooperative arrangements in the United States and Brazil.

Fundação de Amparo a Pesquisa do Estado de Minas Gerais
The thesis analyzes the Programa de Apoio à Pesquisa em Empresas (PAPPE), which emerged in Brazil in 2003 with the objective of supporting innovative projects developed by companies in partnership with researchers. It emerges as a political pioneer since it is a joint initiative of federal, via Financier of Studies and Projects (FINEP), and state sphere, via State Support Foundations (FAPs) with the intention to decentralize the actions to promote and provide resources to meet the needs and characteristics of regional development. Based on the neo-Schumpeterian theoretical framework, which supports a systemic view of the innovation process by developing the concept of national innovation system, the program, another groundbreaking project, aims to foster and strengthen relations of interaction between staff economic, since such relations can promote the generation and dissemination of knowledge and learning, highly interactive phenomena, which are key elements in the development and diffusion of innovations. The PAPPE is therefore one of the instruments used by the Brazilian government to try to overcome some bottlenecks that make the country‟s innovation system characterized by some scholars as immature/incomplete. Correspondingly, emerges the importance of studying it and identifying its contributions. For this, and through online interviews with participating companies of PAPPE, the present study considers the program in the States of Minas Gerais, Rio de Janeiro and Sao Paulo, in order to characterize these firms as well as identify their impacts on the interaction relationships and innovative activities. In general, companies that had projects approved in PAPPE are primarily young, created between 1990 and 2000; they are often small, and have a significant number of employees with higher education and graduate, has established partner relationships with other agents; have, in most cases, departments own R & D and founders originated the academic environment. That is, these companies point to the emergence of a new scenario in the country, which is formed by the micro and small innovative firms that recognize the importance of interaction relationships.
O trabalho analisa o Programa de Apoio à Pesquisa em Empresas (PAPPE), que surgiu no Brasil em 2003, com o objetivo de apoiar projetos inovativos desenvolvidos por empresas em parceria com pesquisadores. O programa surgiu como uma política pioneira, por se tratar de uma iniciativa conjunta das esferas federal, via FINEP (Financiadora de Estudos e Projetos), e estadual, via FAPs (Fundações de Amparo Estaduais), com a intenção de descentralizar as ações de fomento e oferecer recursos de modo a atender às necessidades e características do desenvolvimento regional. A análise do Programa é realizada com base no arcabouço teórico neoschumpeteriano, que se fundamenta na visão sistêmica do processo inovativo por meio do desenvolvimento do conceito de Sistema Nacional de Inovação, o programa, também de forma pioneira, tem como objetivo estimular e fortalecer as relações de interação entre os agentes econômicos, uma vez que tais relações podem favorecer a geração e disseminação de conhecimento e aprendizado, fenômenos eminentemente interativos que constituem elementos-chave para o desenvolvimento e a difusão de inovações. O PAPPE é, portanto, um dos instrumentos utilizados pelo governo brasileiro para tentar superar alguns gargalos que fazem o sistema de inovação do país ser caracterizado por alguns estudiosos como imaturo/incompleto; por isso, a importância em estudá-lo e identificar suas contribuições. Para tanto, e por meio da realização de entrevistas online com participantes do PAPPE, o presente trabalho analisa o programa nos Estados de Minas Gerais, Rio de Janeiro e São Paulo, com intuito de caracterizar tais empresas, bem como identificar seus impactos sobre as relações de interação e as atividades inovativas. De maneira geral, as empresas que tiveram projetos aprovados no PAPPE são fundamentalmente jovens, criadas entre os anos 1990 e 2000; de pequeno porte, possuem um número significativo de empregados com formação superior e cursos de pós-graduação; já estabelecem relações de parceira com outros agentes; possuem, na grande maioria, departamentos próprios de P&D e sócios fundadores originados do ambiente acadêmico. Noutros termos, tais dados apontam para o surgimento de um novo cenário no país, qual seja o formado por micro e pequenas empresas inovativas que reconhecem a importância das relações de interação.
Doutor em Economia

Thesis (S.M. in Engineering and Management)--Massachusetts Institute of Technology, Engineering Systems Division, 2012.
Cataloged from PDF version of thesis.
Includes bibliographical references (p. 83-86).
Over the past several years, the world has been inundated with stories which, when connected, describe an informal and disorganized race by many nations to establish a leadership position in capturing the economic rewards from the pressing need to clean up the worldwide energy supply. At the forefront of this race, is the competition to become the largest supplier of solar energy generation products and services. Many governments around the world are actively incentivizing and creating policy with the hope of constructing a competitive advantage within the solar industry. This thesis aims to provide the decision maker with a novel, objective, and cross-disciplinary perspective on the solar innovation system in the United States. The intention of this thesis is to encourage new ways of thinking about the solar innovation system and to inspire new approaches to effectively support its growth. This thesis presents recommendations to the decision maker at the Department of Energy (DOE) grounded in the underlying dynamics of solar innovation and the DOE's capacity to act. This thesis found that the driving force behind the evolution of solar innovation is a special type of firm which tends to start as an informal group or tribe within a professional environment. The special type firm, the solar innovation leading enterprise, is characterized by performing an in-depth analysis of the evolution of the solar industry in the U.S. over the past 20 years. The solar innovation leading enterprise is a type of firm that has demonstrated the ability to create a disproportionate amount of value for the solar innovation system. Not only has the solar innovation leading enterprise generated value, but it has spilled over enough value to incentivize the building of a broader set of regional capabilities which can be exported to the rest of the world. This thesis presents the ideal characteristics of the solar innovation leading enterprise and the dynamics which lead to its formation, growth, evolution, and sometimes to its creative destruction. The intricacies of how the solar innovation leading enterprise is born, how it evolves, what it requires to grow, and its dynamic relationship with the solar innovation cluster are presented and were derived by examining over 100 case studies in the solar industry. The current state of the competitive advantage of the U.S. is shown by presenting the status of the emerging and established regional solar innovation capabilities. Finally, a framework is constructed to guide the decision maker's actions. It presents the decision maker with ways to build the future competitive advantage of a nation now. The framework has its foundation in the underlying dynamics of solar innovation and characteristics of the solar innovation leading enterprise.
by Donny Holaschutz.
S.M.in Engineering and Management

Purpose: The main purpose is to investigate how the two companies in a cross-national context pursue innovation particularly in the process of achieving eco-innovations practices in manufacturing operation Method: An in-depth interviewing approach was used conducting a face-to-face interview and an online video conference. Research question: " What are the key differences in the process of achieving eco-innovations in the production systems between two household refrigerator manufacturing companies in a cross-national context? " Sub-questions: 1. Why do the companies pursue eco-innovations? 2. How do the companies manage eco-innovations? 3. Who in the companies is involved in achieving eco-innovations? 4. What measurements are used to determine the success of eco-innovations? Findings: The results suggest that the organizations in each country respond to different demand and orientation. They also deploy differences in approach and involving actors towards achieving eco-innovation journey Limitations While the findings are induced from a case study of two companies in a particular industry in Thailand and Sweden, the generalizability of the findings is somehow limited

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Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES)
Considerando que a geração de inovação é fator primordial para o desenvolvimento econômico e social das nações, que o conhecimento é recurso fundamental para a geração de inovação; e que a universidade é um importante agente produtor de conhecimento no âmbito dos Sistemas de Inovação, a presente pesquisa tem como objetivo geral investigar as políticas públicas, as políticas institucionais de universidades selecionadas e os indicadores de inovação no Brasil e na Espanha no que tange à produção e compartilhamento de conhecimento científico. Parte-se da hipótese que a consolidação eficaz de um Sistema Nacionais de Inovação depende da sistematização de políticas para a inovação que não se restrinjam aos programas de incentivo fiscal e ajudas financeiras, mas, além disso, tenham como foco todos os diferentes agentes do Sistema Nacional de Inovação, e em especial a atuação integrada entre eles com foco na produção e no compartilhamento de conhecimento. Diante do exposto, busca-se responder às seguintes questões centrais: As políticas públicas de inovação nos países selecionados se pautam na abordagem sistêmica da inovação e, por consequência enfocam o compartilhamento de conhecimento entre os diferentes agentes do Sistema Nacional de Inovação? A participação das universidades públicas no âmbito de sistemas de inovação como agentes de execução atuantes na produção de conhecimento pode ser melhor explorada? O papel da universidade pública de produtora e socializadora de conhecimento está devidamente incorporado nas políticas públicas e indicadores de inovação? Nessa perspectiva, delineouse uma pesquisa de natureza qualitativa, composta por pesquisa bibliográfica e pesquisa documental, que subsidiou o estudo comparativo entre as políticas e indicadores de inovação brasileiros e espanhóis que compuseram o universo de pesquisa. Para a análise dos dados coletados no universo pesquisado aplicou-se o método de pesquisa ‘Análise de Conteúdo’, mais especificamente a técnica ‘Análise Categorial’, cujas categorias foram definidas a posteriori. As categorias de análise estabelecidas buscaram abranger e percorrer o caminho do conhecimento produzido na universidade nos contextos dos Sistemas Nacionais de Inovação do Brasil e Espanha. Como resultado, a pesquisa verificou que os Sistemas Nacionais de Inovação dos países analisados se dedicam a consolidar uma cultura de inovação com foco no conhecimento, estão alinhados com a abordagem sistêmica da inovação, que preconiza a ação integrada entre os agentes do Sistema Nacionais de Inovação, e vislumbram a universidade como um importante agente produtor de conhecimento no âmbito do Sistema Nacionais de Inovação dos respectivos países. No entanto, as etapas que sucedem à produção e comunicação do conhecimento científico são negligenciadas. Porquanto se faz necessário que as políticas e indicadores de Ciência, Tecnologia e Inovação se ocupem também de processos para a sistematização, fluxos, apropriação e aplicação do conhecimento produzido pelas universidades no âmbito dos Sistemas Nacionais de Inovação.
Considering that the generation of innovation is a fundamental factor for the economic and social development of nations, that knowledge is a fundamental resource for the generation of innovation; and that the university is an important agent producing knowledge in the scope of Innovation Systems, the present research has the general objective to investigate the public policies, the institutional policies of selected universities and the innovation indicators in Brazil and in Spain regarding the production and sharing of scientific knowledge. The hypothesis is that the effective consolidation of a National Innovation System depends on the systematization of innovation policies that are not restricted to fiscal and financial incentive programs, but also focus on all the different agents of the National Innovation System, and in particular the integrated action between them with focus on the production and the sharing of knowledge. In view of the above, it is sought to answer the following central questions: Do public innovation policies in the selected countries focus on the systemic approach to innovation and, as a consequence, focus on the sharing of knowledge among the different agents of the National Innovation System? Is the participation of public universities in Innovation Systems as acting agents acting in the production of knowledge better exploited? Does the role of the pubic university of production and socialization of knowledge be properly incorporated into public policies and indicators of innovation? From this perspective, a research of a qualitative nature, composed by the bibliographical and documentary research was developed, which subsidized the comparative study between the Brazilian and Spanish innovation policies that made up the research universe. For the analysis of the data collected in the universe researched, the 'Content Analysis' research method was applied, more specifically the 'Categorical Analysis' technique, whose categories were defined a posteriori. The categories of analysis established sought to cover and follow the path of knowledge produced in university in the contexts of the National Systems of Innovation of Brazil and Spain. As a result, the research verified that the National Innovation Systems of the analyzed countries are dedicated to consolidating a culture of innovation with focus on knowledge, are aligned with the systemic approach of innovation, which advocates the integrated action among the agents of the National Innovation System, and considers the university an important agent of knowledge production within the scope of the National Innovation System of the respective countries. However, the steps that follow the production and communication of scientific knowledge are neglected. Because it is necessary that the policies and indicators of Science, Technology and Innovation are also concerned with processes for the systematization, flows, appropriation and application of the knowledge produced by universities within the scope of National Innovation Systems.
Considerando que la generación de innovación es un factor primordial para el desarrollo económico y social de las naciones, que el conocimiento es un recurso fundamental para la generación de innovación; y que la universidad es un importante agente productor de conocimiento en el ámbito de los Sistemas de Innovación, la presente investigación tiene como objetivo general investigar las políticas públicas, las políticas institucionales de universidades seleccionadas y los indicadores de innovación en Brasil y España en lo que atañe la producción y el intercambio de conocimiento científico. Se parte de la hipótesis que la consolidación eficaz de un sistema nacional de innovación depende de la sistematización de políticas para la innovación que no se restrinjan a los programas de incentivo fiscal y ayudas financieras sino que se centren en todos los diferentes agentes del Sistema Nacional de Innovación, y en especial la actuación integrada entre ellos con foco en la producción y en el intercambio de conocimiento. En cuanto a lo anterior, se busca responder a las siguientes cuestiones centrales: ¿Las políticas públicas de innovación en los países seleccionados se basan en el enfoque sistémico de la innovación y, por consiguiente, enfocan el intercambio de conocimiento entre los diferentes agentes del Sistema Nacional de Innovación? La participación de las universidades públicas en el ámbito de SI como agentes de ejecución actuantes en la producción de conocimiento puede ser mejor explotada? ¿El papel de la universidad pública de productora y socializadora de conocimiento está debidamente incorporado en las políticas públicas e indicadores de innovación? En esa perspectiva, se ha delineado una investigación de naturaleza cualitativa, compuesta por investigación bibliográfica e investigación documental, que subsidió el estudio comparativo entre las políticas e indicadores de innovación brasileños y españoles que compusieron el universo de investigación. Para el análisis de los datos recolectados en el universo investigado se aplicó el método de investigación 'Análisis de Contenido', más específicamente la técnica 'Análisis Categorial', cuyas categorías fueron definidas a posteriori. Las categorías de análisis establecidas buscaron abarcar y recorrer el camino del conocimiento producido en la universidad en los contextos de los Sistemas Nacionales de Innovación de Brasil y España. Como resultado, la investigación verificó que los Sistemas Nacionales de Innovación de los países analizados se dedican a consolidar una cultura de innovación con foco en el conocimiento, están alineados con el enfoque sistémico de la innovación, que preconiza la acción integrada entre los agentes del Sistema Nacional de Innovación y vislumbran a la universidad como un importante agente productor de conocimiento en el ámbito del Sistema Nacional de Innovación de los respectivos países. Sin embargo, las etapas que suceden a la producción y comunicación del conocimiento científico se descuidan. Por lo que se hace necesario que las políticas e indicadores de Ciencia, Tecnología e Innovación se ocupen también de procesos para la sistematización, flujos, apropiación y aplicación del conocimiento producido por las universidades en el ámbito de los Sistemas Nacionales de Innovación.

Abstract The ability to absorb and use effectively FDI flows by countries to enhance their national productive systems is directly related to the degree of functioning of an economy’s national innovation system. We develop a heuristic NSI-FDI framework that proposed three types of NSIs (well functioning/strong, relatively well functioning, and weak) in relation with three types of corresponding FDI outcomes (High-end, Medium or Average, and Low-end). We then selected both large and small developing economies -- China, India, South Africa, Ghana, Ethiopia, Tanzania, and Zambia with both different NSIs and FDI flows. The countries were differentiated with respect to core differences in the types of NSIs. Using descriptive data we analysed the nature of FDI flows and their impacts or outcomes in these countries and showed that the characteristics of the NSI in these countries largely shaped the flow and the impact of FDI on these economies.

Since China embraced the “Open Door” policy in 1978, innovation has been an increasingly important factor for the Chinese economy. China is now the third largest country in the world league table of patent applications. China has also received large amounts of foreign direct investment, much of it from major Western innovative companies. In the earlier years of the Open Door policy, much of the involvement of Western companies was through joint ventures. International joint ventures are still important, and it is believed have substantially enhanced China's innovative capability. It is the contention of this research that there is a direct correlation between the arrivals of Sino-Western JVs and China's increased innovation capabilities. This is an important area of study as China moves towards becoming a developed economy. The gap in research at present is in applying innovation theory to China and to JVs. The thesis explores the contribution of Sino-Western JVs to the development of China's innovative capabilities. A model of the innovation process is developed, and eight important factors that are considered to enhance a company's innovative capacity, are derived from the model. The factors, expressed as propositions, are: 1: Becoming part of a wide innovative network in its industry 2: Taking part in an open innovation system in its industry 3: Relating closely to universities, and particularly their research laboratories 4: Relating closely to research institutions 5: Developing a social atmosphere conducive to innovation 6: Developing a strong strategic planning system with innovation as a focus 7: Having innovation as a primary objective of both partners at the outset of the joint venture 8: Focusing on developing intellectual property To investigate whether these propositions were accepted by Sino-Western joint ventures, 40 semi-structured interviews were conducted in ten international (Sino-western) joint ventures in China. In general the interviews provided support for the propositions. However, some reservations were expressed. Executives were reluctant to engage in open (collaborative) innovation, preferring to seek patents for developed intellectual property. They also perceived the main objective of the Western partners to be commercial success rather than innovation, although the Chinese partners were very much innovation-orientated. The research contributes to our understanding of the contribution of Sino-western JVs to the innovative capability of Chinese companies, and provides support for most of the propositions identified in the literature. Respondents remarked that most of the propositions would apply also to self-standing companies in China, and suggested that joint ventures could stimulate innovation in indigenous Chinese companies. In addition to providing a historical overview of the development of innovation in China, developing an innovation process model and testing it in the Chinese context, the thesis makes important policy and practical recommendations to Chinese organizations.

This thesis is focused on French innovation system and its outputs. The aim is to analyze innovation performance of France, as well as its innovation policy and to find out the meaning of the innovation system for French economy and its competitiveness. The thesis also includes a case study of a shareholder and presents his perspective. The first chapter explains basic definitions and innovation related terms and reviews innovation associated theories. The second chapter examines the French innovation system evolution and its performance based on statistical data. Moreover, the French innovation business conditions and an innovation policy will be discussed. Following the analysis of the French innovation system, the last chapter evaluates whether the target of reinforcing innovation capacity is met. At the same time, the third section presents a player of the system, Raise company, and its position within this innovation system.