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[pt] O objetivo da dissertação é analisar e comparar os fatores determinantes das inovações ambientais geradas pelas empresas brasileiras, segundo padrões setoriais de mudança tecnológica, tendo como fonte de dados os indicadores da Pesquisa Nacional de Inovação (Pintec) realizada pelo Instituto Brasileiro de Geografia e Estatística (IBGE). A pesquisa pode ser considerada descritiva e aplicada. A metodologia adotada compreendeu pesquisa bibliográfica sobre inovação, padrões setoriais de inovação; classificações tecnológicas e estratégias de baixo carbono, destacando-se a importância das inovações ambientais e a contribuição de estudos empíricos internacionais e nacionais sobre determinantes desse tipo de inovação; pesquisa documental referente à Classificação CNAE e à Pintec 2014, ambas publicadas pelo IBGE; análise de conteúdo para classificar as atividades econômicas das empresas respondentes da Pintec 2014, segundo os padrões setoriais de mudança tecnológica da taxonomia proposta por Pavitt; elaboração de plano tabular referente às questões da pesquisa para solicitação dos dados ao IBGE; recebimento e formatação dos dados da Pintec 2014; aplicação do modelo econométrico logit para análise dos determinantes de inovações ambientais por padrão setorial; interpretação e discussão dos resultados. A utilização de indicadores da Pintec 2014 para analisar os fatores determinantes da geração desse tipo de inovação e a associação desses indicadores aos padrões setoriais propostos por Pavitt conferem à pesquisa um caráter inovador, uma vez que os estudos anteriores sobre inovações ambientais não exploraram essa abordagem metodológica. Na esfera governamental, os resultados gerados (por padrão setorial) serão relevantes para a formulação de políticas públicas de inovação mais consistentes e bem estruturadas. / [en] This dissertation aims to analyze and compare the determinants of environmental innovations generated by Brazilian companies, according to sectoral patterns of technological change, using data from the National Innovation Survey (Pintec) published by the National Institute of Geography and Statistics (IBGE). The research can be considered descriptive and applied. The methodology included bibliographical research on innovation, sectoral patterns of technical change; technological classifications and low carbon corporate strategies, highlighting the importance of environmental innovations for achieving their targets; the contribution of previous empirical studies on the determinants of environmental innovations; documentary research concerning the CNAE Classification and the Pintec 2014, both published by IBGE; content analysis to classify the economic activities of respondent companies of Pintec 2014, according to the sectoral patterns of technological change, as proposed by Pavitt; elaboration of a tabular plan aligned to the research questions for requesting data to IBGE; data collection; application of the logit econometric model to analyze and compare the determinants of environmental innovations by sectoral pattern; interpretation and discussion of results. The use of indicators from Pintec 2014 to analyze and compare the determinants of this type of innovation and the association of these indicators with the sectoral patterns proposed by Pavitt give the research an innovative character, since previous studies on environmental innovation did not explore this methodological approach. At the governmental level, the results generated (by sectoral pattern of technical change) will be relevant for the formulation of more consistent and well-structured public policies concerning environmental innovation.

Oil palm has flourished as an economically vital crop in Indonesia given its use in both food and non-food products (including biodiesel) for domestic and export markets. However, the expansion of oil palm plantations in Indonesia is controversial. While the crop generates fiscal earnings for the country, and regular income streams for farmers and companies, oil palm plantation expansion is claimed to cause deforestation, environmental degradation and biodiversity losses. At the same time, there is a national target to reduce GHG emissions from land use change and the production of palm oil. Climate change mitigation goals also include ambitious targets to blend biodiesel with fossil diesel in various economic sectors. This thesis looks at the palm oil agro-industry, from oil palm plantation to crude palm oil (CPO) production, and CPO based biodiesel production. It proposes a policy evaluation to verify policy implications in relation to the issue of land use allocation, and the poor profitability in palm oil biodiesel production. The overarching objective is to evaluate the effectiveness of prevailing policies used to promote the palm oil agro-industry for biodiesel production in Indonesia. The thesis is framed by policy research and ex-post policy evaluation. The focus is on the process of policy formulation and implementation, rather than outcome evaluation. Two specific analytical frameworks are used to answer the research questions while addressing the criteria of effectiveness in policy evaluation: (i) policy coherence analysis and (ii) life cycle cost analysis. Qualitative indicators are used to measure the coherence of biofuel policy with other sectoral policies (agriculture, climate and forestry) in relation to land allocation. Quantitative economic indicators are used to compare the costs and benefits of conventional palm oil biodiesel production with a biorefinery conceptual plant. There are valuable lessons to be learnt from this policy evaluation. The results indicate areas in which policy effectiveness can be improved. For land allocation, adjustments and improvements in policy formulation and implementation are crucial. Uncertainties when it comes to the allocation of land to meet multi sectoral policy goals are to be addressed by clarifying land use definitions and categories, which should be backed up by consistent land use definitions in various policy documents. The dual land classification presently applied should move towards a single land classification, linking actual landscape coverage and the legal status of the land. Policy information and guidance across sectoral policies should be compiled in a single database. Such a publicly available database would help enhance the efficiency of land allocation for multiple policy purposes. More importantly, the formulation of biodiesel policy has to engage various sectoral policies that compete for the same resources. The biorefinery conceptual plant allows the reduction of government subsidies, while also providing a pathway to enhance the use of renewable energy and reduce GHG emissions. Policies have been designed to enhance plant profits through the improved utilisation of biomass residues in the palm oil mill for energy generation and composting. However, the low implementation rate of policies indicates the need to improve the effectiveness of policy implementation, and therefore the need for better monitoring processes, and possibly more stringent consequences for non-compliance. / <p>QC 20180223</p>

In the Sustainable Development Goal’s (SDG) decade of action, research from various disciplines focuses on the proper pattern of SDG implementation and the role of partnership to ensure balance between economic, social, and environmental dimensions. Yet, there is a lack of clarity in the empirical understanding of it. This thesis aims to unravel the potential of Triple Helix Model cooperation and the EU's Principle of Partnership in the multilevel governance system in Sweden for the proper realization of such goals. Relying on the perspectives of the Triple Helix Model and the EU's Principle of Partnership, the thesis examines potential synergies across SDGs, the pressing need for cooperation in multilevel governance systems, and meta-governance instrumental strategies for SDGs’ proper implementation. Moreover, it identifies partnership as innovative governance in SDG implementation. The study complements the existing body of knowledge and literature with relevant findings that reveal the proper functioning of implementing the SDGs. Firstly, the findings indicate interlinkages between the goals using triple helix model cooperation in the Vaxjo case. Triple Helix Model cooperation has proved to be soft governance for the SDGs' implementation. Secondly, the EU's Principle of Partnership in the multilevel governance system indicates potential challenges in harnessing synergies in implementing the SDGs. That the thesis finds these results in the case of Sweden, which is among the leading countries for SDG interaction, highlights the importance of effective cooperation at different levels of government to localize SDGs and ensure synergies. Lastly, this thesis highlights how important sub-national units are to the localization and realization of the SDGs. These findings suggest that the Triple Helix Model is a main driver of the achievement of SDGs in Sweden that may also be applicable in all countries with current triple helix model potential. However, the findings provide a new understanding of the importance of cooperation across different sectors and tiers of governance systems. The present study offers the first comprehensive assessment of cooperation in a multilevel governance system to implement SDG properly.

Aunque las diferencias entre países en la productividad total de los factores (TFP) sectorial está en el corazón de la teoría Ricardiana de comercio y en el de muchos modelos de crecimiento y desarrollo, muy poco se sabe acerca de su forma y tamaño. Los dos primeros artículos intentan rellenar esta brecha utilizando un modelo de comercio híbrido de Ricardo-Heckscher-Ohlin y datos bilaterales de comercio sectorial. Se brinda un conjunto comparable de productividades para sectores industriales en más de sesenta países en todas las etapas de desarrollo, y las estimaciones se aplican para probar teorías de desarrollo que tienen implicancias sobre el patrón de productividades sectoriales entre países. El tercer artículo se enfoca en los efectos de la liberalización comercial sobre la estructura productiva de los países. Se estiman matrices de transición que describen la dinámica de especialización en economías liberalizadas. La sección final del artículo relaciona empíricamente la especialización sectorial con la dotación e intensidad de factores

面對所謂棘手議題（wicked issues），本文有別於傳統府際管理及其他解析理論的分析觀點，改以跨部門治理概念探討行政轄區界線模糊，多部門、多組織同時參與標的個案之狀況。同時為處理治理概念定義模糊的問題，爰採文獻分析法將治理概念內涵區分為政府中心、市場中心及社會中心三類，並發現多數跨部門治理議題的研究，偏重應用政府與市場觀點，爰本文主張以社會中心治理途徑針對「洛杉磯河整治計畫」進行分析。簡言之，本文的研究問題包括： 一、過往國、內外跨部門治理議題，採取哪些治理途徑？何謂社會中心治理途徑？以跨部門治理議題之規劃過程為例，其治理原則、治理結構與治理結果應有何具體主張？ 二、「洛杉磯河整治計畫」的草案規劃過程，應用哪些制度性安排，藉以產生該計畫之集體規劃成果？ 三、在前述參與機制的安排之下，研究個案的集體規劃過程是否在治理實務與理論主張之間出現落差？各部門參與狀況為何？存在哪些爭議問題？ 四、「跨部門治理」個案，在集體規劃過程應採用何種治理架構，有助於落實跨部門治理原則，以及提高各部門利害關係人對治理結果的滿意程度。 透過上述研究問題與個案，本研究探討三個部門（sectors）間如何（How）「合作」（collaboration）或如何促進合作，以達成共識的問題；又或者從反面來說，是探討哪些因素影響了跨部門合作，三個部門之間存在哪些衝突。從個案研究出發，則關心個案為何（Why）合作成效不佳或無法合作的問題，同時以提出促進合作、參與的制度性安排（What）為目標。 文獻歸納指出，為促進跨部門治理的成效，應堅持公共性、課責與公共參與作為治理原則。就治理結構而言，必須觀察各部門利害關係人於個案參與機制中落實治理原則的程度，並指出應以合作性公共管理作為促進部門間合作的工具。就治理結果而言，則建議對政策利害關係人進行態度調查，詢問對政策結果的滿意與支持程度，亦即以正當性與承諾作為治理結果的指標。 本研究內文在介紹洛杉磯河整治計畫的推動過程、內容與規劃草案結果後，指出其乃是洛杉磯市府會高度共識下的政策產物，並由議會發動的跨部門治理個案。在個案之規劃過程，執行重心乃是由市政府團隊所主導，安排「社區座談會、諮詢委員會、同儕評論委員會、利害關係人委員會、任務小組會議」等五類官方主辦的參與機制，以期落實公眾參與該政策規劃過程的目的；草案規劃期間，洛杉磯河特別委員會則擔任監督的角色。 研究發現各部門參與者多數認同也支持整治計畫的願景與草案規劃內容。但整體而言，仍發現部分有待改善的重要問題，分別為受訪者對治理原則的落實存在權變的觀念，政府部門以外的參與者代表性仍嫌不足，對於社會弱勢議題缺乏討論與回應，缺乏明確的責任歸屬與課責結構安排，未臻透明的決策議價過程。再者，從治理結果的角度來分析，對草案規劃結果抱持不滿態度者多數來自整治區，對規劃結果未表支持者多為男性、30歲以上、政府部門以外之受訪者、來自整治區、參與時間點較早；特別是針對整治的經濟利益與所需經費來源的估算，表示了高度的質疑。 儘管個案規劃過程仍有前述疑義，但在參與觀察的過程，研究者發現個案所處系絡具有較為成熟的社會條件，對於治理原則的認同程度彰顯了公民社會的成熟，也奠定尋求部門間合作的可能性。就跨部門治理之規劃個案而言，本文建議以樹立治理原則為先，進而逐步將其落實於參與過程及相關機制設計之內，最後則可透過正當性與承諾對集體參與之規劃成效加以評估。在研究調查資料與參與觀察的基礎之上，本文運用John Clayton Thomas所提出之「公共涉入形式矩陣」，將洛杉磯河整治計畫草案之規劃過程定位為「修正的獨立自主管理決策」，意指徒具參與形式的決策類型。依據本研究之個案分析架構，本文為洛杉磯河整治計畫之規劃過程提出十三項建議，於下分述之： 一、就制度性安排而言 （一）規定弱勢團體最低代表制；（二）公布各委員會之委員遴選標準、程序與職權；（三）訂定跨部門治理個案之責任宣言；（四）增辦弱勢團體公共會議；（五）善用既有公、私渠道以彙整利害關係人的建議。 二、就部門參與而言 （一）建立主動的意見回饋系統；（二）提高各類資訊的曝光度；（三）擴大計劃團隊、減小公共會議規模。 三、就提高規劃草案結果的「正當性」而言 （一）進行部門間的規劃溝通會議；（二）進行二度訪視／會談計畫；（三）避免由上而下的事前提議。 四、就提高利害關係人對草案結果的「承諾」而言 （一）進行施政成效行銷；（二）縮小計畫範圍，推動先導型計畫為先。 總結研究「洛杉磯河整治計畫」所獲得之啟示，在研究層面確認政府機關在跨部門治理議題中，其扮演的角色不因營利及非營利部門的涉入而被取代，反倒是承擔關鍵整合者的角色，應以合作促進政策議題得以被妥善解決。對本土的啟示而言，社會條件的成熟程度乃是推動跨部門治理的重要因素，無論是公民資格的養成或公民社會的建立，都將有利政策參與環境的鞏固。對土本同質個案的啟示而言，以台北市政府目前積極推動的「活化淡水河系」政策為例，其政策倡議的源頭與洛杉磯河整治計畫絕然不同，規劃、整合、執行及監督的分工亦尚未明朗，民間力量的參與渠道亦尚未建立。質言之，若以洛杉磯河整治計畫草案的規劃經驗為鑑，要避免陷落於「獨立自主決策」類型，建議除了持續健全社會條件之外，在參與機制的安排上，應妥善顧及公共性、課責及公共參與等治理原則，以社會中心治理途徑平衡過渡傾向政府主導、市場取向的規劃觀點。

Dans un contexte d’économie des connaissances, le brevet est utilisé de différentes manières par les pouvoirs publics et les inventeurs pour l’incitation à l’innovation, la protection et la diffusion des connaissances. Le but est de cette thèse de faire une analyse du système de brevet. Pour ce faire, nous proposons une nouvelle approche du brevet qui prend en compte, les spécificités sectorielles. Nous appelons ainsi cette approche, système sectoriel de brevets. Partant de l’analyse standard fondée sur le principe du « one size fits for all », nous élaborons une grille d’analyse qui tient compte de la nature des connaissances à protéger. Le processus d’apprentissage, la base de connaissances, les opportunités technologiques, la spécificité du savoir et les conditions générales d’appropriation, sont les constitutifs de la grille. Ils permettent de classer les technologies en deux types : technologies complexes et technologies discrètes. De cette classification, nous en déduisons les stratégies et les usages sectoriels de brevets. Nous montrons que, dans les technologies discrètes, cas de la pharmacie et des biotechnologies, les brevets protègent efficacement les inventeurs, et les stratégies de brevets dominantes sont de type fencing, evergreening. Tandis que, pour les technologies complexes, cas de l’électronique et des logiciels, le brevet est considéré comme étant peu efficace. De ce fait, il est complété par d’autres moyens de protection comme la complexité technologique, l’avance technologique, le secret, le copyright, pour lutter contre l’imitation, l’invention autour. Les stratégies de brevets font apparaître des phénomènes de type patent thicket. / In a context of knowledge economy, patents are used in different ways by the government and inventors the incentive for innovation, protection and dissemination of knowledge. The aim of this thesis is to analyze the patent system. To do this, we propose a new approach to the patent which takes into account sectoral specificities. We thus call this approach, sectoral system of patents. Starting from the standard analysis, based on the principle of "one size fits for all", we develop an analytical framework that takes into account the nature of knowledge to protect. The process of learning, knowledge base, technological opportunities, the specificity of knowledge and general conditions of appropriability, are the base of the model. They allow to classify the technologies into two types : complex technologies and discrete technologies. In this classification, we deduce strategies and sectoral uses of patents. We show that in discrete technologies, like the pharmaceutical industry and biotechnologies, patents effectively protect inventors and the dominants types of patent strategies are fencing and evergreening. While for complex technologies, electronics and software, the patent is considered inefficient. Thus, it is supplemented by other means of protection such as technological complexity, technological advance, the secret, copyright, to fight against copying the invention around. The patent strategies reveal phenomena such patent thicket, bulks.

Contexte : Pour les programmes sanitaires faits dans les pays à faibles ressources, la non-pérennisation des résultats est un phénomène important (Pluye, Potvin, & Denis, Making public health programs last: conceptualizing sustainability, 2004). Par contre, peu d’études ont été faites pour présenter des solutions à ce problème. Pour trouver des pistes de réponses, nous avons fait une étude de cas du programme national multisectoriel de lutte contre le VIH/SIDA (PNMLS) en République Démocratique du Congo. En 2004, le programme a été implanté avec l’aide de la Banque Mondiale à travers son programme MAP (Multi Aids Program). Le MAP s’est retiré en 2010. Objectifs : Le but de notre recherche était de déterminer, trois ans après le départ du MAP, quel a été le niveau de pérennisation des objectifs atteints. Notre autre objectif était de savoir quels ont été les facteurs qui ont influencé la pérennisation des objectifs atteints. Méthodes : Nous avons fait une revue de littérature sur la pérennisation et ainsi développé un cadre théorique mettant en lien les facteurs qui pourraient influencer la pérennisation des résultats. Nous avons observé le programme PNLMS dans son écosystème pour repérer quels sont les facteurs qui ont influé la pérennisation des résultats. Nous avons passé des entrevues aux acteurs clefs et avons fait une analyse documentaire, pour ainsi trouver des réponses à nos questions de recherche. Résultat : notre recherche supporte le concept qu’une approche multisectorielle aurait un impact positif sur la pérennisation des résultats. Par contre, il est important d’adapter cette approche multisectorielle à l’environnement et l’écosystème dans lequel évolue le programme. Cette adaptation doit se faire dès l’implantation du programme. / Background : For health programs made in developing countries, non-sustainability of the changes and progress is an important phenomenon (Pluyer, Potvin, & Denis, 2004). However, few studies have been conducted to present solutions to this problem. To find possible answers to the issue, we have decided to do a case study on the national program of multi-sectoral fights against HIV/AIDS (PNMLS) in the Democratic Republic of Congo. In 2004, the program was implemented with the help of the World Bank through the MAP (Multi Aids Program). In 2010, MAP stopped its involvement in the program. Objectives : The goal of our research was to determine, three years after MAP stopped its involvement, what was the level of sustainability of the results achieved by the program back in 2010. Our other goal was to detect what were the factors that influenced the sustainability of those results. Methods: We did a review of existing literature on sustainability and developed a theoretical framework that shows the dynamic between factors that could influence the sustainability of results. We have observed the PNLMS in its ecosystem to in order to identify what factors had an influence on the sustainability of results. We had interviews with key players and did a review of all publications that were made on the PNMLS. This method helped us so to find answers to our research questions. Result: our research supports the concept that a multisectoral approach can have a positive impact on the sustainability of results. However, it is important to adapt the multi-sectoral approach to the environment and the ecosystem in which the program operates. This adjustment must be made from the implementation stage of the program.

Cette thèse présente trois chapitres qui mobilisent un cadre d’analyse évolutionniste et qui étudient empiriquement la relation « innovation-performance » à partir de données CIS. Nous souhaitons montrer que les sources de l’innovation et les méthodes d’appropriation varient en fonction des secteurs d’activité et des stratégies d’innovation des firmes. Dans un premier temps, nous décrivons les tendances de l’innovation à partir de quatre vagues d’enquêtes CIS (1994-2006) et nous analysons la persistance de l’innovation sur un échantillon de 431 firmes avec une régression logistique binaire. Nous montrons que la persistance de l’innovation est plus élevée pour les firmes qui innovent en produits car ces firmes sont contraintes d’investir de manière continue dans des projets d’innovation pour rester compétitives. Les firmes qui innovent en procédés sont moins persistantes car leur stratégie est plus orientée vers des ajustements de la qualité des produits ainsi que vers l’amélioration des processus de production. Les deux derniers essais explorent avec la méthode des doubles moindres carrés le lien innovation-performance économique sur un échantillon de 7 742 firmes portant sur la période 2002-2005. Nous expliquons que la source principale de l’innovation des firmes à « forte intensité scientifique » est la R&D, d’une part, et que les méthodes d’appropriation des rentes de l’innovation passent par l’acquisition d’actifs complémentaires (tels que l’utilisation combinée de titres de propriété intellectuelle et de secrets de fabrication), d’autre part. En revanche, les firmes dans les autres catégories (notamment celles à fortes économies d’échelle) fondent leurs avancées technologiques sur des sources externes de l’innovation telles que les concurrents, les fournisseurs et les utilisateurs avancés. De plus, ces firmes utilisent de manière plus importante des méthodes d’appropriation commerciale telles que les marques ou les stratégies marketing, car leurs produits sont moins exposés au risque d’imitation certes, mais aussi parce qu’elles sont sensibles aux changements de coûts. / This thesis is structured in three essays based on evolutionary theoretical grounds and provides empirical evidence from CIS. It aims at showing that the sources of innovation and the appropriation of innovation rents vary in function of firms’ activities and innovation strategies.In essay 1, we describe four waves of CIS, covering the period 1994-2006 and we study persistent innovation behavior with a discrete choice model on a data set of 431 firms. We find that innovation persistence is more important for product innovators because they need novel products to be more competitive and therefore enrich their base of knowledge continuously. By contrast, process innovators are less persistent because innovation strategy is less “market” oriented and intends to meet quality or production adjustments. The two last essays explore with the two stage least squares method how firms benefit economically from their innovations on a sample of 7 742 firms, on the period 2002-2005. We show that science-based firms rely more on R&D investments to develop their products and maintain their leads by acquiring complementary assets, i.e. they use mixed methods to appropriate the rents of innovation (the combined use IPRs and strategic methods for instance secrecy). By contrast, firms in other categories (for instance firms using cost-cutting strategies) draw more on external sources of knowledge coming either from suppliers or advanced users. Additionally, these firms use more extensively trademarks or non technological methods of appropriation (as marketing devices), because they are less exposed to potential imitation and because they are price sensitive.

[pt] O objetivo da dissertação é contribuir para o avanço do conhecimento sobre a capacidade de inovação e os obstáculos à inovação enfrentados pelas empresas da Base Industrial da Defesa (BID), destacando-se o papel da Tecnologia Industrial Básica (TIB) no fortalecimento dessa capacidade. Particularmente, a dissertação procura responder como as empresas da BID percebem a importância das funções da TIB - metrologia, normalização, regulamentação técnica e avaliação da conformidade – em seus ciclos de inovação, na perspectiva de ressaltar os benefícios oriundos da consolidação da infraestrutura nacional de serviços tecnológicos de suporte à capacidade inovadora dessas empresas. A metodologia compreende: (i) revisão bibliográfica e documental sobre os temas centrais da dissertação; (ii) definição do objeto do estudo; seleção da fonte primária de dados – Pesquisa de Inovação (Pintec) do IBGE – e da grade de análise da pesquisa; (iii) elaboração do plano tabular para solicitação ao IBGE de tabulações especiais da Pintec 2011; (iv) análise e discussão dos resultados; e (v) formulação das conclusões da pesquisa e de sugestões para a próxima Pintec e estudos futuros. Destacam-se como resultados: (i) a identificação de itens da Pintec diretamente associados às funções da TIB; (ii) a análise da percepção das empresas da BID sobre a relevância das funções da TIB para a inovação; e (iii) a análise comparativa dos padrões de respostas das empresas da BID que implementaram inovações e das que não implementaram. / [en] The main aim of this dissertation is to contribute to the understanding of basic infrastructural technologies support to innovation activities by firms of defense industry in Brazil. Particularly, this work seeks to answer how defense firms perceive the importance of infrastructural technologies - metrology, standardization, technical regulation and conformity assessment - in their innovation cycles. The methodology comprises: (i) a literature survey to elaborate a theoretical outline to characterize the core subjects of the research: defense innovation system and defense products; sectorial systems of innovation; and infrastructural technologies; (ii) definition of the research scope; selection of the primary data source - the Brazilian Survey of Technological Innovation (Pintec), published by the Statistical Office (IBGE), and the research analytical framework; (iii) data collection and tabulation; (iv) main findings discussion; and (v) formulation of conclusions and suggestions for the next Pintec survey and for future research. The main results can be summarized as follows: (i) identification of PINTEC items directly associated with basic infrastructural technologies; (ii) identification and analysis of Brazilian defense firms perceptions about the relevance of basic infrastructural technologies in supporting their innovation strategies; and (iii) comparative analysis of patterns of response of innovative and non-innovative defense firms.