Дисертації з теми "Technological spillover"

Knowledge plays an important role in economic growth. The role of technological knowledge significantly increased after the Industrial Revolution. Firms internalised technological knowledge in their R&D laboratories and placed knowledge creation in a central position in their business strategies. Both the stock and flow of technological knowledge and the tight interaction among science and engineering became indispensable to the competitive advantage of industry, as well as modern economic growth. Directing its attention to knowledge creation and spillover, this thesis scrutinises the development of semiconductor lasers from 1960 to 1990. The semiconductor laser became one of the most important developments in the optoelectronics industry underlying the drastic changes that took place during the last half of the twentieth century in information technology, and it has become the most widely used laser since the 1980s. Reviewing the optoelectronics industry in the U.S. and Japan, the Japan Technology Evaluation Center (JTEC) found that “Japan clearly led in consumer optoelectronics, that both countries were competitive in communications and networks, and that the United States held a clear lead in custom optoelectronics.” “Japan’s lead in high-volume consumer optoelectronics and related technologies gave it a dominant share of the overall global optoelectronics market.” This thesis explores how the patterns of comparative advantages emerged, which were indicated by the JTEC report. How did Japanese firms gain technological competitiveness in high volume product markets? How did the U.S. firms come to be competitive in niche markets? Through scrutinizing patent data, it examines the engineers’ network, mobility, and the pattern of technological choice in R&D competition. Introducing the two different types of knowledge--current technological domain specific knowledge and lateral utilization knowledge--it showed how different patterns of knowledge spillover emerged and resulted in the different paths of technological development in the U.S. and Japan. Based on the high star-engineers’ mobility and the well developed research network, the U.S. firms tended to spin off from their parent firms and targeted niche markets. Therefore, knowledge spillover emerged in the areas where semiconductor laser technology was applied and exploited to fill untapped markets. In contrast, the pattern of competition of Japanese firms induced knowledge spillovers to enhance the development of core semiconductor laser technology instead of exploiting niche product markets.

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.

The activities of research and development have been transforming our society for the last centuries and nowadays their importance is even greater due to the high level of technology required by all players in the economy. It is important to firms, since R\&D represents the key for profits in many growing sectors, such as the microelectronic, the automobile and the pharmaceutical ones; to customers, who have `modern' needs that can be satisfied only with high standards of technology, such as the need to be constantly online, as it is proved by the spreading of social media, to receive real-time information, and to use the internet to perform everyday-tasks, such as online shopping with home delivery; and to public institutions, since technological development may be an engine for growth and welfare improvements. It is no surprise that many economic papers, published mainly between the end of the 1980s and the beginning of the 2000s, have addressed the topic of R\&D from various perspectives and enriched our knowledge in this regard; a survey of such literature is not repeated here because is provided throughout the following chapters. More specifically with the present thesis I plan to contribute to the literature concerning the field of R\&D risk, that is the risk of conducting an R\&D investment without producing any innovation, from both private producers and social planner perspectives. Focusing on the private aspect, the possibility for a research activity to fail represents a negative factor able to decrease profits of firms, especially when the amount of investment in R\&D is considerably high. On the other hand many firms decide to embark on risky projects because they have greater potential in delivering ground-breaking innovations. In other words firms may be willing to take greater risk to obtain better innovations, at least to a partial extent; in fact a growing number of firms is forming research consortia with the objective to share the risk related to R\&D and to aim at major innovations. As for the social perspective, the government has a limited availability of public funds and should carefully address resources in a welfare-maximising way. It is common in the real world to dispense subsidies to researching firms in order to foster technological development and to obtain welfare gains. In particular governments may decide to grant subsidies to either safer research projects that have larger probability to produce an innovation or riskier projects which might deliver larger benefits to the population. It is the case for instance of the millions of dollars that governments invest into the pharmaceutical sector for the discovery of new medicines against dangereous deseases, which are worth investing even if a large share of the funded projects inevitably do not deliver the expected results. The present dissertation represents an opportunity to discuss these topics and other related to the activity of research and development. The approach followed in the thesis is theoretical since it is based on a benchmark model of industrial organization in which two firms operate in the same sector and compete à la Cournot over the quantity of a homogeneous good. At the pre-competitive stage producers can decide to invest in research and development, where the research output is an innovation that raises firm efficiency. A peculiarity of the model is the presence of technological spillovers: the investment of one firm is likely to benefit the rival, at least to a partial extent, due to the possibility of observing and replicating innovations. The incentive of firms to invest is thus lowered if the spillover rate is large, since the rival can free-ride on technological development and obtain a large benefit at no extra cost. To overcome this issue firms have the possibility to sign a cooperative agreement: in this case they form a research cartel and choose the level of investment to maximise the joint level of profits of cartel members. From this kind of model, largely adopted in the literature, it is possible to show that cartels are willing to invest more than non cooperative firms and thus are welfare-improving, provided that the spillover rate is sufficiently large. On the contrary if spillovers are low research cartels invest lower amount of resources and are welfare-reducing. In chapter 1 I add the element of research risk to the benchmark model. The R\&D activity needs not deliver an innovation to the firms, which thus face a certain risk level represented by the negative event of research failure. Hence there are two possible outcomes: the research activity produces either an innovation or nothing. Firms may select the optimal risk rate by choosing among different research projects, which thus differ in their `degree of ambition'. The trade-off for greater risk is represented by higher marginal returns: given the level of investment riskier projects might deliver better innovations and higher gains in efficiency. The focus of the chapter is the solution of such trade-off between R\&D risk and ambition for profit-oriented firms. I show that such solution depends on the presence of technological spillovers. In general they may serve as an insurance instrument to firms, which can implement a new technology even when own R\&D fails provided that the rival's is successful. If spillovers are sufficiently large, the insurance effect fosters the adoption of riskier research projects. However I show that this argument may be overturned when firms form a research cartel due to the impact of spillovers on investment: cooperative firms prefer to increase their level of investment when spillovers are large and thus are less keen to take greater risk, contrary to the previous expectation. Chapter 2 represents the natural evolution of chapter 1: I consider the optimal research project that a firm should undertake from the perspective of a social planner, thus the focus shifts from the private scope to the social one. This model develops upon the previous one by adding a government that sets subsidy policy to affect the decisions of the firms and obtain welfare improvements. In particular it may grant as many types of subsidy as the actions of the firms: one per unit of output supplied at the competitive stage and one per dollar of investment in R\&D conducted at the pre-competitive stage. In the paper I show that in the first-best scenario with high spillovers the government desires firms to develop riskier projects due to the spillover-insurance argument, which preserves the average level of efficiency in the industry. Conversely in case of low spillovers safer activities are more likely to be welfare-improving. In the second-best case, where output subsidies are not available to the government and the output level cannot be influenced towards efficient values, simulations suggest that riskier activities are likely to be welfare-maximising also when spillovers are low because they may foster efficiency and hence production. In chapter 3 I depart from the risk analysis to address strategic trade policy issues concerning research subsidies. The model is simplified relative to the ones adopted in chapter 1 and 2 by removing the element of R\&D risk, but is also enriched by the presence of two different countries, say home and foreign, that freely trade in the international market; such model may thus be suited to describe trade policy between two European countries. The main difference between the two countries is the degree of intervention of the respective social planners, because only the home government is allowed to conduct policy and to dispense research subsidies to the domestic firm so as to increase the domestic level of welfare. I explore the relationship between level of subsidy, degree of research cooperation and amount of international spillovers. In general a large level of international spillover is able to transfer knowledge from one country to another, so that the foreign firm may take advantage from the domestic subsidy. Moreover if the two firms sign an international cooperative agreement the domestic subsidy is likely to benefit the foreign firm because the home firm pursues cartelwide profits maximisation. In principle both elements may lower the effectiveness of research subsidy policy by the government. In the paper I show that the optimal level of research subsidy is always non-negative when the two firms carry their research activities in a non-cooperative fashion. When spillovers are large the incentive to invest in R\&D is so low that the government is willing to grant a positive subsidy even if it benefits foreign rivals. When firms form an international R\&D cartel instead the subsidy is positive only when the spillover rate is sufficiently low. On the other hand, if it is large the government may optimally raise an R\&D tax on the domestic firm which still maintains high level of efficiency due to international cooperation. As a consequence the presence of an international cartel is always welfare-maximising and its creation should be encouraged through suited policy. At the beginning and the end of each chapter I dedicate specific introduction and concluding remark sections. Moreover the reader may find a chapter-specific appendix to check assumptions and mathemetical methods.

Nella tesi si vogliono quantificare gli effetti dei provvedimenti governativi che vanno sotto il nome di “Piano Nazionale Industria 4.0:Acquisizione di Competenze e Investimenti Innovativi” sulla crescita economica attraverso la simulazione degli scenari di politica sul modello QUEST III-Italia modificato con la introduzione di equazioni che consentano di trattare il fenomeno dello “Skilled Biased Technical Change” (SBTC) e “innovazione di processo.” Il primo obiettivo viene raggiunto endogenizzando le quote di lavoratori occupati. La relazione ipotizzata è tale per cui la quota dei superstar workers e la quota dei non routinized skilled workers dipenda con una relazione logistica, e quindi crescente, dalle nuove idee. Al contrario, i routinized skilled workers costituiranno la categoria residuale e che quindi diminuisce all’aumentare delle nuove tecnologie. Questa categoria residuale è stata introdotta al fine di modellare la sostituibilità tra routinized skilled workers e tecnologie. Il secondo obiettivo viene raggiunto modellizzando la produttività del capitale fisico legata agli spillover delle nuove idee. La quota di nuove idee non coperta da brevetto, porta, attraverso gli spillover, ad una produttività totale del capitale fisico, maggiore del costo di acquisto del capitale fisico stesso. Tale produttività, influenza gli investimenti nell’equazione di accumulazione del capitale fisico, facendo sì che il valore del capitale fisico sia maggiore del suo costo d’acquisto. I principali risultati tratteggiano un contesto economico italiano di crescita seppur non sostenuta, e tale da allontanare l’Italia dal rischio di crescita zero. Il processo di crescita endogena esplica interamente il suo effetto solo nel lungo periodo, quando il capitale umano ha completato l’intero processo di formazione ed è effettivamente allocato nel settore di R&D e quando tutti gli effetti delle riforme governative hanno trovato attuazione. Dal lato dell’occupazione la crescita economica è frenata principalmente dalla mancanza di infrastrutture tali da sostenere il processo di formazione dei lavoratori previsto dal piano. Le nuove tecnologie non trovano terreno fertile dal lato delle competenze, e dal lato delle infrastrutture, con il risultato che questo potenziamento delle competenze porta solo nel lunghissimo periodo ad un aumento dell’occupazione altamente qualificata. Nel breve periodo le nuove tecnologie portano un insieme limitato di lavori low skilled complementari ad esse, che induce un aumento dell’occupazione low skilled, che decrementa a sua volta man mano che queste mansioni vengono automatizzate.
Abstract In this thesis, an attempt is made to evaluate the effects on growth of the National Plan Industria 4.0, the government set of policy measures articulated in two main policy frames known as Skill Achievements and Innovative Investments. The quantitative evaluation is performed through the simulation of policy scenarios within a modified version of the model QUEST III-Italy. Model changes have been implemented for enabling a more satisfactory treatment of the “Skill Biased Technical Change” (SBTC) and “Process Innovation”. The first aim is reached through the endogenization of the skill-shares of employed workers. In the relationship introduced the production of new ideas influences the share of superstar workers and the share of non-routinized skilled workers according a logistic relationship; while routinized skilled workers are allocated in a residual category that reduces as new technologies increase. This mechanism allows for the consideration of the substitutability between routinized skilled workers and technologies. The second aim has been reached modeling the spillover of the physical capital productivity. The share of new ideas not covered by patents is not included in the acquisition cost of physical capital, but provides, through spillovers, a total physical capital productivity higher than the acquisition cost of physical capital itself. This productivity affects investment in the physical capital accumulation equation, making the value of physical capital higher than its acquisition cost. The main results put in evidence a positive trend for the Italian economy so to move Italy out of the zero growth threat. The endogenous growth process entirely explicates its effect only in the long run when human capital has completed the education process and is really effective in R&D sector and when all the effects of government measures have been put in operation. From the employment point of view economic growth is reduced mainly by the lack of infrastructures to support the workers education process forecasted by the plan. New technologies can find their way both through the skills and through the infrastructures, with the result that this empowerment of skills leads to an increase in high skilled workers only in the very long run. In the short run new technologies will bring a limited set of other low skilled jobs, complementary to them, which induce to an increase in low skilled employment, which decreases when these skills will be digitalized.

Le relazione tra R&S e produttività in Italia è di crescente interesse. L'analisi effettuata utilizza dati settoriali per verificare la relazione tra R&D e produttività in Italia tra il 1991 e il 2002. I risultati ottenuti sono confrontati con quelli ottenuti sugli stessi 21 settori in Germania. Le principali conclusioni sono che l'elasticità del valore aggiunto al capitale tecnologico (deprezzato al 15%) è uguale a 0.14 in Germania e 0.04 in Italia, che in Italia il capitale tecnologico si deprezza più lentamente e che un ruolo decisivo è svolto dall'interazione tra quota di ricercatori e capitale tecnologico e dagli spillover
The relation between R&D and productivity in Italy is of increasing interest. The analysis carried out uses industry data in order to verify the relation between R&D and productivity in Italy between 1991 and 2002. The results obtained were compared to those obtained on the same 21 manufacturing and commercial industries in Germany. The main findings are that elasticity of value added to technological capital (depreciated at 15%) is equal to 0.14 in Germany and 0.04 in Italy, that in Italy technological capital depreciates more slowly and that a decisive role is played by interaction between share of researchers and technological capital and by spillovers.

Le relazione tra R&S e produttività in Italia è di crescente interesse. L'analisi effettuata utilizza dati settoriali per verificare la relazione tra R&D e produttività in Italia tra il 1991 e il 2002. I risultati ottenuti sono confrontati con quelli ottenuti sugli stessi 21 settori in Germania. Le principali conclusioni sono che l'elasticità del valore aggiunto al capitale tecnologico (deprezzato al 15%) è uguale a 0.14 in Germania e 0.04 in Italia, che in Italia il capitale tecnologico si deprezza più lentamente e che un ruolo decisivo è svolto dall'interazione tra quota di ricercatori e capitale tecnologico e dagli spillover
The relation between R&D and productivity in Italy is of increasing interest. The analysis carried out uses industry data in order to verify the relation between R&D and productivity in Italy between 1991 and 2002. The results obtained were compared to those obtained on the same 21 manufacturing and commercial industries in Germany. The main findings are that elasticity of value added to technological capital (depreciated at 15%) is equal to 0.14 in Germany and 0.04 in Italy, that in Italy technological capital depreciates more slowly and that a decisive role is played by interaction between share of researchers and technological capital and by spillovers.

This thesis is composed by three studies, whose common goal is advancing our knowledge of the properties of cross-country production technologies In the first part we focus on across-country inequality, tackling the issue of cross-country dispersion of incomes. The objective of growth theory is that of explaining the observed shape of the world income distribution (WID) and to eventually predict its future evolution. The existence of large cross-country productivity differences, measured by the residual dispersion of incomes left unexplained by the dispersion of observable quantities (physical and human capital), calls for the rejection of the hypothesis of a common world technology. We introduce a novel specification of the technology index, linking productivity to cross-country knowledge spillovers, that is empirically testable and has the potential to account for the observed pattern of productivity differences. We investigate two possible knowledge spillovers structures in a dynamic general equilibrium framework, and we characterize the equilibrium or long-run WID for each of them. We show that with appropriate technology knowledge spillovers, in which each country extracts useful knowledge only from countries operating similat technologies, the long-run WID is in general clustered and the world economy is splitted in distinct technological neighbourhoods, giving a possible explanation for the endogenous formation of convergence clubs. With backward knowledge spillovers, where the technology diffusion process is blocked by barriers to technology adoption measured by the aggregate capital intensity of an economy, the shape of the long-run WID is controlled by the strenght of the spillovers force and the degree of increasing returns of the world economy. We show that an increase of the spillovers force always amplifies the dispersion of the equilibrium WID and that growth and inequality are negatively related: the less dispersed the WID, the higher the equilibrium world rate of the world economy. In the second part we analyse the pattern of cross-country productivity differences and we test the specification of the technology index introduced in the first part. In particular we test the knowledge spillovers structures introduced in the first part over two dimensions: their ability to explain static observed cross-country productivity differences at a point in time and their consistency with the shape of the observed world income distribution. Using regression analysis to calibrate the fundamental parameters of our specification, we show that both appropriate technology and backward spillovers can explain over half of the observed productivity differences, but backward spillovers are more successful in replicating the actual shape of the WID. In the third part we tackle the issue of within-country inequality, as measured by the skill premium, the wage of skilled workers relative to that of the unskilled. We study the ability of the capital-skill complementarity hypothesis (CSC), that assumes that capital substitutes unskilled labor more easily than skilled labor, to explain observed cross-country dispersion of the skill premium. We perform a steady-state analysis, novel to the literature about CSC, linking steady-state skill premia to the relative supply of unskilled labor and to observables that control the capital accumulation process (saving rates and barriers to capital accumulation, measured by the relative price of investments). We show that CSC holds in non-OECD countries but not in the OECD subsample, reinforcing a result obtained by other studies with different techniques: this result also show a fundamental cross-country parameter heterogeneity in the production function. As a by-product of our steady-state analysis we are also able to obtain new estimates for the elasticity of substitution between couples of inputs and to discriminate between alternative thresholds for the definition of skilled labor with respect to their consistentcy with plausible values of these elasticities. Finally, the fact that observable quantities are able to explain only a limited share of cross-country dispersion of skill.premia suggests that cross-country skill-biased technology differences are at work, and capital accumulation alone cannot explain neither income differences nor cross-country differences in inequality.

Diese Dissertation umfasst sowohl einen theoretisches als auch einen empirischen Beitrag zur Analyse der Messung der gesamten Faktorproduktivität (TFP). Das erste Kapitel inspiziert die bestehende Literatur über die häufigsten Techniken der TFP Messung und gibt einen Überblick über deren Limitierung. Das zweite Kapitel betrachtet Daten, die durch ein Real Business Cycle Modell generiert wurden und untersucht das quantifizierbare Ausmaß von Messfehlern des Solow Residuums als ein Maß für TFP Wachstum, wenn der Kapitalstock fehlerhaft gemessen wird und wenn Kapazitätsauslastung und Abschreibungen endogen sind. Das dritte Kapitel schlägt eine neue Methodologie in einem bayesianischen Zusammenhang vor, die auf Zustands- Raum-Modellen basiert. Das vierte Kapitel führt einen neuen Ansatz zur Bestimmung möglicher Spill-over Effekte auf Grund neuer Technologien auf die Produktivität ein und kombiniert eine kontrafaktische Zerlegung, die von den Hauptannahmen des Malquist Indexes abgeleitet wird mit ökonometrischen Methoden, die auf Machado and Mata (2005) zurückgehen.
This dissertation consists of theoretical and empirical contributions to the study on Total Factor Productivity (TFP) measurement. The first chapter surveys the literature on the most used techniques in measuring TFP and surveys the limits of these frameworks. The second chapter considers data generated from a Real Business Cycle model and studies the quantitative extent of measurement error for the Solow residual as a measure of TFP growth when the capital stock is measured with error and when capacity utilization and depreciation are endogenous. Furthermore, it proposes two alternative measurements of TFP growth which do not require capital stocks. The third chapter proposes a new methodology based on State-space models in a Bayesian framework. Applying the Kalman Filter to artificial data, it proposes a computation of the initial condition for productivity growth based on the properties of the Malmquist index. The fourth chapter introduces a new approach for identifying possible spillovers emanating from new technologies on productivity combining a counterfactual decomposition derived from the main properties of the Malmquist index and the econometric technique introduced by Machado and Mata (2005).

The overall purpose of this thesis is to investigate the determinants of technological change in the renewable energy sector, with a special emphasis on the role of knowledge spillovers and convergence across countries. The thesis consists of a preface and five self-contained papers. In Paper I technological change is broken down into the three major development stages laid out by Joseph Schumpeter: invention, innovation and diffusion. Econometric models of each of these stages are specified in the empirical context of wind power. The models are estimated employing a panel dataset consisting of eight western European countries over the time period 1991-2008. The results display evidence of national and international knowledge spillovers in the invention (i.e., patenting) model. The results from the technology learning models indicate evidence of global learning-by-doing, and that the prices of input factors have been important determinants of wind power costs. In line with previous research, the diffusion model results show that investment costs have influenced the development of installed wind power capacity. Paper II investigates how wind power inventions in European countries have affected the technological development achievements in neighboring countries. Data on the number of patents granted at the European Patent Office (EPO) during the period 1978-2008 in the eight technologically leading wind power countries in Europe are employed in a patent production function framework. The presence of international knowledge spillovers is found to constitute a statistically significant determinant of a country’s patent production. Geographical distance is also taken into consideration, and the results suggest that knowledge spillovers are subject to spatial transaction costs: with longer distances the role of international spillovers becomes weaker. Paper III investigates the convergence of inventive capabilities in the EU. Data on total patents per capita in 13 EU countries over the period 1990-2011 are analyzed using both parametric and non-parametric techniques. Converging inventive abilities may be important for the future of the EU given that rapid technological change has resulted in major structural changes in the Member States’ economies during the last decades. The β-convergence and σ-convergence tests suggest convergence in inventive capabilities, and this finding gains some support when analyzing the intra-distributional dynamics of the invention capabilities. Paper IV specifically investigates whether the generation of renewable energy patents per capita has converged or diverged across 13 EU countries over the period 1990-2012. The results indicate the presence of conditional β- and σ-divergence in renewable energy invention abilities. This could be critical for assessing the future prospects of EU policy in the renewable energy field; divergence in terms of invention outcomes could imply a less rapid and yet more expensive goal fulfillment due to free-rider behavior and sub-optimal investment levels. Finally, Paper V tests for convergence/divergence based on countries’ public spending to renewable energy R&D. The empirical analysis focuses on the presence of conditional β-convergence across 13 EU countries over the period 1990-2012. The results suggest divergence in public R&D-based knowledge accumulation, and this is consistent with free-riding behavior on the part of some EU Member States. Energy import dependence and electricity deregulation also affect this divergence pattern. For instance, the higher the energy import dependence, the lower is the speed of divergence across the EU countries in terms of public R&D support. Overall, the diverging pathways in terms of both public R&D and private patenting efforts may raise concerns about an unfair burden-sharing in terms of renewable energy development efforts.

La presente tesis contiene tres ensayos sobre las estrategias empresariales de I + D y sobre la adaptación de estándares tecnológicos bajo diferentes estructuras de mercado. Los dos primeros capítulos contribuyen a la literatura sobre innovación empresarial. El tercer capítulo contribuye a la literatura sobre la adopción de estándares tecnológicos. Cada capítulo puede considerarse independientemente del resto. Capítulo 1 investiga empíricamente cómo las empresas eligen sus estrategias de I + D en función de las características propias de las empresas y de los parámetros externos del mercado, centrándose en el impacto de la protección de la propiedad intelectual y en el grado de competitividad de los mercados. Se consideran tres estrategias de I + D: abstenerse de innovar, imitar e innovar. El análisis se basa en datos de empresas alemanas de los sectores manufactureros y servicios correspondientes al año 2005. El presente estudio es novedoso en tres aspectos. En primer lugar, se analizan la elección estratégica empresarial de I + D, distinguiendo entre estrategias de innovación e imitación. Por lo tanto, se emplea un modelo de elección discreta (regresión logística estereotípica). En segundo lugar, incluimos variables explicativas que no fueron considerados de manera conjunta en los estudios anteriores. Estas variables son las características internas de las empresas y parámetros externos del mercado, concretamente, la intensidad de protección de la propiedad intelectual, la presión competitiva medida por el número de competidores y el grado de la diferenciación del producto. Hasta ahora ningún estudio ha investigado cómo la protección de la propiedad intelectual y la presión competitiva afectan a la elección estratégica empresarial de I + D. Además, no se ha prestado atención a las complementariedades potenciales existentes en los efectos del nivel de protección de la propiedad intelectual y la presión competitiva considerados en conjunto en la elección de las empresas para innovar e imitar. En tercer lugar, se amplía el análisis de la elección estratégica empresarial de I + D a nivel de la industria, proporcionando robustez y comprobando los resultados obtenidos a nivel de empresa con un modelo de datos de conteo (regresión binominal negativa). Para investigar los factores determinantes de las decisiones de las empresas sobre las estrategias de I + D, se aplican los datos de la encuesta sobre innovación MIP (Mannheim Innovation Panel). Esta encuesta se llevó a cabo por el Centro para la Investigación Económica Europea (ZEW) anualmente. Se cubre una muestra representativa de las empresas alemanas en los sectores manufactureros y de servicios durante el período 1995-2007. Los datos incluyen información con respecto a la introducción de nuevos productos, servicios y procesos de innovación por las empresas. La base de datos tiene la estructura transversal de forma que las preguntas de la encuesta se difieren entre las ondas de la encuesta. Debido a que sólo la encuesta de innovación 2005, que es la onda 13 de la MIP, proporciona los datos necesarios que se utilizarán para el fin de este estudio. En dicha encuesta, las empresas les preguntan sobre los factores internos y externos que afectan a su comercialización y las decisiones de innovación durante el período 2002-2004. La muestra cubra las empresas con 5 o más empleados. Las probabilidades de ser escogidas para las empresas son desproporcionadas con las cuotas más altas de las grandes empresas, las empresas de Alemania del Este y de los sectores con una alta variación en la productividad laboral. Para el análisis a nivel de industria, adicionalmente, se utilizan los datos proporcionados por la Monopolkomission (Alemania). Los resultados demuestran que la eficiencia de la protección por patentes afecta positivamente a la innovación y la imitación para cualquier nivel de presión competitiva, excepto en el caso de los mercados con pocos competidores. En los mercados con pocos competidores la protección de patentes incrementa los incentivos a la innovación (mediante la introducción de novedades al mercado) y disminuye los incentivos de las empresas para la imitación (la introducción de mejoras en los productos ya existentes). Por último, en los mercados donde las empresas tienen un poder casi monopolístico, un aumento de la protección de patentes aumenta la introducción de productos mejorados (es decir, la imitación) más que la introducción de nuevos productos (es decir, la innovación). Una disminución en la presión competitiva de muchos a pocos competidores afecta positivamente a la propensión de las empresas a mejorar los productos ya existentes e introducir novedades al mercado. Este efecto varía según la eficacia la protección de patentes. Cuando la protección de patentes es baja, la innovación y la imitación aumentan, mientras que cuando la protección de patentes es alta, se reduce la imitación y la innovación crece. Una disminución adicional de la presión competitiva desde un número reducido de competidores hacia el monopolio disminuye la innovación y favorece la imitación. El análisis de las decisiones estratégicas de las empresas sobre I + D a nivel de industria proporciona apoyo a las conclusiones obtenidas a nivel de empresa. Este trabajo se relaciona con varios estudios teóricos. Los resultados manifiestan a favor de Boldrin y Levine (2008) que argumentan que la protección de propiedad intelectual es un buen mecanismo para potenciar la innovación. El presente trabajo va más allá analizando cómo este efecto depende del nivel de competencia con que se enfrentan las empresas. Frente a Vives (2008), la evidencia empírica sobre las empresas alemanas sugiere que un aumento en el tamaño del mercado tiene un efecto positivo no ambiguo sobre la introducción de nuevos productos. Por último, los resultados contradicen a los resultados teóricos de Zhou (2009). En su estudio el uso del marco oligopolio estándar muestra que la competencia se intensificó medido por un aumento en el número de competidores siempre amortigua la innovación. En virtud de un nivel moderado de competencia, débil protección de la propiedad intelectual (o un alto nivel exógeno de spillovers) aumenta los incentivos de las empresas para innovar. Esto podría deberse al hecho de que en Zhou (2009), el modelo no tiene en cuenta los posibles cambios en las estrategias de I + D elegidas por las empresas (innovación y la imitación) cuando se hace más rentable cambiar la estrategia actual. Cuando el nivel de spillovers es elevado (o el nivel de protección de la propiedad intelectual es bajo), las empresas anteriormente innovadoras pueden encontrar más rentable pasar a la imitación, aumentando la competencia entre los imitadores. Al contrario de Zhou (2009), el presente trabajo concluye que un pequeño número de competidores puede estimular tanto los innovadores de producto como imitadores. Eso significa que la protección de la propiedad intelectual en gran medida afecta la propensidad de las empresas a innovar y, de forma indirecta, tiene un pequeño efecto positivo estimulando la mejora del producto por imitadores debido al aumento de la actividad de los innovadores. Por lo tanto, debido a los efectos de la presión competitiva y protección de la propiedad intelectual, es importante a la hora de desarrollar el modelo de innovación e imitación enfocar estrategias de I + D como la elección endógena por las empresas. Los resultados del presente estudio sugieren mirar más allá de la suma total de gastos de I + D en el análisis del rendimiento innovador de la industria. La razón es que las empresas eligen las estrategias de I + D que a su vez influyen al rendimiento global innovador de las industrias. Además, el presente análisis deriva una relación entre la política de protección de derechos de propiedad intelectual y la política de competencia. Las dos políticas deben estar estrechamente coordinadas porque protección de derechos de propiedad intelectual y la presión competitiva en conjunto afectan las decisiones estratégicas de las empresas sobre I + D. Con el fin de proporcionar un fundamento teórico para la evidencia empírica observada en el caso de las empresas alemanas, el capítulo 2 asume que las elecciones estratégicas de las empresas sobre I + D son endógenas y dependen de las características internas de las empresas y de los factores externos de mercado. Este trabajo está relacionado con una gran cantidad de literatura sobre la relación entre la estructura del mercado y la estrategia de innovación. Específicamente, se relaciona con las dos líneas de investigación. La primera línea analiza cómo las inversiones de I + D de las empresas se ven afectadas por la competencia en el mercado. Trabajos pioneros en este campo son los de Schumpeter (1934 y 1942), quien sostiene que, por un lado, la presión del mercado puede fomentar la innovación de las empresas. Pero, por otro lado, la presión del mercado también puede disminuir las inversiones de I + D de las empresas, porque el poder de monopolio de las grandes empresas actúa como un acelerador importante del progreso tecnológico. En realidad, todavía no existe un acuerdo en este debate Schumpeterian en los estudios teóricos y empíricos. Por ejemplo, algunos autores sostienen que la competencia en el mercado más intensiva disminuye los incentivos de una empresa para la innovación, porque cuando las ventajas de la innovación son temporales, sólo el poder de mercado suficiente garantiza que las empresas inviertan en I + D (Arrow, 1962; Futia, 1980; Gilbert y Newbery, 1982; Reinganum de 1983, o Zhou, 2009). Este argumento se apoya en estudios empíricos que encuentran que la concentración del mercado aumenta el ritmo del cambio innovador. Por ejemplo, Henderson y Cockburn (1996) muestran que las grandes empresas de la industria farmacéutica de los EE.UU. realizan I + D más eficiente, ya que pueden disfrutar de economías de escala y alcance. Utilizando los datos de patentes de las empresas manufactureras del Reino Unido, Cefis (2003) encuentra que, debido al esfuerzo innovador, la contribución de las grandes empresas al rendimiento industrial agregado está por encima del promedio industrial. Por otro lado, también se argumentó que la concentración de mercado tiene un efecto moderador sobre la innovación porque la competencia más intensa actúa como un incentivo importante para que las empresas innoven (Dasgupta y Stiglitz, 1980). Una vez más, este argumento teórico esta apoyado por la evidencia empírica (Geroski, 1990;. Blundell et al, 1999). Estos resultados contradictorios condujeron a la hipótesis de que el efecto de la competencia en el mercado sobre el esfuerzo innovador de las empresas es no monótono. Por ejemplo, Boone (2000) encuentra que cuando la competencia es débil, aumentan los incentivos de las empresas menos eficientes para innovar. Sin embargo, cuando la competencia se hace más intensa, los incentivos de las empresas eficientes para innovar crecen. Aghion et al. (2005) sugieren la existencia de una relación de U-inversa. Ambos, un nivel alto o bajo de la competencia ofrecen pocos incentivos para innovar, mientras que un nivel medio de competencia fomenta la innovación de las empresas que operan en un nivel tecnológico similar. Por el contrario, Tishler y Milstein (2009) encuentran que las inversiones en I + D disminuyen con la presión de la competencia. Sin embargo, en un cierto nivel de competencia de las empresas empiezan a participar en las guerras de I + D y gastan excesivamente en I + D. Nuestros resultados también indican una relación no monótona y ponen de relieve la importancia de factores tales como la protección de la propiedad intelectual y la diferenciación de los productos junto con el efecto de los cambios en la presión competitiva sobre la innovación. La segunda parte de la literatura a la que se refiere el presente estudio son los estudios que, contrariamente a la literatura anterior que asume que todas las empresas son innovadoras, permiten la heterogeneidad de las estrategias de I + D empresarial mediante la distinción entre las empresas que innovan y las que imitan a los innovadores. La evidencia empírica sugiere que la mayoría de los mercados se caracterizan por una elevada heterogeneidad de las actividades de I + D. Por lo tanto, en la mayoría de los mercados nos encontramos con un núcleo de empresas que son innovadoras persistentes mientras que otras empresas o bien son innovadoras o imitadoras ocasionales (Cefis y Orsenigo, 2001; Cefis, 2003). Czarnitzki et al. (2008) encuentran que, dependiendo del papel de la empresa en el mercado, la presión competitiva podría tener un efecto diferente sobre su esfuerzo innovador. Por ejemplo, mientras que la presión de entrada disminuye la inversión de la empresa promedia, aumenta el esfuerzo innovador de las líderes del mercado. En los estudios teóricos (Grossman y Helpman, 1991; Aghion y Howitt, 1992; Zhou, 2009), la imitación se muestra a fomentar la actividad innovadora de los líderes tecnológicos. Este hallazgo desafía la visión común de que la protección de patentes debe ser fortalecida. De hecho, algunos estudios sostienen que la fuerte protección de la protección de patentes puede ralentizar el desarrollo de los países y disminuir el bienestar mundial y el excedente del consumidor (Helpman, 1993; Bessen y Maskin 2009; Che et al, 2009;. Fershtman y Markovich, 2010). Además, Braguinsky et al. (2007) encontraron que la relación entre la innovación y la imitación en sí depende de otros factores como la madurez de una industria. Cuando la industria es joven y pequeña, los innovadores no tienen incentivos para evitar la imitación. Pero cuando la industria se expande, el esfuerzo innovador se reduce debido a la presión de imitación. Los resultados de este trabajo contribuyen a esta literatura en primer lugar, al mostrar cómo las diferentes características del mercado dan lugar a diferentes configuraciones de innovador / imitador. En segundo lugar, los resultados muestran que un aumento de protección de los patentes puede tanto aumentar como disminuir el bienestar social en función de las características de los mercados subyacentes. Este resultado reconcilia los puntos de vista que se enfrentan sobre el papel de la fuerza de protección de patentes. En el análisis derivado las empresas eligen entre dos estrategias, o bien invertir en I + D o abstenerse de I + D propia y imitar los resultados de los innovadores. Esto planteamiento produce tres tipos de equilibrio: o todas las empresas innovan, o algunas empresas innovan y otras imitan, o todas las empresas se abstienen de la innovación. En equilibrio las estrategias de las empresas dependen crucialmente de los factores externos del mercado. El análisis indica que la eficiencia de la protección de la propiedad intelectual afecta positivamente a los incentivos de las empresas para que inviertan en I + D, mientras que la presión competitiva excesiva tiene un efecto negativo. Además, las empresas más pequeñas son más propensas a ser imitadoras cuando el producto es homogéneo y el nivel de spillovers es elevado. En cuanto al bienestar social, los resultados indican que el fortalecimiento de la protección de la propiedad intelectual puede tener un efecto ambiguo. En los mercados que se caracterizan por una alta tasa de innovación, una reducción de la protección de la propiedad intelectual puede desalentar el desempeño innovador sustancialmente. Sin embargo, una reducción de la protección de los patentes también puede aumentar el bienestar social, ya que puede inducir a la imitación. Esto indica que cuestiones políticas, tales como la duración óptima y la amplitud de la protección de los patentes no pueden resolverse sin tener en cuenta el mercado específico y características de las empresas. La implicación principal para políticas derivada del nuestro análisis es que una política común de protección de los patentes para todos los mercados podría ser inadecuada. Esto se debe a que una política beneficioso para un determinado tipo de mercado podría desalentar la innovación y el progreso tecnológico en otro mercado con distintas características. El análisis de los efectos indirectos sobre el bienestar social muestra que una reducción de la protección de los patentes, destinada a inducir la imitación, puede desalentar a los resultados en innovación sustancial en los mercados que se caracterizan por una alta tasa de innovación. Entonces, una reducción adicional de protección de los patentes induce más la imitación y aumenta el bienestar. Sin embargo, después de un cierto punto, la reducción de la protección de patentes completamente desalienta la innovación y por lo tanto reduce el bienestar social. Por otra parte, una política de protección de derechos de propiedad intelectual debe estar estrechamente coordinada con la política de competencia. Esto se debe a parámetros externos tales como protección de los patentes y la presión competitiva conjuntamente afectan las estrategias de I + D escogidas por las empresas. Aparte de la protección de propiedad intelectual, la adopción de tecnologías emergentes ha sido una gran preocupación y ha ganado mucha atención de los responsables políticos. Los grandes fondos se destinan a fin de mejorar los incentivos de las empresas para la adopción de costosas tecnologías emergentes. La principal preocupación de los responsables políticos son mercados con externalidades, como el impacto ambiental o la seguridad nacional. En muchos casos, los productos en estos mercados son bienes del sistema (“system goods”). Esto significa que los consumidores derivan el valor de todo el sistema de componentes (como por ejemplo, sistemas de carga y vehículos mutuamente compatibles, o hardware y software). El conjunto de componentes que son compatibles uno con el otro está determinado por elecciones de los estándares tecnológicos de las empresas. Sin embargo, una vez hay un estándar tecnológico establecido, la transición a tecnologías más avanzadas esta a menudo obstaculizada por varias razones. En primer lugar, puede haber una diferencia entre el coste de producción de una establecida y un nivel tecnológico superior. Por ejemplo, las empresas pueden tener compromisos previos que elevan los costes de producción en caso de cambio a un nivel diferente, lo que hace que la adopción de una norma tecnológica superior no rentable. En segundo lugar, una vez que hay un estándar tecnológico establecido, las empresas pueden participar suficientemente en el desarrollo de otras tecnologías potencialmente superiores. Por lo tanto, la adopción y el desarrollo de nuevas tecnologías y productos en los mercados de productos de sistemas a menudo dependen de la intervención pública. El capítulo 3 deriva un modelo para los mercados con productos que constituyen un sistema (se consumen juntos) y que tienen estándares tecnológicos diferentes, un estándar establecido y uno superior. El estándar ya establecido incurre en menores costos unitarios de producción que el estándar superior, pero causa una externalidad negativa. A falta de intervención política, con un estándar tecnológico establecido las empresas no tienen incentivos para adoptar el estándar superior. Por lo tanto, el presente trabajo compara los efectos de los subsidios para la reducción de costes directos e indirectos en mercados con productos de sistema en la presencia de externalidades. Se indican las condiciones óptimas para los subsidios en función de la diferencia de costes entre los dos estándares, del impacto de la externalidad y de la dependencia de los consumidores de una tecnología determinada. Si la decisión de compra por los consumidores se realiza antes de que se determinen los precios de uno de los componentes del sistema, la intervención política es deseable sólo cuando el impacto de la externalidad no es menor que la diferencia de coste entre las normas. Entonces, si el efecto de la externalidad es relativamente similar a la diferencia de costes entre los estándares tecnológicos, un subsidio directo sólo al primer adoptante de la tecnología superior es óptimo para incentivar la transición al estándar tecnológico superior. Además, cuanto mayor es la externalidad, mas adoptadores de la tecnología deben recibir las subvenciones. Esto significa que en el caso de los subsidios directos, todos los adoptadores de la tecnología deben recibir una subvención igual a la diferencia de coste entre los estándares. La comparación entre los subsidios directos e indirectos sugiere que cuando la diferencia de coste entre el nivel tecnológico es alta y la externalidad es baja o intermedia, los subsidios directos son socialmente preferibles. Cuando el coste de la externalidad es alto y la diferencia de coste entre los estándares es baja, los subsidios directos e indirectos funcionan igualmente. Sin embargo, debido a que el subsidio indirecto óptimo es mayor que el subsidio directo, el subsidio directo conduce a un mayor bienestar social. Por último, si los consumidores realizan la decisión de compra después que los precios de todos los componentes del sistema se conocen los efectos de las subvenciones directas e indirectas son iguales. En este caso, si la diferencia del coste de producción es baja, el primer adoptante de la tecnológica superior podría tener incentivos naturales para adoptar la tecnología superior. Esto significa que la adopción de la tecnología superior implica un menor coste para la sociedad. Si la diferencia de coste de producción es alta, la adopción requiere ambas subvenciones, directas y indirectas. Por otra parte, el subsidio al segundo adoptante es mayor que el subsidio al primer adoptante. Estos resultados se suman a la discusión sobre la elección entre los subsidios directos e indirectos. Para ilustrar esto, nos centramos en los casos de Brasil y de los EE.UU. En Brasil, como resultado de la implementación subsidios indirectos, para el año 1990, el 90% de los vehículos fabricados utilizan tecnología que permite a cargar los vehículos por el biocombustible. Sin embargo, según los resultados de este trabajo, esta forma de adopción de tecnología es más costosa para la sociedad, en presencia de los consumidores dependientes de la tecnología, es decir, si los consumidores son, a priori, obligados acudir a la tecnología establecida o superior. Por ejemplo, en este caso, los subsidios indirectos pueden ser menos eficaces porque en el principio de adopción de tecnología los consumidores están condicionados en su elección del coche por la disponibilidad de toda la infraestructura relacionada (carga y estaciones de servicio, aparcamientos) en su área urbana. Por el contrario, cuando la infraestructura para ambas tecnologías está instalada y el consumidor puede tomar su decisión de compra después de que los precios de todos los componentes son conocidos, los dos tipos de subvenciones tienen el mismo efecto. En los EE.UU., los fueron preferidos los subsidios directos a los fabricantes de automóviles. De acuerdo con nuestros resultados, esta es la solución más óptima en el comienzo de la adopción de tecnología superior. Sin embargo, una vez que la infraestructura de ambas tecnologías está instalado (en otras palabras, en ausencia de los consumidores "adherencia" a la tecnología), los subsidios indirectos a los productores de tecnologías de energía limpia (biocombustibles, la generación de electricidad) también deben ser implementadas. Del mismo modo, la importancia de las subvenciones indirectas se espera que crezca en la UE. Recientemente, el debate se inició con respecto al despliegue de la infraestructura de recarga en toda Europa. Los resultados de este estudio se discuten en el contexto de la elección de subvención óptima para mejorar el rendimiento del medio ambiente en los mercados de bienes del sistema. Sin embargo, estos resultados proporcionan un fundamento para la elección subsidio óptimo en una serie de mercados que comparten estructura de mercado similar en presencia de externalidades relacionadas con la tecnología, tales como, por ejemplo, la seguridad nacional. Los resultados del modelo se han presentado en el contexto de la elección del subsidio óptimo para mejorar el desempeño ambiental en los mercados de bienes del sistema. Sin embargo, estos resultados proporcionan un fundamento para una amplia variedad de políticas. Un problema similar surge en la adopción de tecnología en las industrias relacionadas con la seguridad nacional. Los componentes de los sistemas son producidos por una serie de empresas públicas y privadas. Por lo general, las empresas públicas elaboran la arquitectura básica del sistema (hardware), mientras que algunos de los componentes externos son proporcionados por las empresas privadas. En esta interacción las empresas privadas necesitan incentivos para la transición a una nueva tecnología. Por ejemplo, los servicios de navegación por satélite han sido habilitados por el equipo de GPS. Muchas empresas privadas proporcionan un número de aplicaciones que utilizan la señal de GPS. Por lo tanto, hoy en día, el mercado mundial de navegación por satélite es dominado por GPS, que está bajo el control militar de los EE.UU. Para la economía europea el sector de servicios de navegación por satélite se ha vuelto muy importante (alrededor del 7% del PIB de la UE en 2009) y se espera que crezca. Por lo tanto, con el fin de proporcionar la independencia de Europa en la navegación por satélite fue lanzado el proyecto Galileo. El uso de Galileo genera una serie de externalidades positivas por razones económicas y de seguridad. Por lo tanto, el gobierno nacional con el objetivo de promover una GNS nacional debe ofrecer incentivos a los productores de aplicaciones para cambiar al estándar tecnológico nacional, por ejemplo, sustituir los chipsets de GPS por Galileo en los teléfonos celulares. Esto podría elevar los costos como un mayor desarrollo de dispositivos y aplicaciones que se necesita para explorar mayores posibilidades de precisión de Galileo. Para proporcionar a las empresas con incentivos a una mayor colaboración e la I + D pueden ser aplicados los dos enfoques. En primer lugar, el contrato entre la entidad pública y las empresas privadas se puede mejorar para provenir les las condiciones más favorables que con el GPS. En segundo lugar, las subvenciones directas se pueden aplicar a las empresas privadas por la adaptación del estándar Galileo. Con el fin de elegir entre las dos políticas, las externalidades positivas y la diferencia del coste entre las dos tecnologías, y el efecto “compromiso” de los consumidores deben ser considerados. Los "menos optimistas" estimaciones teniendo en cuenta los posibles impactos de la crisis económica sugieren que los beneficios totales acumulados procedentes de Galileo durante el período 2008-2030 serían de entre € 55 y € 62 ter. Los consumidores de GNS aplicaciones basadas pueden estar comprometidos con el uso del sistema nacional debido a razones políticas. En este caso, debido a que la externalidad positiva se estima como muy alta, y la diferencia del coste es relativamente pequeña, nuestros resultados sugieren que sería socialmente óptimo para subvencionar empresas que producen aplicaciones basadas en Galileo, es decir, utilizan una subsidio directo.

Questa tesi e’ composta da cinque articoli sui temi dell’innovazione, diffusione e adozione di tecnologie energetiche efficienti. Il primo capitolo presenta una rassegna della letteratura empirica sulle dinamiche del cambiamento tecnologico in campo ambientale. Il secondo capitolo studia le piu’ importanti determinanti del flusso di conoscenza. Il terzo capitolo identifica le maggiori determinanti di domanda e offerta dell’innovazione, con particolare attenzione al ruolo della conoscenza internazionale. I risultati presentati mostrano come gli spillover di conoscenza favoriscano ulteriori innovazioni. I capitoli quarto e quinto studiano il settore di produzione dell’energia elettrica. Il capitolo quarto presenta un database di brevetti in technologie energetiche efficienti. Il capitolo quinto studia le determinanti dell’efficienza energetica nella produzione di energia elettrica da fonti fossili, con particolare attenzione al ruolo della tecnologia.
This dissertation is a collection of essays on innovation, diffusion and adoption of energy technologies. Chapter 1 presents a state-of-the art review of empirical contributions on TC dynamics as applied to eco-innovation. Chapter 2 explores the main determinants of knowledge flows and how they favor or hinder the flow of knowledge across border. Both geographical and technological distance hinder the flow of eco-knowledge. Chapter 3 identifies the main demand and supply-side determinants of innovation, with particular attention to the role of foreign knowledge. I point to the importance of knowledge spillovers in fostering further eco-innovation, especially in countries with medium to low innovative abilities. Chapters 4 and 5 focus on TC in the electricity sector, a main contributor to GHG emissions. In Chapter 4 presents the data selection process used to identify patents in efficient fossil electricity technologies and provides a worldwide analysis of innovation trends in these technologies. Chapter 5 studies the evolution of energy efficiency in fossil-fuel based electricity production, devoting particular attention to the contribution of knowledge to production efficiency.

Questa tesi e’ composta da cinque articoli sui temi dell’innovazione, diffusione e adozione di tecnologie energetiche efficienti. Il primo capitolo presenta una rassegna della letteratura empirica sulle dinamiche del cambiamento tecnologico in campo ambientale. Il secondo capitolo studia le piu’ importanti determinanti del flusso di conoscenza. Il terzo capitolo identifica le maggiori determinanti di domanda e offerta dell’innovazione, con particolare attenzione al ruolo della conoscenza internazionale. I risultati presentati mostrano come gli spillover di conoscenza favoriscano ulteriori innovazioni. I capitoli quarto e quinto studiano il settore di produzione dell’energia elettrica. Il capitolo quarto presenta un database di brevetti in technologie energetiche efficienti. Il capitolo quinto studia le determinanti dell’efficienza energetica nella produzione di energia elettrica da fonti fossili, con particolare attenzione al ruolo della tecnologia.
This dissertation is a collection of essays on innovation, diffusion and adoption of energy technologies. Chapter 1 presents a state-of-the art review of empirical contributions on TC dynamics as applied to eco-innovation. Chapter 2 explores the main determinants of knowledge flows and how they favor or hinder the flow of knowledge across border. Both geographical and technological distance hinder the flow of eco-knowledge. Chapter 3 identifies the main demand and supply-side determinants of innovation, with particular attention to the role of foreign knowledge. I point to the importance of knowledge spillovers in fostering further eco-innovation, especially in countries with medium to low innovative abilities. Chapters 4 and 5 focus on TC in the electricity sector, a main contributor to GHG emissions. In Chapter 4 presents the data selection process used to identify patents in efficient fossil electricity technologies and provides a worldwide analysis of innovation trends in these technologies. Chapter 5 studies the evolution of energy efficiency in fossil-fuel based electricity production, devoting particular attention to the contribution of knowledge to production efficiency.

Technological upgrading, as the key engine of Chinese economic development, does not take place in isolation, but is largely dependent on access to external knowledge sources. FDI has long been regarded as an external knowledge source because of its intra- and intercity technological spillovers. Meanwhile, both foreign expansion time-based characteristics and industrial structures could affect technological upgrading, but there is a heated debate about whether they enhance FDI spillovers in host cities. In this PhD thesis, I integrate these two streams of literature into a theoretical framework, and hope to investigate how foreign expansion time-based characteristics and industrial structures moderate both intra- and intercity relationships between inward FDI and technological upgrading in Chinese cities. Moreover, I link cluster theory to FDI spillovers, and establish a theoretical model in which government and market orientations can affect knowledge transfers and disseminations between domestic and foreign firms. Overall, this research aims to extend the existing literature by bridging literature of FDI spillovers, foreign expansion process, and industrial structures from a contingency perspective. It deepens our understandings about both intra- and intercity dimensions of FDI technological spillovers in explaining host city technological upgrading. Based on specific panel datasets from the Chinese Urban Statistical Yearbooks and the Annual Industrial Survey Database, I adopt Pooled OLS and Spatial Durbin Model to explore intra- and intercity externalities of foreign expansion process and industrial structures in FDI spillovers. My results indicate that FDI spillovers contribute to both intra- and inter-city technological upgrading in China. Irregular foreign expansion process diminishes FDI spillovers within a given city, but facilitates intercity knowledge dissemination. Cities with a high degree of related variety can reap benefits from FDI technological spillovers. However, such empirical results may change between different urban groups, Beijing-Tianjin-Hebei and Shanghai-Yangtze River Delta respectively. Therefore, the findings of this PhD thesis not only provide convincing evidence for the debate regarding the relationship between FDI and host city technological upgrading, but also highlight government and market orientations to assist with policy making in the future.

It is widely accepted that R&D is a key factor explaining performance at both macro and micro-levels. At the micro level, it is thought that firm‘s R&D activities contribute to productivity and profitability by improving efficiency and delivering new products. What is unclear is the role that technology spillovers play in firm performance and the importance that absorptive capacity plays in helping firms benefit from these spillovers. This thesis fills this gap by addressing three issues: the impact of firm R&D on performance as measured by labour productivity and profitability; the impact of technological spillovers on this performance; and the formalisation of absorptive capacity in order to examine the indirect effect of the firm‘s technological effort. Of secondary importance is the bi-directional relationship between R&D and profitability. The empirical context for this study is the Japanese automotive and electronics industries. Japan is an appropriate context because both the automotive and electronics manufacturing industries are considering some of the world leading innovators. Three empirical chapters address these issues in turn. The first explores the productivity effects of internal R&D activities, intra-industry spillovers, inter-industry spillovers and absorptive capacity. It adopts production function framework, and random and fixed effects panel data estimators. The second empirical chapter considers the effect of these factors on profitability. It applies dynamic regression models and autoregressive distributed lag empirical methodologies. Results in both empirical chapters indicate that internal R&D activities undertaken by the firm directly enhance performance and indirectly foster the capability to internalise outside knowledge. The third chapter assesses the reverse impact of profitability on the firm‘s R&D investments. Little evidence of profitability effect on R&D is found in the automobile industry whereas a fall in profit motivates electronics firms to engage more innovative activities. This thesis contributes to the literature on the impact of technology on performance at the micro-level. It sheds the light on the significance of technological externalities and the importance of absorptive capacity. The empirical analysis presented in this thesis provides insights into the direct and indirect role of firm R&D on performance, which will be of interest to managers. It also raises policy implications in bolstering the private sector‘s incentive to undertake R&D in order to cultivate the pool of technological spillovers.

Orientadores: Sergio Robles Reis de Queiroz, Ionara da Costa
Dissertação (mestrado) - Universidade Estadual de Campinas, Instituto de Geociencias
Made available in DSpace on 2018-08-05T05:23:11Z (GMT). No. of bitstreams: 1 Carvalho_FlaviaPereirade_M.pdf: 610006 bytes, checksum: 894bd6020abdf7c46e94513971a72d7e (MD5) Previous issue date: 2005
Resumo: O objetivo do trabalho é discutir os fatores determinantes dos transbordamentos tecnológicos - os chamados spillovers - oriundos do investimento direto estrangeiro (IDE). Num primeiro momento, faz-se uma síntese do conceito, com base nas visões, nem sempre convergentes, apresentadas pela literatura consultada. A partir dessa conceitualização inicial, são analisados de forma detalhada os mecanismos por meio dos quais o fenômeno se manifesta na economia receptora do IDE. Num segundo momento, o trabalho procura levantar os fatores que determinam a ocorrência e a magnitude do spillover, considerando a particularidade de cada caso. Tais fatores estão relacionados ora com características específicas do IDE, ora com aspectos inerentes ao ambiente onde o investimento se instala. A importância dessa diferenciação reside na necessidade de compreender porque os transbordamentos tecnológicos não se manifestam de maneira uniforme em todas as localidades. Esse debate permanece em aberto na literatura, pois os métodos de análise, em sua maioria quantitativos, não esclarecem a questão. Por fim, estabelece-se uma discussão sobre a efetividade de políticas e ações governamentais de atração IDEs com maiores probabilidades de ocorrência de spillovers, partindo das evidências obtidas na análise dos fatores determinantes do fenômeno em estudo. A conclusão do trabalho é que a ocorrência de spillovers tecnológicos não é automática, predeterminada pela presença das EMNs. As capacidades acumuladas pela economia local são determinantes para que o conhecimento disponibilizado seja efetivamente absorvido pelos agentes; além disso, o IDE intensivo em atividades tecnológicas tende a criar maiores possibilidades de geração de spillovers. Em decorrência disso, políticas que queiram gerar maiores benefícios sob a forma de transbordamentos devem considerar esses aspectos, agindo em busca da ampliação de capacidades e focando na atração de investimentos com atividade inovadora interna
Abstract: The aim of this dissertation is to discuss the determinants of technological spillovers generated by foreign direct investment (FDI). There are many, and often opposing, definitions and views concerning the concept of technological spillovers in the literature. For this reason, the first objective is to review the literature and to strive to synthesize the plurality of views available. Having done that, the work proceeds to discuss in depth the mechanisms through which spillovers take place in the host economy of the FDI. In particular, the determining factors of the occurrence and the extent of technological spillovers in specific situations. These factors are closely related to the characteristics of the FDI and also to peculiar aspects of the host economy. The discussion of the determinants is of utmost importance to help the comprehension of why spillovers happen in certain situations and not in others. The traditional approaches to the matter (most of the time econometric models) fail to shed light on such issues. In conclusion, we summarize the previous questions and analyze if government policies are capable of influencing and facilitating the incidence of technological spillovers
Mestrado
Politica Cientifica e Tecnologica
Mestre em Política Científica e Tecnológica

The research performed throughout this dissertation aims at implementing quantitative methods in order to assess economic and technological performances of firms, i.e. it tries to assess the impacts of the determinants of technological activity on the results of this activity. For this purpose, a representative sample of the most important R&D firms in the world is constituted. The micro-economic nature of the analysis, as well as its international dimension are two main features of this research at the empirical level.

The second chapter illustrates the importance of R&D investments, patenting activities and other measures of technological activities performed by firms over the last 10 years.

The third chapter describes the main features as well as the construction of the database. The raw data sample consists of comparable detailed micro-level data on 2676 large manufacturing firms from several countries. These firms have reported important R&D expenditures over the period 1980-1994.

The fourth chapter explores the dynamic structure of the patent-R&D relationship by considering the number of patent applications as a function of present and lagged levels of R&D expenditures. R&D spillovers as well as technological and geographical opportunities are taken into account as additional determinants in order to explain patenting behaviours. The estimates are based on recently developed econometric techniques that deal with the discrete non-negative nature of the dependent patent variable as well as the simultaneity that can arise between the R&D decisions and patenting. The results show evidence of a rather contemporaneous impact of R&D activities on patenting. As far as R&D spillovers are concerned, these externalities have a significantly higher impact on patenting than own R&D. Furthermore, these effects appear to take more time, three years on average, to show up in patents.

The fifth chapter explores the contribution of own stock of R&D capital to productivity performance of firms. To this end the usual productivity residual methodology is implemented. The empirical section presents a first set of results which replicate the analysis of previous studies and tries to assess the robustness of the findings with regard to the above issues. Then, further results, based on different sub samples of the data set, investigate to what extent the R&D contribution on productivity differs across firms of different industries and geographic areas or between small and large firms and low and high-tech firms. The last section explores more carefully the simultaneity issue. On the whole, the estimates indicate that R&D has a positive impact on productivity performances. Yet, this contribution is far from being homogeneous across the different dimensions of data or according to the various assumptions retained in the productivity model.

The last empirical chapter goes deeper into the analysis of firms' productivity increases, by considering besides own R&D activities the impact of technological spillovers. The chapter begins by surveying the alternative ways proposed in the literature in order to asses the effect of R&D spillovers on productivity. The main findings reported by some studies at the micro level are then outlined. Then, the framework to formalize technological externalities and other technological determinants is exposed. This framework is based on a positioning of firms into a technological space using their patent distribution across technological fields. The question of whether the externalities generated by the technological and geographic neighbours are different on the recipient's productivity is also addressed by splitting the spillover variable into a local and national component. Then, alternative measures of technological proximity are examined. Some interesting observations emerge from the empirical results. First, the impact of spillovers on productivity increases is positive and much more important than the contribution of own R&D. Second, spillover effects are not the same according to whether they emanate from firms specialized in similar technological fields or firms more distant in the technological space. Finally, the magnitude and direction of these effects are radically different within and between the pillars of the Triad. While European firms do not appear to particularly benefit from both national and international sources of spillovers, US firms are mainly receptive to their national stock and Japanese firms take advantage from the international stock.

Doctorat en sciences économiques, Orientation économie
info:eu-repo/semantics/nonPublished

The study of the extent to which incoming FDI results in ‘spillovers’ (technology, R&D, management practices and know-how) has so far yielded only mixed results, and research has largely been restricted to north-north and north-south interactions; this study develops a model of knowledge spillovers based on previous literature and extends inquiry into south-south FDI by investigating spillovers from Chinese FDI to the Cambodian garment and light manufacturing industries. Several significant factors including the nature and extent of FDI linkages, local industry absorptive capacity, nature of the network relationship, and local firms’ learning orientation have been found to influence the extent to which knowledge spillovers occur. These variables are integrated within this paper which develops a conceptual model of knowledge spillovers based on the Awareness-Motivation- Capability framework to examine knowledge spillovers derived through both horizontal and vertical linkages. One area of interest examined in the study is the FDI influence on domestic firms’ export performance since light manufacturing represents the most significant portion of Cambodia's total export products. The thesis, addresses two primary questions: (1) when, where and under what conditions are significant knowledge spillovers created? And (2) what are the effects of the spillovers on domestic companies' technological capability and export performance? The research contributes to the previous literature by further developing the theory on the realisation of knowledge spillovers as well as exploring the nature and channels of knowledge spillovers from South-South FDI in labour-intensive industry, an area of study previously unexplored. Our results show that knowledge spillovers occur through both horizontal and vertical linkages and Cambodian firms receive more spillovers from Chinese FDI than they do from FDI from developed countries.

Die Einführung neuartiger Energietechnologien wird allgemein als der Schlüssel zur Senkung klimaschädlicher Treibhausgase angesehen. Allerdings ist die Abbildung derartiger Technologien in numerischen Modellen zur Simulation und ökonomischen Analyse von energie- und klimaschutzpolitischen Maßnahmen vielfach noch rudimentär. Die Dissertation entwickelt neue Ansätze zur Einbindung von technologischen Innovationen in energie-ökonomische allgemeine Gleichgewichtsmodelle, mit dem Ziel den Energiesektor realitätsnäher abzubilden. Die Dissertation adressiert einige der Hauptkritikpunkte an allgemeinen Gleichgewichtsmodellen zur Analyse von Energie- und Klimapolitik: Die fehlende sektorale und technologische Disaggregation, die beschränkte Darstellung von technologischem Fortschritt, und das Fehlen von einem weiten Spektrum an Treibhausgasminderungsoptionen. Die Dissertation widmet sich zwei Hauptfragen: (1) Wie können technologische Innovationen in allgemeine Gleichgewichtsmodelle eingebettet werden? (2) Welche zusätzlichen und politikrelevanten Informationen lassen sich durch diese methodischen Erweiterungen gewinnen? Die Verwendung eines sogenannten Hybrid-Ansatzes, in dem neuartige Technologien für Stromerzeugung und Eisen- und Stahlherstellung in ein dynamisch multi-sektorales CGE Modell eingebettet werden, zeigt, dass technologiespezifische Effekte von großer Bedeutung sind für die ökonomische Analyse von Klimaschutzmaßnahmen, insbesondere die Effekte hinsichtlich von Technologiewechsel und dadurch bedingten Änderungen der Input- und Emissionsstrukturen. Darüber hinaus zeigt die Dissertation, dass Lerneffekte auf verschiedenen Stufen der Produktionskette abgebildet werden müssen: Für regenerative Energien, zum Beispiel, nicht nur bei der Anwendung von Stromerzeugungsanlagen, sondern ebenso auf der vorgelagerten Produktionsstufe bei der Herstellung dieser Anlagen. Die differenzierte Abbildung von Lerneffekten in Exportsektoren, wie zum Beispiel Windanlagen, verändert die Wirtschaftlichkeit und die Wettbewerbsfähigkeit und hat wichtige Implikationen für die ökonomische Analyse von Klimapolitik.
Energy technologies and innovation are considered to play a crucial role in climate change mitigation. Yet, the representation of technologies in energy-economy models, which are used extensively to analyze the economic, energy and environmental impacts of alternative energy and climate policies, is rather limited. This dissertation presents advanced techniques of including technological innovations in energy-economy computable general equilibrium (CGE) models. New methods are explored and applied for improving the realism of energy production and consumption in such top-down models. The dissertation addresses some of the main criticism of general equilibrium models in the field of energy and climate policy analysis: The lack of detailed sectoral and technical disaggregation, the restricted view on innovation and technological change, and the lack of extended greenhouse gas mitigation options. The dissertation reflects on the questions of (1) how to introduce innovation and technological change in a computable general equilibrium model as well as (2) what additional and policy relevant information is gained from using these methodologies. Employing a new hybrid approach of incorporating technology-specific information for electricity generation and iron and steel production in a dynamic multi-sector computable equilibrium model it can be concluded that technology-specific effects are crucial for the economic assessment of climate policy, in particular the effects relating to process shifts and fuel input structure. Additionally, the dissertation shows that learning-by-doing in renewable energy takes place in the renewable electricity sector but is equally important in upstream sectors that produce technologies, i.e. machinery and equipment, for renewable electricity generation. The differentiation of learning effects in export sectors, such as renewable energy technologies, matters for the economic assessment of climate policies because of effects on international competitiveness and economic output.

The inflow of the foreign direct investments (FDI) is often associated with existence of externalities which are created by influence of multinational companies with higher technology level on domestic companies. It is hard to prove some effect of the technology spillovers and other externalities by empirical calculations. Moreover, various results of these actual papers support real discussions among economists about this topic. The goal of my thesis is shed light on this problem by using the sector analysis of the automobile industry which is significant recipient of the government incentives in the Czech republic. I chose the example of the TPCA company. I focused on impacts of the entrance of this automobile maker not only on its suppliers, but also on wage changes in this sector. The conclusions of this analysis should not be considered generally acceptable for all industries. However, the magnitude of the importance of the automobile industry for Czech economy determinates a relevancy of my findings for the total look on the externalities of FDI in the Czech republic.

This paper explores the contribution of knowledge capital to total factor productivity differences among regions within a regression framework. The dependent variable is total factor productivity, defined as output (in terms of gross value added) per unit of labour and physical capital combined, while the explanatory variable is a patent stock measure of regional knowledge endowments. We provide an econometric derivation of the relationship, which in the presence of unobservable knowledge capital leads to a spatial regression model relationship. This model form is extended to account for technological dependence between regions, which allows us to quantify disembodied knowledge spillover impacts arising from both spatial and technological proximity. A six-year panel of 198 NUTS-2 regions spanning the period from 1997 to 2002 was used to empirically test the model, to measure both direct and indirect effects of knowledge capital on regional total factor productivity, and to assess the relative importance of knowledge spillovers from spatial versus technological proximity. (authors' abstract)

This paper explores the contribution of knowledge capital to total factor productivity differences among regions within a regression framework. We provide an econometric derivation of the relationship and show that the presence of latent/unobservable regional knowledge capital leads to a model relationship that includes both spatial and technological dependence. This model specification accounts for both spatial and technological dependence between regions, which allows us to quantify spillover impacts arising from both types of interaction. Sample data on 198 NUTS-2 regions spanning the period from 1997 to 2002 was used to empirically test the model, to measure both direct and indirect effects of knowledge capital on regional total factor productivity, and to assess the relative importance of knowledge spillovers from spatial versus technological proximity. (authors' abstract)

Cette thèse comprend quatre essais empiriques sur l’innovation et l’esprit d’entreprise, utilisant des microdonnées au niveau de l’entreprise. Ces données ont permis de mieux comprendre les moteurs et les dynamiques sous-jacentes de la croissance économique au niveau macro, tout en offrant la possibilité d’améliorer et de fonder les politiques publiques sur des données probantes. La principale contribution de la thèse repose sur l’utilisation de nouvelles données d’enquête dans différents contextes et l’inclusion de questions améliorées sur les activités d’innovation des entreprises. Ces questions s’inspirent du Manuel d’Oslo, publié conjointement par l’OCDE et Eurostat pour favoriser une méthodologie internationalement reconnue pour les statistiques sur l’innovation des entreprises. L’analyse utilise des méthodes d’évaluation microéconomique et de programme. Le chapitre 1 examine la relation entre l’innovation et la performance pour un échantillon de quelque 30 000 entreprises des pays en développement, sur la base d’enquêtes récentes recueillies par l’unité d’enquête sur les entreprises de la Banque mondiale. Nous constatons que les retours sur l’innovation sont positifs et importants, mais qu’ils varient selon le type d’innovation et le degré de nouveauté. En outre, le R&D joue un rôle plus prononcé pour l’innovation radicale. En utilisant le même ensemble de données, le chapitre 2 examine la relation entre l’innovation et l’emploi. Notre analyse souligne le rôle de l’innovation de produit comme principal canal de création d’emplois. Nous avons également constaté un manque d’impact négatif de l’innovation de procédé, potentiellement dû à un effet de composition de compétences. Le chapitre 3 concerne les effets de l’innovation et du financement sur la survie et sur la croissance d’un échantillon d’environ 4 000 entreprises aux États-Unis, sur la base d’une enquête de 8 ans lancée en 2004 et chevauchant la Grande Récession de 2008-2009. Les entreprises du secteur de la haute technologie ont plus de chance de survivre, avec un taux de sortie en forme de U inverse. Les effets positifs de financement initial sont inversés pendant la Grande Récession, ce qui souligne le rôle de la dépendance financière et du cycle économique. Les start-ups qui signalent l’introduction de nouveaux produits sur le marché affichent des taux de croissance plus élevés. Nous étudions un mécanisme potentiel par lequel les entreprises innovantes ont plus de chances d’obtenir des cycles supplémentaires de financement externe. Les résultats soulignent le rôle de l’intégration de mesures directes de l’innovation et de l’hétérogénéité des entreprises. Dans le dernier chapitre, nous étudions un échantillon d’entreprises manufacturières en Italie, afin de découvrir les moteurs des dépenses de R&D des entreprises. Nous estimons à environ 30 points de pourcentage l’effet d’attraction pour les entreprises qui déclarent coopérer avec le secteur universitaire sur les projets de R&D et nous comparons ces résultats pour l’impact des subventions fiscales telles que les crédits d’impôt. Les conclusions de la thèse sont pertinentes pour les politiques publiques en matière d’innovation et d’entrepreneuriat et pour maximiser le rendement du secteur public sur l’investissement
This thesis comprises four empirical essays on innovation and entrepreneurship using firm-level microdata. The proliferation of such data has led to greater understanding of the underlying drivers and dynamics of economic growth at the macro level, enabling enhanced and evidence-based public policy. The main contribution of the thesis resides in the use of new survey data across different contexts with enhanced questions on firm innovation activities. These questions were modeled on the Oslo Manual Guidelines published jointly by the OECD and Eurostat to foster an internationally recognized methodology for business innovation statistics. Micro-econometric and program evaluation methods guided the analysis. Chapter 1 examines the relationship between innovation and performance for a sample of over 30,000 firms in developing countries from recent surveys collected by the Enterprise Survey Unit of the World Bank. We find that returns to innovation are positive and large but vary substantially according to innovation type and degree of novelty. Moreover, R&D plays a more pronounced role for radical innovation. Utilizing the same dataset, chapter 2 investigates the relationship between innovation and employment. Our analysis highlights the role of product innovation as the main channel for employment creation. We also found a lack of negative impact from process innovation, potentially due to a skill composition effect. Chapter 3 concerns the effects of innovation and financing on both survival and growth for a sample of roughly 4,000 firms in the United States based on an 8-year survey launched in 2004 and overlapping with the Great Recession of 2008-2009. Firms in the high-tech sector are more likely to survive; they display an inverted U-shaped exit rate. While initial financing levels positively affect survival, the effects are reversed during the Great Recession, underlining the role of financial dependence and the business cycle. Startups that introduce new products to market display higher growth rates. We investigate a potential mechanism whereby innovative firms are more likely to obtain additional rounds of external financing. The results highlight the role of incorporating direct measures of innovation for firm heterogeneity. In the final chapter, we study a sample of manufacturing firms in Italy to uncover drivers of firm R&D expenditures. We estimate a crowding-in effect of roughly thirty percentage points for firms that report cooperation with the university sector on R&D projects and contrast these findings in terms of the impact from fiscal subsidies such as tax credits. Findings of the thesis have relevance for public policy around innovation and entrepreneurship and for maximizing public sector returns on investment

碩士
淡江大學
產業經濟學系
85
Research and Development (R&D) is the main resource for technologyadvancement.Due to the spillover effect form firm''s R&D,R&D resources tend tobranch out.Government policy now can motivate firm''s R&D indination throughdifferent industrial policies,so that individual firm R&D benefits our societythe most.Therefore,researches about R&D spillover effects and governmentindustrial policies are the major course of industrial organization theorem. First of all,this article presents a simple Cournot duopoly model todiscuss the best suitable policy government should take under different firm''scompetitiveness.Research of this artical shows the following conclusion:(1)When firm''s competitiveness becomes individual R&D and output competition,government will subsidize the firm''s output.However,R&D spillover effects willaffect the government''s direction of R&D policy. (2)When firm'' scompetitiveness becomes cooperative R&D and output competition, government willsubsidize both firm''s R&D and their output phase.(3)When firm''scompetitiveness becomes cooperative R&D and output collaboration,governmentwill still subsidize cooperative firm''s output,but will not interfere withcooperative firm''s R&D. Secondly, this article also discusses our government''s most suitableindustrial policy and trading policy when our firm proceed with tradingcompetition in the third country and compare our analysis with Spencer &Brander (1983) conclusion.The result are: (1)When our government policy isonly towards our firm''s R&D,our government will subsidize R&D unless R&Dspillover is 0.5. (2)When both governments take R&D policy towards the 2ndcountry''s firms, the governments both provide R&D subsidiary.If bothgovernments'' goal is maximum joint social welfare,R&D spillover will affectthe two government''s direction of most suitable R&D policy.(3)When ourgovernment also considers taking exporting policy toward our firm,thisresearch points out that when R&D spillover is lesser,our government collectsR& D taxes from our firm, but provide exporting subsidiary for theiroutput.However,when R&D spillover is greater,our government policy will beaffected by the firm''s R&D unit cost.

Based on panel data collected from 41 countries over the period 2007-2017, this paper analysis how population ageing affects technological innovation through three aspects from the perspective of human capital: the loss of knowledge and talents; reverse force and knowledge spillover. In this paper, the technological innovation index (TII) is calculated by using the factor analysis method. Further with this, a fixed-effects regression model is applied to discover that population exerts a significant positive effect on technological innovation through reverse force, while exerts negative effects on technological innovation through the loss of knowledge and talents and knowledge spillover.

碩士
國立成功大學
國際管理碩士在職專班
97
This study employed four research constructs to build up several relationships. The major objectives of this study are to examine the influence relationships among technological opportunity, knowledge spillover, innovative effort, and new product performance and to identify the differences of firm characteristics on various factors. However, a total of 173 of the returned questionnaires were usable. The effective rate of questionnaire is 34.60%. The empirical data was analyzed by descriptive statistics, factor analysis, reliability test, validity analysis, analysis of variance (ANOVA), and then used multiple regression analysis to test the hypotheses. The major findings of this study are shown as following: 1. The technological opportunity has significant positive influence on innovative effort. 2. The knowledge spillover has significant positive influence on innovative effort. 3. The innovative effort has significant positive influence on new product performance. 4. The technological opportunity has significant positive influence on new product performance. 5. The knowledge spillover has significant positive influence on new product performance.

MSc (Physics)
Department of Physics
Since the discovery of water photolysis on a TiO2 electrode by Fujishima and Honda in 1972, TiO2 has attracted extensive attention as an ideal photocatalytic material because of its excellent properties such as high activity, good stability, nontoxicity and low cost. Hence, it has been widely used in the fields of renewable energy and ecological environmental protection. However, as a wide band gap oxide semiconductor (Eg = 3.14 eV), brookite TiO2 can only show photocatalytic activity under UV light irradiation (λ < 387.5 nm) that accounts for only a small portion of solar energy (approximately 5 %), in contrast to visible light for a major part of solar energy (approximately 45 %). Therefore, effectively utilizing sunlight is the most challenging subject for the extensive application of TiO2 as a photocatalyst. Due to the unique d electronic configuration and spectral characteristics of transition metals, transition metal doping is one of the most effective approaches to extend the absorption edge of TiO2 to the visible light region. This method of doping either inserts a new band into the original band gap or modifies either the conduction band or valence band, improving the photocatalytic activity of TiO2 to some degree. In this work, the structural, electronic and optical properties of doped and undoped TiO2 (100), (110) and (210) surfaces were performed using first principle calculations based on DFT using a plane-wave pseudopotential method. The generalized gradient approximation was used in the scheme of Perdew-Burke-Ernzerhof to describe the exchangecorrelation functional as implemented in the Cambridge Sequential Total Energy Package code in the Materials Studio of BIOVIA. The metal dopants shift the absorption to longer wavelengths and improves optical absorbance in visible and near- IR region. The un-doped (210) surface showed some activity in the visible and near IR region.
NRF

碩士
國立中山大學
中山學術研究所
95
We review previous literature on productivity effects of FDI in China and find that the evidence of FDI spillovers on her economic growth rate is mixed. Take A. Marino (2000) and E-G Lim (2001) for example, they pointed out that it just happened conditionally. Thus due to the proof of its plausibility, China’s experience may help underdeveloped countries fulfill their goals and become one of the most contentious issues. Based on CH(1995), this paper presents a 3-sector R&D-based endogenous growth model in an open economy with human capital accumulation and the existing stocks of technology from MNCs as well as domestic industries. And the thread of thought is that the technology growth rate will arise if technological spillovers of FDI do act in domestic R&D sectors, and that will lead to the better development of economy. The solution satisfied to the competitive equilibrium conditions shows that long-run growth rate arises from the improvement of absorptive capability and higher human capital stock, while the relationships between technology gap and steady-state growth rate are uncertain. Then, bottomed on the results of theoretical model and the existing information including Chinese 30 provincial level data for 1996-2004, this paper tests with econometric methods－ panel data OLS model with fixed effect－and makes empirical analyses. In addition, absorptive capacity is weighted by human capital. As the setting of empirical model, the major focuses are on how human capital, domestic R&D, and international technological spillovers affect long-run growth rate. And the main conclusion is that the steady-state growth rates depend positively on the stock of human capital, the investment of domestic R&D, and the effects of technological spillovers via FDI whether the absorptive capacity is considered or not. While the results also show that the stock of human capital is a definitive and appropriate index to the absorptive capacity and that Chinese provincial level productivity effects of FDI are strongly confirmed by this paper. However, there are still some hinder in China for the digestion of foreign technologies, thus in the future the authority should put more emphases on increasing human capital stock and stepping up self-innovated ability.

博士
國立雲林科技大學
企業管理博士班
99
Personnel involved in high-tech R&D commonly move between enterprises, bringing with them technology obtained elsewhere. This leads to an imperceptible circulation of analogous technology among different companies. Unfortunately, this so-called technological spillover is difficult to detect. This study combined social network analysis with patent data covering nearly 30 years to construct the networks that involve the mobility of inventors and technological overlap in the Hsinchu semiconductor industry. Regression analysis using quadratic assignment procedures reveals that the network within which inventors migrate has a positive impact on the network technological overlap. Further analysis clarified the positive relationship between the mobility of inventors and technological overlap in terms of the organizational network characteristics. This confirms a process of co-evolution between technological overlap and the mobility of inventors, which may have a highly likely spillover.

Knowledge, learning, and innovation are vital elements in facilitating economic development and growth. Technological change, which is a synonym for generating knowledge, the diffusion thereof, and subsequent application in the marketplace in the form of novel products and processes, i.e. innovations, has a strong effect on the collective wealth of regions and nations. Knowledge spillovers, which are unintended knowledge flows that take place among spatial (geography) and sectoral (industry) units of observation, provide a rationale for diverging growth rates among spatial units, well beyond what might be explained by variations in jurisdictional factor endowments, and thus are of particular interest in this context. Measuring and quantifying the creation and diffusion of knowledge has proven to be a challenging endeavor. One way to capture technical and economically valuable knowledge is by means of patent and patent citation analysis. Following this approach, and utilizing a novel patent database that has been specifically developed for this purpose, the present dissertation investigates the spatio-sectoral patterns of knowledge spillovers in the Canadian economy over the time period 1983 to 2007. The employed research methodology addresses existing limitations in this stream of research, and contributes to the continuing debate regarding the significance of sectoral specialization versus diversity, and local versus non-local knowledge spillovers as the main driver of knowledge formation processes leading to innovation at the sub-regional scale. The findings indicate that knowledge spillovers are localized, and furthermore, that this localization effect has increased over time for both spillovers within a particular industry, as well as between industry sectors. The analysis of micro-geographic industry specific spatio-sectoral knowledge formation processes, and the inquiry into local sectoral knowledge spillover patterns, outlines how regional evolutionary technology trajectories potentially shape the rate and direction of technological change, and consequently influence economic growth, at a particular place.