Governments in both advanced and emerging markets invest heavily into joint R&D projects to facilitate inter-firm collaboration and scientific productivity. As a science-based cluster, nanotechnology is a highly R&D-intensive field with very complex interdisciplinary features that enables multiple interactions between scientists from diverse cultural backgrounds working for multi-faceted organizations across public and private sectors and through internationally regulated borders. In this thesis, I examine the main determinants of the dimensions of inter-firm collaboration in high-tech industries particularly among nanotechnology R&D organisations across Europe. Also, I investigate the key factors that influence the innovation, financial and exit performance of nanotech companies during the commercialisation period and across 15 developed and developing countries, taking into consideration the involvement of venture capital (VC) firms. In order to methodically integrate the qualitative and quantitative features of my research study, I employed mixed method to analyse primary and secondary data collected via survey instruments and comprehensive databases; to gain valuable insights into the complexities around nanotech R&D organisations. The regression results show that a predictable legal system; a high level of tolerance for uncertainty; the proximity to key partners; a high level of export demand for high-tech products; and expansionary economic policies, leads to highly valuable and long-term relationships which produces optimal partnership size with an effective organizational structure. I find that a high financial status of nanotech firms equips R&D project managers with sufficient tangible and intangible resources to engage into complex collaborative partnerships which yield innovative performing outcomes. Also, I find that nanotech R&D firms that exit venture capital investments via IPO are more likely to have their head offices in a big city; and access foreign capital to expand manufacturing operations. I conclude that the successful commercialisation of nanotechnology industries across the globe has been due to the substantial R&D public expenditures and private investments into the application and proliferation of nanotechnologies in key converging scientific fields which require robust inter-firm collaborative partnerships to rapidly develop and promote several portfolios of high-tech products that continually satisfy consumer needs in disruptive ways and secure long-term profitability for nanotech R&D organisations.

This thesis contributes to the analysis of optimal industrial and strategic trade policy in the presence of oligopoly and other forms of imperfect competition, so as to make contact with important empirical regularities and policy concerns, such as international R&D collaboration, unionization and free trade. First, in the context of international competition in which R&D plays an important role, we study the consequences of allowing governments to subsidize R&D and coalition deviation on the R&D collaboration networks. Then we investigate the formation of FTAs as a network formation game. While the analysis of welfare effects takes the central stage, we also analyze the nature of trading regimes that are consistent with the incentives of individual countries. We address the issue of conflict of interests among firms, consumers and governments as well. Finally, we integrate the analysis of international R&D collaboration and strategic trade policies, and demonstrate how an asymmetric equilibrium arises from an international trade model with symmetric countries and symmetric firms, and study whether it is sometimes possible to improve national welfare by jointly implementing trade and industrial policies.

Background and problem: There are a number of benefits that can be gained from an inter-firm R&D collaboration, however it is at the same time a challenging task. An important factor to achieve a sucessful R&D collaboration is the knowledge integration between the companies. Handling the two problems of cooperation and coordination are key to this success and can be done by using different mechanisms. These mechanisms suggest that the increasing degree of problems with cooperation and coordination requires increased control. As a result, an interesting aspect is how to manage the contradiction between control of knowledge integration and the need for flexibility which are both necessary for the explorative phase of an innovation process. Objective: The purpose of this thesis is to explore how an inter-firm R&D collaboration in the explortive phase of innovation can manage the knowledge integration contradiction of flexibility and control. Method: To fulfill our purpose we have made a ethnographically inspired case study on an inter-firm R&D collaboration in the explorative phase of innovation. Definitions: Knowledge integration: Taking advantage of specialists’ knowledge that exists in collaboration. Inter-firm R&D collaboration: A partnership between external companies undertaking research and developing something together. The explorative phase of innovation: The early phase before the architecture of the innovation has been set. Conclusion: Our results indicate that a loose structure, high trust, bigness as a source of power, vertical collaboration, close collaboration and limited size of the collaboration are mechanisms that the collaborators use to manage the contradiction between flexibility and control in the explorative phase of innovation.

Over the past two decades, the literature on Absorptive Capacity (AC) research has been burgeoning with enormous empirical and theoretical contributions to the field. Yet, there is not much advancement in understanding the internal dynamics of AC and the concept remains a black box in a large body of research. This study aims at contributing to this body of knowledge by examining the development of AC throughout the lifecycle of R&D consortia. In particular, it examines the pre-conditions of AC across its three dimensions corresponding with the phases of consortia: exploratory, transformative and exploitative learning, and investigates the role of disciplinary, organisational, and intra-organisational boundaries in the development of AC.Utilising a case study research strategy, the thesis analyses AC in three R&D consortia in the alternative materials, pharmaceuticals, and aerospace industries and embraces qualitative methods with interviews and documents as its main sources of data. The collected data is analysed through template analysis technique assisted by the NVivo 8 software package. The theoretical contributions of the thesis are fourfold. First, findings indicate that AC is not an exclusively organisational or dyadic capability, but a three-level concept unfolding at the consortium, interface (between consortia and organisations), and organisational levels, and in exploratory, transformative and exploitative phases throughout the consortium lifetime. On that basis, a model for AC in R&D consortia is developed and its underlying learning mechanisms and conditions across levels and phases are discussed in detail. Second, the thesis contends that the development of a shared space which provides the opportunities for participation and development of shared meaning across organisational and disciplinary boundaries in R&D consortia serves a critical role in the development of AC. The characteristics of the shared space and the conditions for its development are specified. Third, by integrating adaptation mechanisms to the formulation of AC, the thesis contributes to understanding of AC as a dynamic capability-a higher order capability to change operating routines and processes. This finding feeds into the argument that AC is both path-dependent, by storing knowledge in routines, processes and artefacts through exploitative learning, and path-breaking, by modifying and changing prevailing processes and structures through exploratory and transformative learning. Finally, the thesis argues that understanding learning in R&D consortia necessitates taking into consideration the effects of disciplinary and organisational boundaries simultaneously. It is argued that organisational boundaries can influence the transfer of knowledge even within disciplinary domains, which challenges the excessive focus of practice-based research on disciplinary boundaries in cross-disciplinary collaborations, calling for further exploration of the role of organisational boundaries within a given disciplinary domain. These theoretical contributions are accompanied by a set of managerial implications for the formation and governance of R&D consortia, as well as policy implications for evaluation of policy interventions in collaborative research schemes.

根據KPMG的研究顯示(2014)，生技製藥廠商間的合作是產業發展的趨勢，但合作的目的已經從原先的降低成本，發展到加速創新的產生。眾多國際製藥公司已經與外部夥伴進行合作，其中合作研發最能發揮合作夥伴間的效用，越緊密的合作越能使得合作網絡中多樣化的技術、能力結合，從而增強對於未被滿足醫療需求的理解。由此可見，跨國研發合作成為全球生技製藥廠商的企業策略。過去已有許多學者研究我國科技產業與國際廠商之研發合作，但甚少探究生技製藥廠商與國際生技製藥廠商間的研發合作。 本研究選定具有跨國研發合作豐富經驗的台灣生技製藥廠商為研究對象，探討其企業策略、核心能力及跨國研發動機如何影響跨國研發合作的管理。本研究從跨國研發合作影響因子以及跨國研發合作管理之內容兩個構面探討台灣生技製藥廠商與國際生技製藥廠商進行研發合作的互動關係。研究方法採取多重個案研究法，文獻探討部分包含生技製藥產業、企業策略與核心能力、國際研發合作、合作夥伴篩選因素、知識移轉與智財管理，研究者結合研究問題與文獻回顧導出觀念性研究架構，再依研究架構為主軸進行個案訪談與資料收集，實地深入訪談我國兩家生技製藥廠商，得出以下結論： 本研究發現，台灣生技製藥廠商與國際生技製藥廠商研進行發合作的動機一致，為降低及分散風險、分攤固定成本、技術與資源的互補與移轉、夥伴間營運策略的互補與相容性。篩選合作夥伴的主要考量也大致相同，包含資源及技術的互補、過往合作經驗、夥伴間營運策略的互補及相容性及財務能力。另外核心技術能力會影響台灣生技製藥廠商與合作夥伴合作起始的階段，研發合作起始階段的差異，更會影響知識移轉機制、以及合作方式的不同。另外，本研究也發現到，台灣生技製藥廠商在國際合作夥伴上的選擇會以不具直接競爭關係者為主，且與合作夥伴選擇以營業秘密的方式來保護技術知識。 / According to the research of KPMG in 2014, R&D collaboration between biopharmaceutical firms is the trend of biopharmaceutical industry. Under the circumstance of globalization, product life-cycles are gradually shortening. The purpose of R&D collaboration change from cost reduction to speeding up innovation. Therefore, multinational R&D collaboration has become a global business strategy for biopharmaceutical firms. Most of the past studies of multinational R&D collaboration focus on ICT industry in Taiwan. Few specially investigate biopharmaceutical industry. Consequently, a research gap can be found as multinational R&D collaborating between biopharmaceutical firms of Taiwan and biopharmaceutical firms of other countries. This research focus on the biopharmaceutical firms of Taiwan, explore how multinational R&D collaboration influence factors (business strategy, core competencies and the motivation of multinational R&D collaboration) affect multinational R&D collaboration management of firms. This research adopts two biopharmaceutical firms in Taiwan as case studies and conducts interviews with managers to understand multinational R&D collaboration influence factors and multinational R&D collaboration management. The conclusions of this research are as below: This research finds out that the motivations of multinational R&D collaboration of Taiwan firms are coincident, including cost reduction, diversification of risk, resources and technologies complementarity. The evaluations of partner selecting are also coincident, including resources and technologies complementarity, collaboration experience, operating strategy complementarity and financial capability. In addition, core competencies may affect the initiation stage of R&D collaboration and the initiation stage of R&D collaboration may affect the mechanisms of knowledge transfer and the way of multinational collaboration. Moreover, this research also found out that the biopharmaceutical firms of Taiwan might primarily choose to collaborate with international partners who have indirect competitive relationship with them. Last, the biopharmaceutical firms of Taiwan and their partners protect their intellectual property in the way of trade secret.

This paper presents an econometric analysis of the factors that influence the degree of interregional R&D collaboration between firms and other economic actors in publicly supported innovation programs. The study is based on quantitative data of two innovation programs financed by the Swedish innovation agency Vinnova; “Fordonsstrategisk forskning och innovation” (FFI) and “Utmaningsdriven Innovation” (UDI). The econometric analysis is conducted in two parts. First, an ordered logit model is applied, measuring the correlation between the degree of interregional collaboration within each project and the different varieties of actors within the projects. Second, an OLS analysis is performed in order to see whether different firm characteristics, as well as the concentration of different sectors within the projects, influence the degree of interregional R&D collaboration. Our findings suggest that sectoral differences between participants as well as industry branch activity differences between firms impede interregional collaboration within publicly financed collaboration programs. An additional finding is that the studied programs seem to have a behavioural effect on its participants. This is demonstrated by the finding that smaller firms are more likely to collaborate interregionally compared to larger firms, something that is generally not the case in other types of unsubsidised collaborative efforts. Innovation programs may therefore be useful in correcting market outcomes that are sub-optimal from a social perspective. / Denna studie presenterar en ekonometrisk analys rörande de faktorer som influerar graden av interregional innovationssamverkan mellan företag och andra ekonomiska aktörer inom ramen för offentligt finansierade samverkansprogram. Studien är baserad på kvantitativa data över två innovationsprogram finansierade av Sveriges innovationsmyndighet Vinnova; “Fordonsstrategisk forskning och innovation” (FFI) samt “Utmaningsdriven Innovation” (UDI). Den ekonometriska analysen utförs i två steg. Först utförs en ordinal logit-analys som avser mäta korrelationen mellan graden av interregional samverkan inom varje projekt och olika spridningsmått rörande deltagarnas egenskaper. Sedan utförs en OLS-analys i syfte att se huruvida olika företagsegenskaper samt sektorkonstellationer påverkar graden av interregional samverkan inom de studerade programmen. Våra resultat visar på att sektorskillnader mellan samverkande aktörer samt branschskillnader mellan samverkande företag korrelerar negativt med graden av interregional samverkan inom de studerade innovationsprogrammen. Vidare finner vi att programmen tycks ha en beteendemässig effekt på dess deltagare vilket åskådliggörs av det faktum att mindre företag samverkar interregionalt i högre grad än större företag. Detta är något som generellt inte är fallet i andra typer av icke-subventionerade samverkansinsatser. Statligt finansierade innovationsprogram kan därför vara lämpliga i syfte att korrigera för marknadsmisslyckanden som är suboptimala ur ett socialt perspektiv.

This thesis carries out empirical investigations of the possible impacts of institutions relating to different aspects of innovation, namely incremental innovation activities, collaborative research and development (R&D) activities and radical innovation outcomes. It comprises three studies. The first empirical study focuses on examining the impact of financial constraints and intellectual property rights (IPR) protection on incremental innovation. Using firm-level data from transition countries and employing a two-step probit model with endogenous regressors, this study provides evidence that both financing constraints and strong IPR protection are negatively associated with the incremental innovation activities of firms. Results also confirm that financing constraints faced by firms are significantly influenced by the overall levels of development of financial institutions within a country. The second empirical study looks at the effects of contracting institutions and intellectual property institutions on firms’ collaborative research and development (R&D) activities in developing and transition countries. By employing the Cragg double-hurdle model, this study finds that efficient contract enforcement has a positive effect on the likelihood of firms engaging in R&D partnership and the intensity of firms' expenditures on collaborative R&D. On the other hand, the decision of firms to participate in R&D partnerships and their level of expenditure on collaborative R&D are adversely affected by the strength of IPR protection. The third empirical study investigates the influences of a set of institutions on producing new-to-the-world technologies, as measured by patents. This study is conducted by using a large panel dataset of 98 developed and developing countries over a period of 23 years. Building on the idea production framework, the unconditional quantile regression (UQR) estimates of this study show that along with key research inputs (i.e., existing knowledge stock and resources devoted to R&D), the strength of IPR protection, quality of governance and functioning of financial institutions are also significant determinants of the patent output of a country. The UQR methodology also demonstrates that the effects of institutions on patent production are heterogeneous throughout the various quantiles of patent output distribution. This thesis, therefore, offers an example of how the new institutional economics (NIE) theory is applicable in analysing innovation performances. The findings of this thesis propose useful policy directions that can assist policymakers and managers in accelerating innovation and technological development. / Ministry of Public Administration, the Government of the People’s Republic of Bangladesh

[ES] La literatura sobre redes de conocimiento se ha centrado históricamente en dos líneas de investigación. La primera analiza los orígenes de las conexiones entre nodos, explorando cómo los actores eligen a sus socios. La segunda se centra en las implicaciones de la estructura de red resultante para el intercambio de conocimiento y el rendimiento individual o colectivo. Muchos estudios han reconocido el papel fundamental que juega la proximidad social como impulsora de la creación de conexiones y como requisito para la transferencia de conocimiento tanto tácito como complejo. Sin embargo, el entendimiento académico de la proximidad social como concepto y las implicaciones de establecer vínculos fuertes sigue siendo relativamente limitado. El objetivo principal de esta tesis es abordar dos preguntas de investigación. En primer lugar, pretendemos investigar el impacto de diversas formas de proximidad social en la formación de vínculos dentro de las redes de conocimiento. En este contexto, distinguimos entre las experiencias compartidas en solicitudes de proyectos exitosas y no exitosas, ya que ambas interacciones constituyen fuentes de conexión social entre los participantes. En segundo lugar, analizamos las diferencias entre las conexiones fuertes respecto a su papel y función. Investigamos si, y bajo qué condiciones, las organizaciones aprovechan las colaboraciones repetidas para explotar varias veces el mismo tema (lo que denominamos especialización) o para explorar nuevas áreas temáticas (diversificación). Estos aspectos contribuyen a dos corrientes importantes de la literatura: la dinámica de las redes de conocimiento, al destacar el origen y las implicaciones de los vínculos fuertes; y la gestión estratégica, al analizar las respuestas estratégicas de las organizaciones frente al rechazo de financiamiento. La tesis se enfoca en la red regional valenciana de I+D financiada con fondos públicos. Para llevar a cabo el análisis empírico, creamos una base de datos que contiene información sobre todas las asociaciones de I+D formadas entre 2016 y 2022. Estas asociaciones solicitaron subvenciones públicas a dos entidades regionales, que administran conjuntamente el 75% de los 1.6 millones de euros asignados para la implementación de la estrategia regional de especialización inteligente. En general, esta investigación introduce un aspecto inexplorado de la proximidad social, que desafía las hipótesis existentes sobre el tipo de interacción previa necesaria para establecer un nivel adecuado de confianza y familiaridad que motive futuras colaboraciones entre los actores. Además, este estudio demuestra de manera empírica que los vínculos de red que son estructuralmente equivalentes pueden desempeñar roles fundamentalmente diferentes, dando lugar a la especialización o diversificación temática. Estos resultados indican que el peligro de una excesiva concentración en un tipo de actividad tras varias colaboraciones no es simplemente un resultado del entorno estructural o de la presencia de vínculos fuertes, sino que es el resultado de las decisiones estratégicas tomadas por las organizaciones sobre cómo aprovechar mejor sus vínculos fuertes. Las conclusiones de esta tesis tienen implicaciones significativas para el diseño de políticas y pueden orientar a los responsables políticos a dirigir intervenciones más efectivas sobre redes de conocimiento. / [CA] La literatura sobre xarxes de coneixement s'ha centrat històricament en dues línies d'investigació. La primera analitza els orígens de les conexions entre nodes, explorant com els actors trien els seus socis. La segona es centra en les implicacions de l'estructura de xarxa resultant per a l'intercanvi de coneixements i el rendiment individual o col·lectiu. Molts estudis han reconegut el paper fonamental que juga la proximitat social com a impulsora de la creació de connexions i requisit per a la transferència de coneixement tant tàcit com complex. No obstant això, coneixement acadèmic de la proximitat social com a concepte i les implicacions d'establir vincles forts continuen sent relativament limitats. L'objectiu principal d'aquesta tesi és abordar dues preguntes d'investigació. En primer lloc, pretenem investigar l'impacte de diverses formes de proximitat social en la formació de vincles dins les xarxes de coneixement. En aquest context, diferenciem entre les experiències compartides en sol·licituds de projectes exitosos i no exitosos, ja que ambdues interaccions constitueixen fonts de connexió social entre els participants. En segon lloc, analitzem les diferències entre els vincles forts segons el seu paper i funció. Investiguem si, i sota quines condicions, les organitzacions aprofiten les col·laboracions repetides per explotar diverses vegades el mateix tema (el que anomenem especialització) o per explorar noves àrees temàtiques (diversificació). Aquests aspectes contribueixen a dues corrents importants en la literatura: la dinàmica de les xarxes de coneixement, en destacar l'origen i les implicacions dels llaços forts; i la gestió estratègica, en analitzar les respostes estratègiques de les organitzacions davant el rebuig de finançament. La tesi es centra en la xarxa regional valenciana de I+D finançada amb fons públics. Per dur a terme l'anàlisi empíric, s¿ha creat una base de dades que conté informació sobre totes les associacions de I+D formades entre 2016 i 2022. Aquestes associacions van sol·licitar subvencions públiques de dues entitats regionals, que administren conjuntament el 75% dels 1,6 milions d'euros assignats per a la implementació de l'estratègia regional d'especialització intel·ligent. En general, aquest document introdueix un aspecte inexplorat de la proximitat social, que qüestiona les hipòtesis existents sobre el tipus d'interacció prèvia necessària per establir un nivell adequat de confiança i familiaritat que motivi futures col·laboracions entre els actors. A més, aquest estudi demostra de manera empírica que els vincles de la xarxa que són estructuralment equivalents poden assumir rols fonamentalment diferents, conduint a l'especialització o diversificació temàtica. Aquests resultats indiquen que el perill d'una excessiva concentració en un tipus d'activitat després de diverses col·laboracions no és simplement un resultat de l'entorn estructural o la presència de vincles forts. En canvi, és el resultat de les decisions estratègiques preses per les organitzacions sobre com aprofitar els seus vincles forts. Les conclusions d'aquesta tesi tenen implicacions significatives per al disseny de polítiques i poden orientar els responsables polítics a l'hora de dirigir intervencions més efectives sobre xarxes de coneixement. / [EN] The literature on knowledge networks has long grappled with two types of questions. The first concerns the antecedents of tie formation; that is, how actors select their partners. The second concentrates rather on the implications of the resulting network structure for knowledge exchange and individual or collective performance. Many studies have acknowledged the critical role of social proximity as a driver of link formation and an important prerequisite for the transfer of both tacit and complex knowledge. Yet, scholarly understanding of social proximity as a concept remains somewhat constrained and the implications of building strong ties are subject to ongoing debates. Hence, the primary objective of this doctoral work is to address two sets of research questions. First, we aim to investigate how various forms of social proximity influence the formation of ties within knowledge networks. In this context, we differentiate between prior joint experiences in successful and unsuccessful project applications, as both forms of engagement constitute a source of relational embeddedness between actors. Second, we examine how the emerging strong bonds between organizations differ in their role and function. We test whether and under what conditions organizations leverage repeated collaborations to exploit the same topic multiple times (what we call specialization) or to explore new ones (diversification). These questions contribute to two separate streams of literature: the one on knowledge network dynamics by highlighting the origin and consequences of strong coupling; and the one on strategic management by tracing organizations' strategic response to funding rejection. The thesis zooms in on Valencia's regional publicly-funded R&D network. To conduct the empirical analysis, we build a unique dataset which contains information on all R&D partnerships, formed between 2016 and 2022, which requested public subsidy from one of the top two regional sources of innovation-related funding. The two entities together manage 75% of the 1.6 billion Euros designated for the implementation of the regional smart specialization strategy. Overall, this document introduces a new, vastly unexplored facet of social proximity, thus challenging existing assumptions on what type of former interaction is necessary to generate sufficient levels of trust and familiarity so as to motivate further engagement between actors. Moreover, it demonstrates empirically that structurally equivalent network ties can assume fundamentally distinct roles, leading either to thematic specialization or diversification. These findings suggest that the danger of over-embeddedness in one type of activity after several collaborations may not necessarily be a product of the structural setting alone and the presence of strong ties. It is rather a product of organizations' strategic choices about how they harness their strong bonds. The conclusions of this thesis hold far-reaching implications for policy design, and can guide policymakers in steering more effective network interventions. / Yankova, DN. (2024). Exploring the Dynamics of Regional R&D Networks: a Closer Look at Valencia's Inter-Organizational Partnerships [Tesis doctoral]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/202886