116 leaves single sided printed, preliminary pages i-viii and numbered pages 1-106. Includes bibliography. / Scanned using a Hp Scanjet 8250 Scanner to pdf format (OCR). / Thesis (MPhil (Sociology)--University of Stellenbosch, 2003. / ENGLISH ABSTRACT: In South Africa few systematic studies have been done on university-industry partnerships. This research investigated the evolution of the University of Cape Town (UCT) and SASOL partnership involving heterogeneous catalysis. As part of this investigation, I analysed the driving force and sought to determine the motivations and benefits that UCT and SASOL have since accrued as a result of their partnership. I also analysed knowledge transmission or technology transfer processes such as the hiring of graduates, intellectual property etc. In light of all of these I sought to draw lessons that could be learnt from UCT-SASOL partnership for future purpose. I followed four themes or sections in order to situate the study. These were, (a) the socio-economic context (global and knowledge economy, innovation, knowledge society etc.), the changing modes of knowledge production ("Mode 2") and the changing ways of interactions among stakeholders industry, university and government (Triple Helix). The key argument here is that the university industry partnership cannot be seen as an independent development, but is interrelated or partly the consequence of changes in the socio-economic, science, technology and higher education fields, (b) The driving force behind the partnership, (c) motivations, benefits, and (d) knowledge or technology transfer/transmission processes. I used the case study research design. I conducted interviews with the UCT Chemical Engineering Department, UCT Centre for Research and Innovation and SASOL officials. I collected several documents related to the study and also visited the laboratories in which UCT-SASOL partnership research activities were happening. Some of the findings of the study include the following. The partnership demonstrates the significant role of an individual academic, who steered transformation in terms of research activities and culture in the Chemical Engineering Department. The legacy of the individual academic's strong personality and commitment to research is evident and continues to stimulate high levels of research interest and teamwork among staff members which is characteristic of this department. A strong link is maintained between the basic disciplinary "Mode 1" teaching and research on the one hand and the multidisciplinary "Mode 2" applied and strategic research and training on the other: This is evident in the strong emphasis on the solid undergraduate disciplinary education as a basis for a high quality multidisciplinary postgraduate education. All staff members are involved in both teaching and research. A strong link is maintained between academic, research and postgraduate activities: The department utilizes surpluses generated through industrial-oriented research to cross-subsidize the academic and postgraduate activities. / AFRIKAANSE OPSOMMING: Daar is weinig sistemiese studies in Suid-Afrika reeds uitgevoer oor universiteit-industrie samewerking. Hierdie studie ondersoek die ontwikkeling van 'n vennootskap tussen die Universiteit van Kaapstad (UK) en SASOL wat heterogene katalise insluit. Ek analiseer in hierdie studie die dryfkrag van die vennootskap, en probeer die motivering en voordele bepaal wat beide die UK en SASOL toegekom het as deel van hulle vennootskap. Ek analiseer ook die oordrag van kennis of oordrag van tegnologiese prosesse, die aanstelling van graduandi, intellektuele eiendom, ens. Ek probeer op grond hiervan lesse van die UK-SASOL vennootskap uitlig vir toekomstige doeleindes. Ek het vier temas of afdelings gebruik om hierdie studie te vestig. Dit is, (a) die sosio-ekonomiese konteks (globale en kennis ekonomie,innovasie, kennis samelewing ens.), die veranderende modus van kennis produksie ("Modus 2") en die veranderende wyses van interaksie tussen belanghebbendes - industrie, universiteit en regering (Triple Helix). Die sleutel argument hier is dat die universiteitindustrie vennootskap nie gesien kan word as 'n onafhanklike ontwikkeling, maar dat dit verband hou met of deel is van die gevolge van die veranderinge in die sosio-ekonomiese, wetenskap, tegnologie en hoer onderwys arenas; (b) die dryfkrag agter die vennootskap; (c) motivering en voordele; en (d) die oordrag van kennis of tegnologie/oordrag van prosesse. Ek gebruik die gevallestudie metodologie in hierdie studie. Ek het onderhoude gevoer met die UK Chemiese Ingenieurswese Departement, die UK Sentrum vir Navorsing en Innovasie, asook die SASOL betrokkenes. Ek het die projekdokumentasie versamel en het ook die laboratoriums besoek waarin die navorsingsaktiwiteite van die UK-SASOL vennootskap plaas vind. Die bevindinge van hierdie sluit dus die volgende in. Die vennootskap demonstreer die belangrike rol van 'n individuele akademikus wat transformasie bewerkstellig het in terme van navorsingsaktiwiteite en die kultuur in die Chemiese Ingenieurswese Departement. Die nalatenskap van die individuele akademikus se sterk persoonlikheid en toewyding tot navorsing is duidelik en stimuleer steeds hoe vlakke van belangstelling in die navorsing en spanwerk in die departement. Dit is ook een van die kenmerke van hierdie departement. Daar is 'n sterk skakel gehandhaaf tussen die basiese dissiplinere "Modus 1" onderrig en navorsing aan die een kant, en die multidissiplinere "Modus 2" toegepaste en strategiese navorsing en onderrig aan die ander kant. Dit is duidelik in die sterk kleim wat gele word op die stewige voorgraadse dissiplinere onderrig as 'n basis vir 'n hoe kwaliteit multidissiplinere nagraadse onderrig. Alle personeel is betrokke by beide onderrig en navorsing. 'n Sterk skakel is behou tussen akademiese, navorsings- en nagraadse aktiwiteite: die departement gebruik die oorskotte van industrieverwante navorsing om akademiese en nagraadse aktiwiteite te kruissubsideer.

本研究目的在探討我國大專院校的技術授權績效影響因素，並探討各變項的中介及調節效果解釋。透過相關文獻的整理，本研究將影響因素可分為五個族群種類，包含：投入資源、智慧財產、專業技轉組織、環境因素及學校因素等五個族群，而觀察指標則採用學校的授權績效，據此五類因素設計出三個主要的研究假設。 本研究收集採用2007年我國大專院校全體164所完整資料，整理出34個變項資料，對於我國技術移轉迴歸模型的有效解釋能力為71.5%至68.0%，認為各校的美國專利數是具有顯著中介效果的變項。具有顯著意義的調節變項中，可以歸納出TTO影響績效的三個主要變項群組，包含：(1)TTO總員工數能增強研發資源產生專利權的解釋；(2)推廣活動辦理能增強研發資源產生專利權與授權績效的解釋，唯發明人引介數與專利權有較顯著相關性；(3)TTO職員的專業背景也是重要的調節變項，當學校研發資源充足時會聘請技術及法律背景的員工。 另學校鄰近科學園區、設置醫學系、公立一般大學，這三項具有調節效果的環境及學校變項，對於解釋能力具有增強的效果，但是因果關係上傾向解釋為資源優勢，本研究認為環境變項具有顯著影響，但相對難以透過管理機制產生績效的實質影響，相對地，TTO影響的因素卻可以透過管理產生績效的實質影響，是當前各學校在發展技術移轉上可參考的重要實證資料。本研究最後提出針對大學技術移轉研究的侷限問題，以及五種能夠修正本研究限制的建議。 / The purpose of this study is to analyze the factors of technology transfer performance in the universities and colleges in Taiwan. Furthermore, this study finds the mediation variables within the factors. This study differentiates the factors into 5 major elements, including investments, intellectual property, TTO, social environments, and the university itself. The annual royalty is the dependent variable. The study builds three hypotheses according to the 5 major elements mentioned. The study collects the complete data in 2007 of 164 universities and colleges in Taiwan. The intervening and mediation variables are taken into the regression model; the higher R-square is 68.0% to 71.5%. The study divides the significant mediation variables into 3 groups, including (1) The TTO scope will increase R-square of the patents. (2) The promotion actives will increase R-square of the patents and royalties. However, there is the high correlation between inventor promotion and patents. (3) When there are sufficient RD resource in the universities, TTO will employ employees of legal and technology background. About the environments and university issues, there are three significant mediation variables, including the distance to Science Park, the faculty of medicine, the public or private universities. The environmental variables were the significant impact on regression model, but the variables were controlled difficultly by universities. Comparatively, the universities controlled the TTO variables easily, and its will be significant impact on the performances of TTO. The study argues that variables are the effect issues with resource advantage. At last, the study recognizes some limits about the research of technology transfer and proposes 5 suggestions for future research.

Submitted by Alexandre Pacheco da Silva (alexandrepachecodasilva@gmail.com) on 2011-12-01T13:25:23Z No. of bitstreams: 1 Dissertação - Alexandre Pacheco da Silva.pdf: 3135278 bytes, checksum: f40baece71d04cc728c747cce2d54ee6 (MD5) / Approved for entry into archive by Gisele Isaura Hannickel (gisele.hannickel@fgv.br) on 2011-12-01T13:46:01Z (GMT) No. of bitstreams: 1 Dissertação - Alexandre Pacheco da Silva.pdf: 3135278 bytes, checksum: f40baece71d04cc728c747cce2d54ee6 (MD5) / Made available in DSpace on 2011-12-01T13:52:35Z (GMT). No. of bitstreams: 1 Dissertação - Alexandre Pacheco da Silva.pdf: 3135278 bytes, checksum: f40baece71d04cc728c747cce2d54ee6 (MD5) Previous issue date: 2011-11-01 / The growing presence of legal entities under the private law regime exercising functions and activities usually performed by legal entities under the public law regime has been presenting relevant challenges to the study of Law. The work of the Support Foundation in the assistance to Brazilian Federal Public Universities is an example. From a spontaneous phenomenon, barely regulated by Law no. 8.958/1994, they transformed into a diversified universe, in which their acting before Federal Institutions of Higher Education is questioned. When performing public functions and activities of aid to Federal Universities, they utilize budget public resources and from funding agencies. The questioning of the requirement of such entities to undertake the prior bidding process for hiring third parties in their support activities to the Federal Universities, the need of compliance with the rules of return of public funds to the National Treasury!s Single Account, and the possibility of hiring staff without public tenders to work in assistance activities are part of the controversies faced by the present work. This study aimed to reflect on this phenomenon from three fronts, a proposal to analyze the phenomenon of foundations, in which support foundations are understood as intermediary organizations between universities and companies, a survey of the main issues of compatibility between the system of public law and the activities of foundations in the context of assistance on technological development to the Federal Public Universities, and lastly, the study of a case where there is compatibility between a model of support foundation and the system of public law, the Institutional Support Foundation for Scientific and Technological Development (FAI), from Federal University of São Carlos (UFSCAR). We propose a specific focus for the study of the assistance performed by support foundations, characterizing them as intermediary organizations of cooperation between universities and companies, for we believe that, given the significant number of changes in the role of research universities in industrial production, a new understanding of the form of intermediation is required for comprehending the role and mission of Research Universities in the country's economic development. Universities, as well as forming of skilled labor and knowledge generation, are becoming centers of creation of technology, approximating the industry, replacing, in part, the old departments of research and development of domestic industries, while also play a part in facilitating the generation of innovative companies, creating business incubators and facilitating the exchange between teachers and technicians and professionals of the industrial matrix of countries. In Brazil, this transformation is faced with an important gap. The country, through its public universities acts as a producer of knowledge, with a significant number of international academic publications. However, Brazil has failed to convert this knowledge into industrial application in technological innovation, as measured by patenting and technology transfer to industry. Secondly, the innovation law (Law No. 10.973/2004), as the first attempt to develop ways to reduce such gap, created legal instruments to authorize the cooperation between Federal Public Universities and National Companies, placing the support foundations as intermediating the relationship between University and Business, alongside with Innovation Centers. The Law on the one hand, was able to create the legal instruments for the lawful cooperation between the Public University and National Company, however, failed to face significant legal issues, besides the questions about the application of public law regime in the intermediation conducted by support foundations, also did not define the role of such support foundations in the capture and management of technology projects, or management of intellectual property and its relationship with the Innovation Centers, or participation in the formation of innovative companies through the process of business incubation in Federal Universities. It was the National Court of Audit, as an organ of control of the use of public funds, the principal place of debate on the legal disputes involving the relationship between Support Foundations and Federal Universities. In our view, the Court in Decision No. 655/2002, began a process of reconciling the work of the support foundations and the system of public law, by defining support foundations related to development and technology transfer projects from Federal Universities as intermediary organizations. However, it regressed in in Judgment No. 2.731/2008, by broadly defining the concept of public resources and recommend to the Ministries of Education and Science and Technology to prohibit the direct transfers of resources from Funding Agencies to Support Foundations at the federal level. The FAI example is paradigmatic of the, as not only is a case that reinforces our assessment that there may be compatibility between the system of public law and the activities of support foundations, but also suggests solutions of institutional design solutions relevant to the debate on regulation of support foundations at the federal level. FAI, as a foundation for the Federal University of Sao Carlos is able to fulfill with the potential of a foundation to contribute to the technological development of Federal Public Universities, since it functions as an 'alter ego' of UFSCAR, a positive double, carrying out activities that, if performed by the University would not have been equally fast, or even would not be conducted. / A presença crescente de pessoas jurídicas sob o regime de direito privado exercendo funções e atividades desempenhadas por pessoas jurídicas sob o regime de direito público tem apresentado desafios importantes para o estudo do Direito. A atuação das Fundações de Apoio no auxílio às Universidades Públicas Federais brasileiras são um exemplo disso. De um fenômeno espontâneo, timidamente regulado pela Lei n.º 8.958/1994, transformaram-se em um universo diversificado, em que se questiona a sua atuação junto à Instituições Federais de Ensino Superior. Ao desempenhar funções e atividades de auxílio à Universidades Federais, executam recursos públicos orçamentários e de Agências de Fomento. O questionamento da obrigatoriedade destas entidades realizarem prévio procedimento licitatório para contratação de terceiros quando estiverem auxiliando às Universidades Federais, a necessidade de cumprimento das regras de recolhimento de recursos público à Conta Única do Tesouro Nacional e a possibilidade de contratação de pessoal sem concurso público para trabalhar nas atividades de auxílio fazem parte das controvérsias enfrentadas no trabalho. Este trabalho procurou refletir sobre este fenômeno a partir de três frentes, uma proposta de análise do fenômeno fundacional, em que fundações de apoio são compreendidas como organizações de intermediação entre universidade e empresa, um levantamento das principais questões de compatibilização entre o regime de direito público e a atuação das fundações no contexto de auxílio ao desenvolvimento tecnológico das Universidades Públicas Federais e, por fim, o estudo de um caso em que há a compatibilização entre um modelo de fundação de apoio e o regime de direito público, o caso da Fundação de Apoio Institucional ao Desenvolvimento Científico e Tecnológico (FAI) da Universidade Federal de São Carlos (UFSCAR). Propomos um recorte específico para o estudo do auxílio realizado pelas fundações de apoio, caracterizando-as como organizações de intermediação da cooperação entre universidade e empresa, pois acreditamos que dado o conjunto significativo de transformações no papel desempenhado por universidades de pesquisa no âmbito da produção industrial, uma nova forma de leitura da intermediação é necessária para a compreensão do papel e da missão das Universidades de Pesquisa no desenvolvimento econômico do país. As universidades, além de formadoras da mão de obra especializada e da geração de conhecimento, passam a ser centros de geração de tecnologia, se aproximando da indústria, pois substituiria em parte os antigos departamentos de pesquisa e desenvolvimento de indústrias nacionais, ao mesmo tempo que também desempenharia o papel de fomentadora da geração de empresas de inovação, criando incubadoras de empresas e facilitando o intercâmbio entre seus professores e técnicos e profissionais da matriz industrial dos países. No Brasil, esta transformação se depara com um hiato importante. O país, por meio de suas Universidades Públicas é produtor de conhecimento, com um número significativo de publicações internacionais, contudo, não tem conseguido converter este conhecimento em aplicação industrial, em inovação tecnológica, medida pelo registro de patentes e pela transferência de tecnologia para a indústria. Em segundo lugar, a Lei de Inovação Tecnológica (Lei n.º 10.973/2004) como a primeira tentativa de estabelecer formas de reduzir este hiato, criou instrumentos jurídicos para permitir a cooperação entre Universidades Públicas Federais e Empresas Nacionais, posicionando as fundações de apoio como intermediadoras da relação entre Universidade e Empresa, ao lado dos Núcleos de Inovação. A Lei, por um lado, foi capaz de criar os instrumentos jurídicos para que a cooperação entre Universidade Pública e Empresa Nacional seja lícita, contudo, não enfrentou questões jurídicas importantes, além das questões sobre incidência do regime de direito público na intermediação realizada pelas fundações, também não definiu a função das fundações de apoio na captação e gestão de projetos de tecnologia, ou na gestão da propriedade intelectual e sua relação com os Núcleos de Inovação, ou a participação das fundações na formação de empresas de inovação por meio do processo de incubação de empresas nas Universidades Federais. Foi o Tribunal de Contas da União, como órgão de controle do emprego dos recursos públicos, o principal local de debate sobre as controvérsias jurídicas envolvendo a relação entre Fundações de Apoio e Universidades Federais. Em nosso entendimento, o Tribunal na Decisão n.º 655/2002, iniciou um processo de compatibilização entre a atuação das fundações de apoio e o regime de direito público, ao definir as fundações de apoio ligadas à projetos de desenvolvimento e transferência de tecnologia das Universidades Federais como organizações de intermediação, contudo, retrocedeu no Acórdão n.º 2.731/2008, ao definir de forma ampla o conceito de recurso público e recomendar aos Ministérios da Educação e da Ciência e Tecnologia que proibissem os repasses diretos de recursos de Agências de Fomento à Fundações de Apoio no âmbito federal. O caso da FAI é paradigmático, pois não apenas é um caso que reforça a nossa avaliação de que é possível haver compatibilidade entre o regime de direito público e a atuação das fundações apoio, como sinaliza para soluções de desenho institucional relevantes para a reflexão sobre a regulação das fundações de apoio no âmbito federal. A FAI como uma fundação voltada para a Universidade Federal de São Carlos é capaz de cumprir com as potencialidades de uma fundação almeja contribuir para o desenvolvimento tecnológico de Universidades Públicas Federais, uma vez que funciona como um 'outro eu' da UFSCAR, um duplo positivo, executando atividades que se fossem feitas pela Universidade não teriam a mesma agilidade ou até não seriam realizadas.

This study set-out to examine how university-industry linkage (UIL) is managed in government universities of Ethiopia to contribute to the economic development of the country. Basic questions related to the level of management of UIL, areas of linkage, benefits obtained so far from this partnership, challenges to the proper management of UIL, and the existing opportunities for promoting UIL were raised. In addition to this, strategies for strengthening UIL were also dealt with. In relation to this, the study was framed with the system theory viewpoints and human capital theory viewing universities as a system linked to its external environment like industries. As a model, interactive/balanced type of Triple Helix model was used as it integrates the activities of the government, universities and the industries. Moreover, this study reviewed global perspectives on UIL and an overview of the study context with greater emphasis on higher education reforms and proclamations. Philosophically, this study followed pragmatism research paradigm using mixed research approach. It also employed concurrent/parallel/convergent design in which both quantitative and qualitative data were collected simultaneously, interpreted separately and combined at the time of discussion for better understanding of the problem. Equal importance for both data sets was given. Data were gathered from 99 college deans and department heads, 200 instructors and 316 prospective graduates. In addition to this, 23 interviewees from UILOs, industries, MoE, and MoST took part in this study. Moreover, two focus group discussions were also conducted with the university alumni and data were gathered through survey questionnaires, semi-structured interview, FGD question guides and document reviews. The study result indicated that both quantitative and qualitative data support one another. It was found out that UIL was at its infant stage of development in government universities of Ethiopia with limited areas, dominated by students’ internship. Ethiopian government universities have a link with the industries in areas of some limited joint research projects, consultancies and capacity building. Consequently, universities benefitted by attaching their students with the industries and students got practical exposure to the real world of work. Industries also benefitted from the training provided to them, consultancies and joint research projects. On the other hand, UIL in government universities of Ethiopia was challenged by institutional bottlenecks, policy-practice gaps, contextual variation and information gaps, finance and awareness related caveats, work overload, and facility related hurdles. Moreover, lack of trust and commitment between U & I, lack of commitment and support from the leadership of both universities and industries, and the reluctance of the local industries to work with the universities remained a big rift to UIL. This study also sheds light on the expansion of universities and industries in different parts of the country as the opportunities to be tapped to promote UIL. Further, the attention of the government by designing different policies, strategies, directives and conferences was taken as the opportunity. As a major contribution, this study came up with the model that was designed to improve the practice of management of UIL in government universities of Ethiopia. To overcome the above challenges and to make use of existing opportunities, it was recommended that improving leadership and management related challenges through joint planning, organising, staffing and decision-making. Moreover, it was highly laudable to make a paradigm shift in the roles of universities from teaching dominated to research and innovation universities. Finally, bridging policy-practice gaps, increase networking, arranging various sensitising and advertising programmes and creating a further avenue for more research were commented. / Educational Leadership and Management / D. Ed. (Education Management)

Malaysia is a transition economic country that aims to be a developed country by 2020. In realising this mission (Vision 2020), the cluster concept has been an interest and adopted by the central authorities. There are few years ahead to reach the targeted year and it interest of this study to investigate the relevant development on its own engineered cluster of the Multimedia Super Corridor (MSC) that was put forward on the success of Silicon Valley in the US. This thesis focuses on the development of the MSC cluster in the Malaysia context. It examines and measures the state of the cluster, the role played by its core actors (from Triple Helix perspective) and their relationship in the MSC. The role of collaboration has been used to measure the relationship among actors with the key determinants of cluster formation. A mixed data collection method was used to answer the research question and objectives involved. A conceptual model for analysing the MSC cluster is proposed, bringing together insights from the literature on clusters, role of actors, collaborative relationship and the complex systems of innovation approach. This conceptual model uncover the weaknesses of social dimension (social infrastructure) in Porter’s diamond model and the general approach of Triple Helix model in the cluster development. The cluster lifecycle model is used to add the depth to the analysis on the condition of cluster development.