Thesis (M.S.)--University of Tennessee, Knoxville, 2008. / Title from title page screen (viewed on Sept. 30, 2009). Thesis advisor: Dayton M. Lambert. Vita. Includes bibliographical references.

Orientador: Otávio José de Oliveira / Banca: Edwin Vladimir Cardoza Galdamez / Banca: José Paulo Alves Fusco / Resumo: As instabilidades econômicas que envolvem o setor industrial fazem com que as empresas busquem novas formas de organização que permitam agregar vantagens. A aglomeração de empresas do mesmo setor e com atividades correlatas é chamada de cluster industrial. Neste contexto, as Micro e Pequenas Empresas (MPEs) podem alcançar algumas vantagens competitivas que individualmente não conseguiriam, por meio de ações coletivas fomentadas por uma governança estruturada. O estudo de clusters permite investigar o processo de implantação das tecnologias de gstão que podem auxiliar na obtenção da eficiência coletiva, do fornecimento da cooperação empresarial, da criação de vantagens competitivas e na promoção do crescimento econômico, social e local. Desta forma, o objtetivo desta pesquisa é desenvolver diretrizes de práticas para a transferência de tecnologia de gestão entre clusters, de forma que promova a cooperação empresarial e o desenvolvimento sustentável. Foi realizada uma revisão bibliográfica dos principais temas e um estudo de caso no cluster metal-mecânico de Sertãozinho - SP, por meio de entrevistas semi-estruturadas com os agentes de governança, a fim de ambientar o pesquisador e identificar algumas iniciativas que corroboram e contribuem com ações coletivas propostas na literatura. Os resultados desta pesquisa englobam as diretrizes de práticas de gestão organizadas em um processo de 8 etapas: Diagnóstico Inicial, Diagnóstico 2, Planejamento Macro, Planejamento Detalhado, Preparação para a mudança, Implantação, Medição e Controle e Ação/Retroalimentação, desenvolvidas a partir da fundamentação teórica e refinadas por meio da experiência de Sertãozinho / Abstract: Ahead of the economic instability involving the industrial and business competitivess, which causes companies to seek new forms of organization that give advantages. Firms agglomerateds within the same sector and with complementary activities is called industrial cluster. In this context, the Micro and Small Enterprises (MSEs) can to achieve some competitive advantages that could not be reached indivivually, through collective actions forested by a governance structure. Cluster study allows investigating the process of implementation of management technologies that can assist in achieving collective efficiency, strengthening business cooperation, competitive advantages creation and growth economic, social and local promotion. In this way, the objective of this research is to develop practice guidelines for guidelines for management technology transfer between clusters in order to promote business cooperation and sustainable development. It was performed a literature review of key issues and a case study in Sertãozinho - SP cluster metal-mechanic, through semi-structured interviews with the governance agents, in order fit in the researcher and identify some initiatives that support and contribute to collective actions proposed in the literature. The results of this research include guidelines for management practices organized in a eight steps process: Initial Diagnosis, Diagnosis 2, Macro Planning, Detailed Planning, Preparation for the change, Implementation and Action/Feedback, developed from the theoretical and refined through of Sertãozinho experience / Mestre

Este trabalho tem como objetivo principal desenvolver um sistema de avaliação de desempenho de clusters, capaz de analisar as vantagens potenciais que um cluster pode oferecer e concluir a respeito do aproveitamento dessas vantagens e dos aspectos que podem ser aprimorados. Para isso, o trabalho se propõe a: (i) identificar os constructos e variáveis que devem ser utilizados para representar as vantagens potenciais que um cluster industrial pode oferecer; (ii) desenvolver um sistema de avaliação do aproveitamento das vantagens potenciais de um cluster, baseado nos constructos e variáveis identificados; (iii) testar o sistema, avaliando o nível de desenvolvimento, no que tange ao aproveitamento de vantagens potenciais em que se encontra o cluster moveleiro do Oeste de Santa Catarina; e (iv) estabelecer um plano para aprimoramento das operações e consolidação do referido cluster. Esta tese está baseada numa abordagem quantitativa e qualitativa, utilizando questionário aplicado em 112 empresas, grupo focado e entrevistas. Uma das principais contribuições desta tese é a proposição de um modelo capaz de avaliar o aproveitamento das vantagens potenciais de um cluster, auxiliando na tomada de decisão dos envolvidos (poder público, instituições de classe, empresas) e melhoria da competitividade das empresas do cluster em relação às empresas externas. Outra contribuição deste trabalho é a proposição de ações que possam aumentar o aproveitamento das vantagens oferecidas às empresas pertencentes ao cluster moveleiro do oeste de Santa Catarina e à sua competitividade. / The main objective of this work is to develop a performance evaluation system of clusters, able of analyzing the potential advantages that a cluster can offer to its member companies and conclude about the use of these advantages and about the aspects which could be improved. Considering this general objective, this work intends: (i) identify the constructs and variables that should be utilized for represent the potential advantages that an industrial cluster can offer; (ii) develop an evaluation system for access the use of the potential advantages of a cluster, based on the constructs and identified variables; (iii) test the system, evaluating the development level of the west of Santa Catarina furniture cluster, regarding the use of the potential advantages, (iv) establish a plan for the improvement of operations and consolidation of the mentioned cluster. This dissertation is based on a qualitative and quantitative approach, comprising a survey involving 112 companies, focus group and interviews. One of the main contributions of this dissertation is the proposal of a model capable of evaluate the use of the potential advantages of a cluster, assisting on the decision making of the stakeholders (government, class association and companies) and competitiveness improvement of the cluster member companies compared to outside companies. Other contribution of this work is the proposal of a plan of actions that could increase the use of the advantages offered to the member companies of the west of Santa Catarina furniture cluster and their respective competitiveness.

There has been substantial research in recent years on the development dynamics of agglomeration economies - the industrial cluster perspective. However, the industrial cluster literature has tended to neglect the environmental impacts of clustering. Meanwhile, industrial ecology has tackled environmental concerns by promoting a new type of eco-friendly industrial system, eco-industrial park (EIP), that encourage circular flows of materials, energy and by-product exchange between neighbouring firms. Given that these two theories can potentially supplement each other, this doctoral study seeks to build bridges between the industrial cluster literature and the industrial ecology literature in order to address the research question: “how do clustered producers draw on inter-firm collaboration and institutional linkages to undertake holistic environmental upgrading strategies?” This study draws on comparative empirical evidence from the Banwol-Sihwa textiles dyeing cluster and the Yeosu petrochemical cluster in South Korea. Both the industrial clusters show a pattern of gradual environmental upgrading that is termed as ‘collective eco-efficiency’, although specific types of such collective behaviours have become differentiated due to their structural differences. The findings provide three key contributions to industrial ecology: (1) Intra-sectoral inter-firm relationships and regional firm-institutional relationships are much more influential in establishing an EIP than inter-sectoral inter-firm relationships on which industrial ecology has conventionally emphasised. (2) Although industrial ecology has mainly concerned of sectoral heterogeneity within an area, the multiplicity of production stages within an industrial cluster is also an important physical condition in establishing an EIP. (3) The notions of institutional setting and planning that have used in very ambiguous manners in industrial ecology are in essence a type of learning-by-interaction dynamics between local firms and other actors based on regional innovation systems. As for the industrial cluster literature, the findings in this study also suggests three conceptual implications: (1) Most studies addressing environmental issues in the industrial cluster literature have largely ignored the inter-sectoral dimension, the dynamics of collective efficiency is not necessarily limited within a sectoral boundary at least with regard to environmental upgrading. (2) Given that value chains do not necessarily match material flows, anchor tenant’s coordination power over material flows should be highlighted in addition to lead firm’s coordination power over value chains. (3) Regional innovation systems function as institutional ability to balance private benefits and social benefits.

Este trabalho tem como objetivo principal desenvolver um sistema de avaliação de desempenho de clusters, capaz de analisar as vantagens potenciais que um cluster pode oferecer e concluir a respeito do aproveitamento dessas vantagens e dos aspectos que podem ser aprimorados. Para isso, o trabalho se propõe a: (i) identificar os constructos e variáveis que devem ser utilizados para representar as vantagens potenciais que um cluster industrial pode oferecer; (ii) desenvolver um sistema de avaliação do aproveitamento das vantagens potenciais de um cluster, baseado nos constructos e variáveis identificados; (iii) testar o sistema, avaliando o nível de desenvolvimento, no que tange ao aproveitamento de vantagens potenciais em que se encontra o cluster moveleiro do Oeste de Santa Catarina; e (iv) estabelecer um plano para aprimoramento das operações e consolidação do referido cluster. Esta tese está baseada numa abordagem quantitativa e qualitativa, utilizando questionário aplicado em 112 empresas, grupo focado e entrevistas. Uma das principais contribuições desta tese é a proposição de um modelo capaz de avaliar o aproveitamento das vantagens potenciais de um cluster, auxiliando na tomada de decisão dos envolvidos (poder público, instituições de classe, empresas) e melhoria da competitividade das empresas do cluster em relação às empresas externas. Outra contribuição deste trabalho é a proposição de ações que possam aumentar o aproveitamento das vantagens oferecidas às empresas pertencentes ao cluster moveleiro do oeste de Santa Catarina e à sua competitividade. / The main objective of this work is to develop a performance evaluation system of clusters, able of analyzing the potential advantages that a cluster can offer to its member companies and conclude about the use of these advantages and about the aspects which could be improved. Considering this general objective, this work intends: (i) identify the constructs and variables that should be utilized for represent the potential advantages that an industrial cluster can offer; (ii) develop an evaluation system for access the use of the potential advantages of a cluster, based on the constructs and identified variables; (iii) test the system, evaluating the development level of the west of Santa Catarina furniture cluster, regarding the use of the potential advantages, (iv) establish a plan for the improvement of operations and consolidation of the mentioned cluster. This dissertation is based on a qualitative and quantitative approach, comprising a survey involving 112 companies, focus group and interviews. One of the main contributions of this dissertation is the proposal of a model capable of evaluate the use of the potential advantages of a cluster, assisting on the decision making of the stakeholders (government, class association and companies) and competitiveness improvement of the cluster member companies compared to outside companies. Other contribution of this work is the proposal of a plan of actions that could increase the use of the advantages offered to the member companies of the west of Santa Catarina furniture cluster and their respective competitiveness.

This dissertation contains three essays on debts of different forms that make contributions to the areas of international macroeconomics and spatial economics. In particular, the first two essays study sovereign debts. They examine sovereign default behaviors together with interactions between sovereign defaults and countries’ costs of borrowing. The third essay looks at bank loans. It explores the possibility of understanding economic agglomeration through distance-related financial frictions firms face when borrowing from banks.

No / Purpose This paper explores the relationships between the strategic development of subsidiaries and the likelihood of subsidiaries exporting on an intra-regional basis to European markets. Research Approach The paper defines the strategic development of subsidiaries as increases in, autonomy, embeddedness in host locations, the use of networks and host country sourcing. The location of subsidiaries in industrial clusters is also considered. Use is made of multinomial probit analysis of a survey of 391 UK based subsidiaries to identify the relationships between the strategic development of subsidiaries and supplying European markets. Findings The study finds some evidence that there are links between increasing networks and supplying European markets, but there is no evidence that developing host country sourcing is associated with European supply. Location in an industrial cluster is consistently associated with supplying European markets and autonomy also appears to be closely associated with supplying European markets. Research Limitations Extension of the research is required to other regional trade blocs such as Mercosur and NAFTA. The role of networks and the links to location in industrial clusters requires further exploration and future research needs to include the services and knowledge-intensive sectors. Value The paper extends our understanding of subsidiary development in the context of intra-regional trading and thereby expands the literature on the regional strategy of multinationals. It highlights the importance of different types of autonomy for encouraging intra-regional trade by foreign-owned subsidiaries, and the central role of location in industrial clusters.

Throughout the 1960s and the early 1970s, almost all developing countries pursued an import substitution policy that sought to develop a domestic manufacturing sector. At the same time, these governments carried out nationalisation programmes based on the view that foreign ownership of industry and assets was a drain on their wealth and hindered the economic development of the nation. Some developing countries saw foreign investment as a continuation of their colonial past and wanted to move away from it. As a result, there was a natural dislike and distrust of foreign investment. However, in the last three decades there has been a sea change in government opinions regarding foreign investment, and now many countries are actively encouraging it. In fact, some governments have paid financial incentives reaching as much as US$150,000 per employee to foreign companies to attract them to their country. These financial incentives are paid on the basis that governments believe that inward investment has positive effects on the economy, the most important of which is transfer of technology. Through improved technology a country can significantly enhance its competitiveness in the global marketplace leading to increased economic growth. With economic growth countries can also improve their social indicators such as education, health etc. Therefore, technology transfer from inward investment is viewed as the catalyst to change within a country. Despite the widespread popularity of governments seeking to attract inward investment there is no conclusive evidence that it leads to positive spillover effects in the form of technology transfer. This study seeks to fill this gap in the current body of academic knowledge, using the case of a small resource abundant country with a low population, such as the UAE, using both qualitative and quantitative research methods. The primary data was obtained through a detailed questionnaire, and provides an in depth approach to understanding the issue of technology transfer for the UAE; while the secondary data, obtained from UNCTAD and the World Bank, is more macro level in nature. The macro level data indicate that certain factors in the UAE are conducive to technology transfer taking place. The primary data seek to interrogate this for the case study presented in this study. In doing so, the primary and secondary data sets are connected in so far as to provide cross reliability through the identification of commonalities and differences of results. This study aims to provide understanding on whether FDI does indeed lead to a transfer of technology from the overseas firm into the host country economy. Understanding such a link within an academic framework allows this study to arrive at relevant policy recommendations that can be taken up by policy makers in similar contexts. The prior literature has shown that FDI both flows into countries that have proven economic growth and that FDI leads to economic growth, and therefore these factors are interrelated. This study has found that FDI can play an important role in filling domestic gaps in investment and also spur economic growth. This study develops a simultaneous regression to test the existence of a joint relationship between economic growth, which is a proxy for technology transfer, and FDI. In the case of host country factors a linear regression model is developed and tested. At a more micro level this study examined the case of Tawazun Economic Council, a high technology organisation that operates within the aerospace and defence industry cluster, in order to understand whether its investments have led to any real impact as far as technology transfer is concerned. The Tawazun Economic Council is a project with a total investment of US$60 billion, and as such allows this research to capture the impact of technology transfer in an enhanced cluster that has aerospace and defence as its core theme. The aerospace and defence sectors have leading edge technology, and therefore a high probability of technology transfer taking place. Through a survey of senior managers within the organisation responsible for strategy development, this study also found that technology transfer has taken place due to the very sophisticated off-take contracts that have been negotiated with buyers and technology suppliers. However, none of these technologies have been applied outside their narrow aerospace and defence usage. In addition, if capital abundant countries wish to capitalise on the technology transfer benefits from FDI then, future government policies should seek to protect intellectual property rights. The novel contribution of this study is that it has identified factors that are important for technology transfer from FDI to take place in capital abundant countries that have a small population. As such, the research has not only increased the current body of knowledge in this area, but has sought to provide policy recommendations that could help in increasing the level of FDI-based technology transfer in developing countries, with a particular emphasis on capital abundant and low population countries.

published_or_final_version / Urban Planning / Doctoral / Doctor of Philosophy

O trabalho analisa a indústria de equipamentos médicos, hospitalares e odontológicos em Ribeirão Preto usando a literatura dos clusters como referencial teórico. O levantamento do perfil das empresas locais do setor e do arranjo produtivo local foi realizado através de pesquisa de campo com as empresas locais e com os laboratórios das faculdades pertencentes à Universidade de São Paulo. Com isto, espera-se conhecer melhor o que são as empresas deste setor no município e espera-se poder delinear as possibilidades do desenvolvimento de um cluster na área de equipamentos médicos, hospitalares e odontológicos entre as empresas do município como um meio de alavancar o crescimento das empresas e dinamizar a economia local, aproveitando-se da produção local e do aparato institucional existentes. / This work analyses the industry of medical equipments in the city of Ribeirão Preto using clusters literature as theoretical reference. The studies of the characteristics of the local firms and its local arrangements were realized by a research with these firms and with the laboratories of the University of São Paulo. We expect to contribute to the knowledge of this industrial sector in this city and also to contribute to draw the possibilities of development of a medical equipment cluster as a mean to boost the local industry and the local economy, taking advantage of the existing production and the institutional apparatus.