Innovation and commercialization are crucial for the competitiveness and economic well-being of countries. Despite the importance of innovation, recent studies have showed that Canada is lagging behind other countries in terms of its innovation and commercialization performance. The claim is often made that Canada performs well in generating the knowledge needed for innovation; however, the problem lies in transforming this knowledge into commercial success. Thus, a major preoccupation is how to turnaround this weak commercialization performance. Despite the wide range of programs, policies and regulations implemented by the Canadian Government along with its provincial counterparts to engender a turnaround, little has changed in Canada’s commercialization performance. Therefore, the search for solutions continues. Given that commercialization takes place at the firm-level, this study will explore the relationship between firm-size and commercialization. Several existing studies have examined the link between innovation and firm size, but few have examined the link between commercialization and firm size. Despite the arguments supporting medium-sized firms’ ability to commercialize innovations, there is a weak empirical base that explores the position of Canadian medium-sized firms and their innovation and commercialization capabilities. This study will contribute to the existing knowledge by covering the gap in the literature concerning the role of medium-sized firms in commercialization, compared to small and large firms. This study provides evidence suggesting that small and medium-sized firms should be considered differently.

創新是指將發明本身商品化，亦指將創意或發明轉換為產品或服務的過程。創新的結果是產生新產品、產生新製程、打開新市場、獲得新補給來源、更是任何產業新組織體系的實行。創造創新經濟是創新的最終目標。隨著1980年美國拜杜法案 (Bayh-Dole Act) 制定通過，我國參考其政策亦於1999年跟進制定與實施「科技基本法」。十年以來，我國學研單位之研發成果透過技術移轉與境外實施推及商業化落實之預期效益仍相當有限，顯見由於文化及產業環境不盡相同的關係，美國之經驗對我國並不全然適用。行政院國家科學委員會自87年起推動7項國家型科技計畫，投入總經費八百四十一億餘元，總計產出二千七百一十四項專利中，以技術移轉者一千五百零四項，取得權利金二十一點七六億餘元，技術移轉獲取的權利金收入與投資金額比率只達4.03%，效能不彰，因此監察院教育及文化委員會於99年5月13日通過監委黃煌雄提案，糾正國科會。由於在產業環境及文化型態上，歐洲與臺灣有許多相似之處；例如：中小企業在產業中的比重，產業升級與轉型的壓力，文化傳統中對穩定及安全的依賴，研發體系與產業界相對的疏離等等。事實上，歐盟為了加強科技研發與創新之間的聯繫，採取一連串有益中小企業的措施，在這些機制與措施的影響下，歐盟各學術研究機構不論在專利申請、佈局與技術移轉、授權的發展方面已經有後來居上的態勢。因此，本研究擬藉研究、分析歐盟相關的創新策略和產學合作運作模式，包括里斯本政策（Lisbon Strategy）、歐洲2020政策（The Europe 2020 Strategy）、最近一期的第七期科研架構計畫（Seventh Framework Programme; FP7）、歐洲投資基金（European Investment Fund; EIF）、歐洲各地技術平台（European Technology Platforms; ETPs）、以及瑪麗亞凱利人力網絡系統（Marie Curie Networks）的組織架構、資金來源等，期能提供我國相關單位實際執行創新科學技術之規劃產生、產出技術之經營與技轉等，可茲借鏡之制度與作法。 / Innovation is the commercialization of the invention itself. Innovation is the process of translating an idea or invention into a good or service that creates value or for which customers will pay. Innovation brings the introduction of new goods, new methods of production, the opening of new markets, the conquest of new sources of supply, and the carrying out of a new organization of any industry. The final object of innovation is to create economic benefits. “Science and Technology Act” of Taiwan referring to the Bayh-Dole Act of U.S.A. was enacted in 1999. During the past ten years, the universities and research institutions in Taiwan worked with limited results in the field of research and development. The effectiveness through technology transfer and off-shore technology transfer was quite limited in Taiwan. Obviously, the U.S.A. experiences are not totally fit to Taiwan, because of different cultural and environmental factors. National Science Council of Taiwan was corrected by Control Yuan of Taiwan because of their low effectiveness to carry out the National Science and Technology Projects. National Science Council of Taiwan spent 84.1 billions NT dollars on seven National Science and Technology Projects, but there are only 2.176 billions NT dollars feedback through technology transfer, only 4.03% of the investment. Europe and Taiwan are quite similar in industrial and cultural environments, such as the proportion of small and medium enterprises in the industry, the heavy pressure of Industrial upgrading and transformation, the dependence of the stability and security of the cultural traditions, and the relative alienation between R & D system and industry. In fact, in order to strengthen the links between the scientific and technological R & D and innovation, European Union took a serious of useful measures. Under those measures, the universities and research institutes in European Union have come from behind the trend, whether in the patent application, the technology transfer, and the patent licensing. The aim of this study is to provide Taiwanese government the actual implementation of the innovation of science and technology planning by analyzing the innovative strategies, the industry-university cooperation mode of operation, the organizational structure of innovative R & D system, and the funding sources of innovation development in EU, including the Lisbon Strategy, the Europe 2020 Strategy, the Seventh Framework Programme, the European Investment Fund, the European Technology Platforms, and the Marie Curie Networks.

Technological position is a dimension along which organizations can either differentiate from or mimic the behavior of other organizations in the technological landscape. This paper is aimed at providing empirical evidence of the specific ways in which an organization’s technological position choice is impacted by the tension that arises from technological co-location; the information available to the focal firm; and the focal firm’s usage of such information. In this dissertation I examine the factors influencing technological agglomerations in technological positions in the technological landscape. I further examine how the organization’s experience impacts its strategic positioning choice while facing the tradeoff between the expected derivatives of co-location - opportunities and competition. I argue and find that an organization strategically positions itself in the technological landscape based not only on the information it has gathered on its technological environment but also using its own experience and information. Further, my findings show that the organization’s technological positioning choice reflects the tension between opportunity and competition, which questions the notion of isomorphism.

This thesis groups three papers examining the role of multi-location firms in the geographic diffusion of knowledge. The first chapter examines whether a firm's headquarters can tap into the knowledge pool in a remote location through FDI. Using U.S. patent data, I show that an R&D headquarters in location “A” cites third party patents from location “B” disproportionately (relative to a control group also from location “A”) when the firm has an R&D satellite in location “B”. This “satellite effect” on knowledge diffusion is economically significant, representing 47% of the knowledge flow premium associated with collocation. Furthermore, the effect is particularly strong for new knowledge, as well as in areas of satellite technological specialization. In addition, the results show that firms with stronger cross-location, intra-firm networks experience a larger satellite effect on knowledge diffusion. The second chapter studies the effects of remote satellites on outward knowledge flow with an international development focus. I find that the presence of a foreign MNC subsidiary increases the flow of knowledge from the MNC's headquarters to local firms. This effect is largest in countries and sectors with strong but not world-class capabilities, having both the motivation and absorptive capacity to learn from foreign parties. The results suggest that emerging country governments should promote inward FDI since the knowledge brought by multinationals spills over to local firms and boosts innovative capacity. The third chapter offers a theoretical foundation for thinking about the exchange of knowledge and ideas, and the role of remote satellites. I present a model where ideas are shared through social networks as modeled by repeated agent interactions. The mechanism at once explains three broad empirical findings: why the diffusion of ideas is highly localized, why ideas flow more easily within the firm, and why firms can access remote knowledge by establishing a presence in the remote location. A firm endogenously decides whether to establish a presence in a remote location and if so how much autonomy to award the remote agent. The relative importance of external vs. internal knowledge in the innovative process is a key determinant of the firm's organizational structure.

The intellectual roots of the innovation system (IS) approach lie in attempts tounderstand the complexities of interactive relations in the innovation process. Thisthesis departs from the systemic view that ISs rest on a co-evolutionary process, inwhich on the one hand technical and economic spheres interact with policies andinstitutions, and, on the other, those spheres affect the natural environment. There isalso evidence that ISs have access to the state-of-the-art flows of knowledge, which isperceived positively in terms of international or trans-border scientific andtechnological cooperation.Comprised of a covering essay and a set of publications, this thesis is structured as acombination of five papers containing findings of the research carried out. Thequalitative research design analyzes sustainability as a desirable theoretical constructtowards which the development of ISs should be oriented. As such, special attentionwas given to both the theoretical arguments that relate to sustainability and theimportance of a shift into a new technological regime oriented towards environmentalissues in ISs. A systematization of the two main theoretical analyses of ISs has beenalso emphasized in the thesis as interactive learning and evolutionary technologicalchange theories, which originate respectively from Schumpeterian and neoevolutionarySchumpeterian views.In Edquist’s view (2001, p.35) "there is a strong need for further conceptual andtheoretical development of the IS approach. The best way of doing this is by actuallyusing the approach in empirical research". How the shift of ISs to environmentalsustainability can come about and how they can be brought together systematically isstill a largely unexplored field of research. Accordingly, the aim of this thesis is toconceptually advance an understanding of the IS as a flexible and useful approach toencompass the environmental sustainability dimension.To address this, the thesis develops a conceptual framework for ISs that is orientedtoward sustainability; based on the interactive, resource, and environmental views;and tested empirically. The conceptual framework is illustrated empirically in the casestudies of the Brazilian subsidiary of the Swedish multinational Ericsson and and the Brazilian multinational USIMINAS, with focus placed on their interactionswith the Brazilian innovation system. Since the cases belong to different sectors, thereare variables between the multinationals in terms of the nature of innovation capacity.The contrast between the two cases in terms of technological regimes provedvery interesting, and hence formed the core of the thesis.The IS approach has been gaining ground in academic circles, as well as in the fieldof public innovation policy-making in industrialized and newly industrializedcountries. The findings of the current study suggest that ISs for environmentalsustainability can be categorized as evolutionary, natural resource based, andinternationally oriented. In the context of newly industrialized countries, theinternalization of ISs has been perceived through effects of research and developmentin multinational firms, technology transfer and the international trade of capital goods.The understanding of ISs and the internationalization phenomenon in relation tosustainability warrants further studies; notably studies are required that examine theinternationalization of ISs, empirically viewing this from the perspective of bothindustrialized and newly industrialized economies. / <p>RESEARCH FUNDERS</p><p>1) Brazilian Agency for Higher Education (CAPES); 2) the ScientificAgency of the Minas Gerais State (FAPEMIG), Brazil. QC 20130211</p><p></p>

Canada has a long history of investing in agricultural research, with public funds playing a dominant role for most crops up until recently. With the advent of biotechnology in the 1980s, the research industry underwent significant transformations. Crops more amenable to the application of DNA modification techniques (e.g., canola) gained considerable attention by the private sector and experienced an influx of private R&D investment and proliferation of intellectual property rights (IPRs). IPRs have changed the nature of knowledge from being non-excludable to being excludable, thus affecting the nature of research benefits and research incentives. The advantages and disadvantages of a stronger IPR system in Canadian agriculture are currently hotly debated in policy circles. <p> This thesis develops a theoretical model that describes the incentives for innovation and the distribution of benefits from research when such innovations are protected by Plant Breeders' Rights (PBRs) versus patents. Specifically, the research industry is modeled as a monopolistic seed company undertaking research, developing a new variety and selling it to heterogeneous farmers. The difference between PBRs and patents is embodied in the farmers' decision that incorporates the possibility of seed saving envisioned by PBRs, but not by patents. The simulation results show that under certain conditions PBRs can be as effective as patents in encouraging R&D activity, and that the share of farmers in total benefits is generally smaller under patents than under PBRs. The benefits under patenting regime, however, are not necessarily smaller in absolute terms. <P>This dissertation also develops a game theoretic model to study the impact of IPRs on the sharing of research inputs. The results reveal that when two private firms compete in a differentiated product market, they will have an incentive to protect their technologies and maintain exclusive rights. Therefore, sharing within private industry may be a challenge. As IPRs proliferate, however, a lack of incentive to share/cross-license may not be confined to private industry. IPRs may also impact the propensity of public researchers to protect or share their technologies. <P>To address the issue of sharing and assess the efficiency of the current IP protection system in the Canadian plant breeding industry, interviews with wheat and canola breeders were conducted. The responses suggest that, in general, patents have become more prevalent in both industries over the last decade, which has, in turn, reduced germplasm and information flows and increased secrecy. There is also evidence that patents undermine R&D efforts in some potentially promising areas of research and make freedom to operate in the breeding industry a concern.

This project examines the theoretical basis for linking industrial clustering to the strategic management of firms. Specifically, a recently deployed theory building framework defined three perspectives on clustering, the competitiveness perspective, the externalities perspective and the territorial perspective, but stopped short of explaining when, where and to whom these perspectives are relevant. This thesis proposes that firms are the central recipient of cluster effects and that the product-based, resource-based and knowledge-based approaches to management provide the theoretical base from which the operational contexts of each cluster perspective can be defined. Three cluster-management relationships are modelled and beta-tested on a sample of cluster-based firms. The empirical analysis is designed to provide feedback to the theory building process and not to prove or disprove the theory itself.<p> The analysis yielded little if any evidence that the proposed cluster-management relationships are present in the sample that was studied. This result was a surprise as the exuberance with which clusters and their benefits are often promoted suggests that in a cluster there should be a pronounced correlation between firm performance and cluster attributes. The statistical limitations of this analysis mean the results can not be inferred to the general population and that the theoretical propositions are not actually disproved. Nonetheless, the muted observations do cast attention on the need for better modelling and measurement instruments in the field of cluster research. In addition, this project initiates a deductive process by which subsequent research can focus on the causal pathways that comprise the phenomenon of industrial clustering; including the pathway that links clusters to firms and then to economic performance.

Much recent discussion has highlighted the challenges posed by what have variously been called “disruptive”, “discontinuous”, “breakthrough” and “radical” innovations. Although the labelling may vary, the underlying themes appear to be consistent. In particular it is clear that under conditions in which the dominant “rules of the game” change as a result of emergent or shifting markets, major movements at the technological frontier, dislocations in the regulatory environment etc, even organizations with well-developed innovation capabilities get into difficulties. This is less a matter of particular technological, market or political stimuli than of the limitations of the repertoire of organizational responses available to the firm. This resurfaces a long-running concern with managing innovation in two different modes, namely “exploitation” and “exploration”. This thesis reports the results of exploratory research into specific aspects of the organizational culture within the Research and Development (R&D) setting of a small mature UK based company, Cerulean. In doing so it also identifies and discusses key management interventions for developing an innovation culture that facilitates radical product innovation. Cerulean designs and manufactures quality control instrumentation and has in the past been very successful with radically new products. In recent years this propensity for “radicalness” has declined and the company now wishes to regain this capability. A grounded research methodology and a participative action research approach was utilised to surface issues that clearly illustrated both the presence and intensity of aspects of organisation culture that enabled and inhibited radical product innovation. Participative analysis of the data identified nine emerging themes and key constructs of an innovation culture that was found to influence “radicalness” in new product development ventures. The interrelationships between the themes were discussed in the context of current theoretical perspectives in the field of innovation management. This led to the development of a conceptual model that incorporates two “ideal” archetypal forms of innovation culture. A composite instrument was developed based on existing evaluation tools and used to assess the innovation culture. First use of the instrument indicated areas of opportunity in developing a radical innovation culture. Further participative analysis of the emergent themes and the assessment and evaluations of the extant innovation culture, resulted in a series of management interventions to stimulate the development of a culture to facilitate radical product innovation. The design of the interventions was also informed by the literature and other organizations, part of a national Discontinuous Innovation Forum (DIF) undergoing similar ambitions. The proposed interventions comprise a series of linked management actions in the form of a plan to shift the innovation culture of the company closer to a desired radical innovation culture.

Technological position is a dimension along which organizations can either differentiate from or mimic the behavior of other organizations in the technological landscape. This paper is aimed at providing empirical evidence of the specific ways in which an organization’s technological position choice is impacted by the tension that arises from technological co-location; the information available to the focal firm; and the focal firm’s usage of such information. In this dissertation I examine the factors influencing technological agglomerations in technological positions in the technological landscape. I further examine how the organization’s experience impacts its strategic positioning choice while facing the tradeoff between the expected derivatives of co-location - opportunities and competition. I argue and find that an organization strategically positions itself in the technological landscape based not only on the information it has gathered on its technological environment but also using its own experience and information. Further, my findings show that the organization’s technological positioning choice reflects the tension between opportunity and competition, which questions the notion of isomorphism.

This thesis groups three papers examining the role of multi-location firms in the geographic diffusion of knowledge. The first chapter examines whether a firm's headquarters can tap into the knowledge pool in a remote location through FDI. Using U.S. patent data, I show that an R&D headquarters in location “A” cites third party patents from location “B” disproportionately (relative to a control group also from location “A”) when the firm has an R&D satellite in location “B”. This “satellite effect” on knowledge diffusion is economically significant, representing 47% of the knowledge flow premium associated with collocation. Furthermore, the effect is particularly strong for new knowledge, as well as in areas of satellite technological specialization. In addition, the results show that firms with stronger cross-location, intra-firm networks experience a larger satellite effect on knowledge diffusion. The second chapter studies the effects of remote satellites on outward knowledge flow with an international development focus. I find that the presence of a foreign MNC subsidiary increases the flow of knowledge from the MNC's headquarters to local firms. This effect is largest in countries and sectors with strong but not world-class capabilities, having both the motivation and absorptive capacity to learn from foreign parties. The results suggest that emerging country governments should promote inward FDI since the knowledge brought by multinationals spills over to local firms and boosts innovative capacity. The third chapter offers a theoretical foundation for thinking about the exchange of knowledge and ideas, and the role of remote satellites. I present a model where ideas are shared through social networks as modeled by repeated agent interactions. The mechanism at once explains three broad empirical findings: why the diffusion of ideas is highly localized, why ideas flow more easily within the firm, and why firms can access remote knowledge by establishing a presence in the remote location. A firm endogenously decides whether to establish a presence in a remote location and if so how much autonomy to award the remote agent. The relative importance of external vs. internal knowledge in the innovative process is a key determinant of the firm's organizational structure.