This dissertation provides a capability creation perspective on the story of China’s technological catching up, or resurgence, if viewed from a broader historical perspective. Since the first Asian tigers caught up to modern technological standards (e.g., South Korea, Singapore), two schools of thought have dominated causal explanations (Nelson and Pack, 1999). The first perspective is the conventional accumulation approach, which attributes the major share of growth to the accumulation of physical and human capital, and views learning as a more-or-less automatic byproduct of those investments. The second perspective is the assimilation approach, which emphasizes the arduous learning, risk-taking entrepreneurship, and innovation that is involved in the process and argues that the former proposition neglects this aspect of the endeavour and may therefore lead to erroneous estimates. This dissertation focuses on the second school of thought. Compared to the first-tier Asian tigers, the second-tier tigers, of which China is representative, pose many challenges to the assimilation approach. First, the sheer size of the country results in an unusual scale and scope of activities and interactions in any field. Second, the long history of civilization in China suggests that many modern phenomena have historical roots that are unknown to outsiders and invisible and complex to insiders. The present study aims to contribute a small piece of the puzzle to our understanding of the big picture. By providing an in-depth study of the Chinese information and communication technologies (ICT) sector, this study explores changes that have occurred in the three key building blocks of capability creation; specifically, the sourcing, generation, and appropriation of technological knowledge. A qualitative case study approach was employed for the main, empirical part of the study, which consists of extensive firm-level interviews. Complementary statistical data, including patent data and historical archives, were used to provide context and a deeper look into the study topic. The results are described in five articles. The first article presents establishing overseas research and development (R&D) laboratories as one of the major learning methods for overcoming disadvantages related to dislocation from technology sources and advanced markets. This approach allows China to search for industry-relevant scientific knowledge rather than adopting ready-made technologies introduced by western multinational enterprises in China. The second article describes the modularity-in-design approach, which opens new windows of opportunity for technological advancement. The lack of essential intellectual property rights (IPRs) acts as a key inducement and a factor-saving bias that influences the direction of innovation. When both (international) competitiveness and learning are involved in the catching-up process, the development of industry-wide capability becomes a particularly vital aspect of indigenous innovation. The third article describes the geographic consequences of historically planted industrial capabilities in China’s inland regions, which impact the absorption of different types of industrial knowledge. Fields of industry that are densely populated with patents- IPR thickets- represent a novel situation that was not experienced to the same extent by nations whose technological development occurred earlier. This thesis dedicates two articles to this dimension of knowledge appropriation. The fourth article describes the duality of Chinese ICT patenting, and the fifth article identifies an ambidextrous strategy that depends on where the major competition emerges. In general, the decision to patent and the extent of patenting are determined by four factors: a) the distance to the frontier (Aghion et al., 1997) particularly for technology; b) the nature of the technology (Teece, 1986), but with a rural extension in the case of China; c) the specificities of information (Arrow, 1962) that are embodied in a firm’s origins in China; and d) the supporting institutions that co-evolve in that process. Learning proceeds at different levels: that of individuals, firms, industries, and nations.   This dissertation provides an industry-level perspective on learning and innovation-based technological advancement. / from developing economy to global high-tech competitiveness - the case of Chinese ICT expansion

Made available in DSpace on 2016-06-02T19:52:05Z (GMT). No. of bitstreams: 1 DissCF.pdf: 986822 bytes, checksum: 7e1891ff1faa87863fec5d7e227d8f6f (MD5) Previous issue date: 2005-02-22 / The coexistence of different mechanisms of governance for similar transactions is a major feature of the seed sector, particularly in the branches of soybeans and hybrid corn. Also, the procurement of different inputs is governed by similar governance structures. Both seed sectors are characterized by high investments in research and development and are subjected to several hazards and uncertainty. One of the main determinants of competitiveness in this industry is the quality of the inputs that will be launched in the market. As a consequence, the activities of research, development and reproduction of seeds are crucial in the competition, requiring need high level of control. In spite of this, the firms that develop high technology seeds present different arrangements in the organization of the production of inputs. The reproduction of seeds requires some mechanisms in order to fully appropriate of the benefits of innovation. This fact constitutes an important determinant of choice for these different arrangements. This dissertation aims to analyze the determinants of the boundaries of the firms, and how the selected governance structures interact with the firm s strategies. This dissertation also aims to explore the different appropriability mechanisms that are available to this sector, in each of its main segments hybrid and varieties. The dissertation uses Transaction Cost Economics, and Dynamic Capabilities as its main theoretical background. Also, the governance inseparability concept gave support to the questions associated to contractual relations. The empirical research, focused on large firms that undertake R&D activities, concludes the factors that influence in the decisions about the reproduction of seeds are related to transaction cost reasoning, but to dynamic capabilities and governance inseparability arguments as well. / Há no setor sementeiro, nos segmentos de milho híbrido e soja, a coexistência de diferentes mecanismos de transação para um mesmo tipo de insumo e a existência de mecanismos semelhantes para insumos diferentes. Os setores que se caracterizam por altos investimentos em pesquisa e desenvolvimento, notavelmente, o objeto deste estudo, o de sementes, estão cercados de riscos e incertezas. Para esta indústria, a qualidade dos insumos que serão lançados no mercado é um dos principais fatores de determinação da competitividade da empresa. Assim, as atividades de pesquisa, desenvolvimento, e reprodução das sementes são vitais no processo de seleção do mercado. São atividades que, conseqüentemente, exigem elevado nível de controle por parte dos agentes que venham a desenvolver e comercializar estes insumos. Apesar destas particularidades, as empresas que desenvolvem sementes de alta tecnologia apresentam arranjos diferentes na organização da produção de insumos. As sementes carregam alto conteúdo tecnológico e necessitam de vários artifícios que visem minimizar as perdas derivadas da reprodução do esforço inovativo, empregado no desenvolvimento de novos produtos, o que constitui um importante determinante da escolha por esses diferentes arranjos. A partir destas constatações, este trabalho objetiva analisar os determinantes das fronteiras das firmas e, a forma com que as estruturas de governança escolhidas interagem com suas estratégias, pretende também explorar os diferentes mecanismos de apropriabilidade disponíveis para o setor e a eficácia destes para os dois segmentos dentro desta indústria híbridos e variedades. A literatura contemporânea oferece arcabouço amplo para compreender a escolha das relações de transação, porém pouca atenção é dada à explicação da existência de mecanismos de troca diferentes para um mesmo tipo de transação. Com o intuito de analisar as relações de troca entre os agentes da cadeia de sementes serão utilizadas duas abordagens teóricas, a Economia dos Custos de Transação, e a linha de Competências Dinâmicas. Além destas duas linhas, a noção de inseparabilidade de governança deu suporte a questões associadas às relações contratuais. A pesquisa de campo, que privilegiou empresas de significativa participação na agricultura brasileira e que desenvolvem atividades de pesquisa e desenvolvimento, permitiu concluir que os fatores que influenciam as decisões sobre a gestão da atividade de multiplicação de sementes são diversos e apresentam elementos das duas abordagens estudadas.

La thèse porte sur l’étude de la formation de convergences et de tensions dans les choix stratégiques opérés par les partenaires public et privé engagés dans la valorisation des activités collaboratives de R&D. Il s’agit d’en caractériser les déterminants et d’identifier également les moyens permettant de les dépasser. L'originalité de l'approche consiste à mobiliser l'outil conceptuel du business model pour en évaluer la portée en tant qu'artefact cognitif d'analyse de cette situation de gestion et en tant qu'instrument de management stratégique de celles-ci. Le travail s'appuie sur deux études de cas longitudinales élaborées dans le cadre de deux recherche-interventions dans les pôles de compétitivité dédiés à la conception dans l'industrie automobile (Movéo) et des systèmes embarqués (Systematic). Les résultats sont présents à trois niveaux: au niveau du contexte, l'importance des mécanismes d'appropriation à partir des capacités d'absorption des organisations; au niveau du processus, le rôle des trajectoires et du leadership des acteurs et au niveau du contenu, les limites spécifiques liées aux incertitudes du mode projet. / The main objective of the thesis consists into the study of convergences and tensions in the interplay between value co-creation and strategic planning in public private R&D partnerships. Two in-depth longitudinal case studies are used to investigate the usefulness of the business model as a cognitive artifact enhancing the partners to collaborate on designing, articulating and implementing collective strategic choices of R&D outcomes. Data were gathered on two collaborative partnerships among two French Clusters (pôles de compétitivité) Movéo and Systematic. Methodology design employed a triangulation strategy based on both qualitative and quantitative methods (interviews and survey-based, structured methods of scenarios screening, participatory and qualitative methods of information gathering – project’s journals and meeting analysis). Based on internal validity, we have pointed out some issues in the management of inter-organizational relationships and networks regarding the process of how value can be created in strategic project management practices in public private R&D partnerships with these innovative clusters.

Researchers, policy makers and practitioners alike have in recent years acknowledged a growing tendency towards opening up the innovation process by combining internal organizational assets with external actors’ resources. However, opening up the innovation process usually also entails revealing ideas, which may result in misappropriation. The purpose of this thesis is to investigate tensions related to the openness-appropriability relationship; this is done in three studies. The first study concerns a specific contextual factor that is likely to stress the openness-appropriability tensions: the location of external partners in innovation. The second study relates to the way managing openness-appropriability tensions affects performance, and the third study involves a theoretical discussion about the nature of the tensions occurring in the openness-appropriability relationship, i.e. paradoxical, dilemmatic, or dialectical. The first two studies apply quantitative methods, using survey data, while the third is a conceptual paper. The findings from the first study indicate that the use of different groups of appropriability mechanisms varies across various types of openness and that the location of external partners in innovation refines these linkages even more. The second study’s main takeaway is that the higher appropriability intensity, i.e. the extent to which appropriability mechanisms are put into practice, explains higher performance outcomes. The third study suggests that the tensions between openness and appropriability are more likely of paradoxical nature. From a theoretical perspective, findings indicate that paradoxical tensions between openness and appropriability may have a spatial dimension, and that these tensions should also be investigated in regards to performance. Managerial implications point out that opening up to innovation partners located abroad is likely to require more costly appropriability mechanisms. / <p>QC 20170126</p>

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.

[pt] O objetivo da dissertação é analisar e comparar a influência de diferentes tipos de parceiros em arranjos cooperativos para projetos de PD&I sobre a apropriação de valor pelas empresas inovadoras da indústria de transformação no Brasil, considerando-se condições ambientais distintas, como nível de intensidade tecnológica e força do regime de apropriabilidade dos setores em que atuam, bem como características internas, como tamanho da empresa e capacidade para cooperar em projetos de PDeI (focalizando inovações de produto e/ou processo). A fonte de dados é a Pesquisa Nacional de Inovação (Pintec 2014), realizada pelo Instituto Brasileiro de Geografia e Estatística (IBGE). A pesquisa pode ser considerada descritiva e aplicada. A metodologia adotada compreende pesquisa bibliográfica sobre inovação; mecanismos de apropriação de valor; cooperação interorganizacional para inovação e classificações tecnológicas, destacando-se a classificação de intensidade tecnológica proposta pela Organização para a Cooperação e Desenvolvimento Econômico (OCDE); pesquisa documental referente à Classificação CNAE e ao Manual da Pintec 2014, ambas divulgadas pelo IBGE; análise de conteúdo para classificar as atividades econômicas das empresas inovadoras da indústria de transformação (respondentes da Pintec 2014), segundo quatro níveis de intensidade tecnológica e regime de apropriabilidade dos setores em que atuam e três faixas de pessoal alocado; solicitação ao IBGE de acesso aos microdados não desidentificados da Pintec 2014; e desenvolvimento de modelos econométricos logit para os doze agrupamentos de empresas, classificadas por intensidade tecnológica/força do regime de apropriabilidade do setor e por faixa de pessoal ocupado. A utilização dos microdados da Pintec 2014 para analisar a influência da cooperação interorganizacional sobre a apropriação de valor pelas empresas inovadoras da indústria de transformação no Brasil em diferentes condições ambientais conferem à pesquisa um caráter original, uma vez que os estudos anteriores baseados em Pesquisas Nacionais de Inovação não exploraram essa abordagem metodológica. / [en] This dissertation aims to analyze and compare the influence of different types of partners in cooperative arrangements for RDandI projects on the appropriation of value by innovative companies of the transformation industry in Brazil, considering different environmental conditions, such as the level of technological intensity and strength of the appropriability regime of the sectors in which they operate, as well as internal characteristics such as company size and its capacity to cooperate in RDandI projects (focusing on product and/or process innovations). The primary data source is the National Innovation Survey (Pintec), conducted by the Brazilian Institute of Geography and Statistics (IBGE). The research can be considered descriptive and applied. The methodology adopted includes bibliographic research on innovation; value creation and value appropriation mechanisms; and technological classifications, highlighting the classification of sectoral technological intensity proposed by the Organization for Economic Cooperation and Development (OECD); documentary analysis concerning the Brazilian Classification of Economic Activities (CNAE) and Pintec 2014, both published by IBGE; content analysis to classify the economic activities of the respondent companies, according to sectoral technological intensity, appropriability regime of the sectors in which they operate and number of employees; request to IBGE for access to microdata of Pintec 2014; development of logit econometric models for the companies classified by sector technological intensity/strength of the appropriability regime, and by number of employees (micro and small, medium and large companies). The use of microdata from Pintec 2014 to analyze and compare the influence of different types of partners in cooperative arrangements for RDandI projects on the appropriation of value by innovative companies under different environmental conditions give the research an original character, since previous studies based on National Innovation Surveys have not explored this methodological approach.

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