Orientador: Maria Beatriz Machado Bonacelli / Tese (doutorado) - Universidade Estadual de Campinas, Instituto de Geociências / Made available in DSpace on 2018-08-17T04:08:32Z (GMT). No. of bitstreams: 1 Aquino_AnaFlaviaPortilhoFerrode_D.pdf: 2320732 bytes, checksum: 570a212ea7ff0ce302ec652ad36ad0a9 (MD5) Previous issue date: 2010 / Resumo: O presente trabalho traz uma análise crítica da abordagem de inovação aberta (IA) e tem como objetivo analisar e caracterizar práticas colaborativas em inovação identificadas no setor de higiene pessoal, perfumaria e cosméticos (HPPC), procurando definir os desafios que se configuram a partir da necessidade de desenvolvimento de novas competências e rotinas organizacionais, a fim de operacionalizar estratégias deliberadamente focadas no estabelecimento de parcerias em pesquisa e desenvolvimento (P&D), como é o caso da inovação aberta (IA). Para tanto, inicialmente foi feita uma revisão da literatura de IA de modo a desmistificar seu conceito, elencar suas formas de aplicação e identificar diferentes níveis de implementação. Posteriormente, analisamos a estrutura, dinâmica e condicionantes da inovação no setor de HPPC. Em seguida, caracterizamos práticas colaborativas em P&D e inovação estabelecidas entre empresas do setor a partir da análise de 43 casos. Analisamos também no Brasil e na França esforços empreendidos por associações industriais e governo de institucionalização do apoio ao estabelecimento de parcerias no setor. A fim de identificar e caracterizar práticas de gestão destas parcerias realizamos uma pesquisa exploratória com dez organizações e um estudo de caso em profundidade da empresa brasileira Natura. A partir da análise da implementação de uma estratégia de IA nesta empresa, pudemos identificar passos que compõem o processo de desenvolvimento de novas competências e rotinas organizacionais necessárias à sua implementação e, mais especificamente, ao acesso e gerenciamento de diversas fontes externas de inovação. Usamos como arcabouço teórico para realizar esta análise a visão baseada em recursos e a abordagem de capacidades dinâmicas (CD). Argumentamos que o desenvolvimento dessas competências e rotinas requer a mobilização de CD da firma num processo de reconfiguração de recursos e aprendizagem. Dentre as competências a serem desenvolvidas, destacamos as capacidades relacionais, especialmente necessárias no caso de empresas que lidam com uma vasta gama de atores, como é o caso da Natura. Como principais conclusões deste trabalho, acreditamos que a IA, uma abordagem que une práticas de busca de fontes externas de inovação, assim como de uso alternativo de tecnologias próprias não incorporadas ao negócio da empresa, é aplicável ao setor de HPPPC, dada sua dinâmica de inovação, desde que sejam realizados esforços para a estruturação e formalização desta estratégia. Destacamos alguns pontos nesse sentido. Primeiramente, é fundamental ter uma área dedicada à gestão de parcerias, sendo importante que esta seja apoiada pelas interfaces internas. Em segundo lugar, se faz necessário um processo de avaliação das parcerias. Finalmente, é crucial a manutenção de um P&D interno estável e contínuo, assim como o nível elevado da capacidade técnica das pessoas envolvidas nas atividades de P&D, na busca por oportunidades externas e na condução das parcerias. Afinal, só é possível extrair valor das oportunidades identificadas e das parcerias estabelecidas quando se tem a capacidade de absorção dos resultados provenientes destas interações / Abstract: This work provides a critical analysis of the open innovation approach and aims to analyze and characterize the collaborative innovation practices identified in the cosmetics and toiletries (C&T) industry, seeking to define the challenges that emerge from the need to develop new competences and organizational routines in order to implement strategies deliberately focused on building partnerships in research and development (R&D), as is the case of open innovation (OI). Therefore, we firstly reviewed the literature about OI in order to demystify the concept, list its application forms and identify its different levels of implementation. Subsequently, we assessed the structure, dynamics and current innovation drivers in the C&T industry. Secondly, we identified and characterized R&D and innovation collaborative practices established between companies in the industry by analyzing 43 cases. We also analyzed Brazilian and French industry associations and government efforts aimed at supporting the institutionalization of partnerships in the C&T industry. In order to identify and characterize management practices of these partnerships we performed an exploratory research with ten organizations and an in depth case study of the Brazilian company Natura. By analyzing the implementation of an OI strategy in this company, we were able to identify steps that comprise the process of developing the necessary competences and organizational routines, especially to access and manage a wide range of external sources of innovation. In order to perform this analysis, we used the resource-based view and the dynamic capabilities approach (DC) as theoretical framework. We argue that the development of these competences and routines requires the mobilization of DC of the firm in a process of resources reconfiguration and organizational learning. Among the skills to be developed, we highlight the firm's relational capabilities, especially needed by companies dealing with a wide range of actors, as is the case of Natura. As main conclusions of this work, we believe that OI, an approach which unifies practices for searching external sources of innovation as well as for establishing alternative paths to market for internal technologies unsuitable to the firm's business model, is applicable to this industry, given its innovation dynamics, though efforts should be made for the structuring and formalization of this strategy. We highlight some points that we consider essential in this regard. Firstly, it is fundamental to have a dedicated function to the partnerships management, and it is utterly important that it be supported by the different internal interfaces. Secondly, an evaluating process of the partnerships is necessary. Finally, it is crucial that a stable and continuous internal R&D be maintained, as well as the high level of expertise of persons engaged in R&D activities, in looking for opportunities, and in the conduct of external partnerships. After all, the firm can only extract value of the identified opportunities and partnerships when it has the adequate absorptive capacity to internalize the results of these interactions / Doutorado / Doutor em Política Científica e Tecnológica

yes / Between 2008 and 2011 academic teaching staff from Leeds Beckett University (UK) and Chainama Hills College of Health Sciences (Zambia) worked together on a Development Partnership in Higher Education (DelPHe) project funded by the Department for International Development (DFID) via the British Council. The partnership focused on “up-scaling” the provision of mental health education which was intended to build capacity through the delivery of a range of workshops for health educators at Chainama College, Lusaka. The project was evaluated on completion using small focus group discussions (FGDs), so educators could feedback on their experience of the workshops and discuss the impact of learning into their teaching practice. This chapter discusses the challenges of scaling up the mental health workforce in Zambia; the rationale for the content and delivery style of workshops with the health educators and finally presents and critically discusses the evaluation findings. / Department for International Development (DFID) via the British Council

Collaboration between academic and corporate entities has increased in recent years. On many occasions Government actors (e.g. federal laboratories) will participate in these collaborations, especially when advanced technologies are involved. The following inquiry considers the degree to which the federal entities add (scientific) value to University-Industry partnerships and how this value is spatially mediated. Quantifying degrees of the value that Government actors induce across the spectrum of University-Industry collaborative arrangements is useful for identifying scales at which intervention by federal agents is more effective and/or justified. It is anticipated that the value-added by federal agents in University-Industry collaboration is not spatially uniform but will exhibit greater profitability across specific scales of interaction. Comparing these against actual scales of interaction provides room for discussion on whether Government actors engage Universities and Industry at scales that optimize the value they introduce to these partnerships.

Non Governmental Organisations have been operating in Africa since the 1940’s; then, their work was heavily biased towards relief work. From the 1980s however, the role of NGOs evolved to include development; understandably, African governments were finding it increasingly difficult to provide adequate levels of basic services for their people. To this effect and initially; NGOs got involved in development as short term "gap fillers" in the provision of basic services; health and education amongst others. As Africa’s development discourse continued unabated, NGOs were recognised by donors and host governments alike, as indispensible to the provision of such services; in time however, they became the subject of criticism for allegedly failing to irreversibly ameliorate the conditions of the poor. In delivering services, NGOs work in a complex partnership characterised by power imbalances. The partnership involves donors who own the means of production which facilitate NGOs’ work and host governments who “own” the humanitarian space which NGOs need to fulfil their humanitarian mandate. While seemingly poor and powerless, the communities served wield the power to facilitate or block the success of NGO interventions through their commitment and/or lack thereof; respectively; NGOs’ contribution is their skills and humanitarian spirit. The success of NGO interventions is a function of resources, humanitarian space and the goodwill that donors, host governments and the communities served bring to the partnership table respectively. The study sought to establish why between 2001-2006; NGO post-drought rehabilitation through to development interventions failed to irreversibly reduce vulnerability against drought in communities in Machakos District and the extent to which power imbalances which characterise “partnerships for development” contributed to the failure by NGOs to fulfil their mandate. The study revealed that NGOs are unwaveringly committed to their humanitarian mandate however; the power imbalances that characterise “partnerships for development” and in particular, that between NGOs’ and donors militated against the fulfilment of their mandate in Machakos District. When NGOs fail to deliver on their mandate; they lose credibility amongst the other partners and this reinforces the power imbalances; it’s a vicious cycle. “Caught at Crossroads...” NGOs are indeed. / Development Studies / D.Litt. et Phil. (Development Studies)

"This document was submitted as a dissertation in December 2009 in partial fulfillment of the requirements of the doctoral degree in public policy analysis at the Pardee RAND Graduate School." / Title from PDF title screen (viewed Jan. 21, 2010). Includes bibliographical references (p. 343-360).

This thesis proposes to enlighten several channels that favor the emergence and the outcome of creative ideas and innovation in general amongst private firms, with a particular focus on European companies. The first chapter introduces the motivations related to this research, defines the research objectives and questions addressed by the dissertation and concludes with the outline and the contributions of the thesis. <p><p>The second chapter analyzes the financing constraints on R&D investments. The central question in this chapter is whether financing constraints can explain a part of the acknowledged R&D gap between Europe and the US. In order to address this question, a dataset is constructed on the basis of a compilation of R&D scoreboards. The findings of this chapter are based on a sensitivity analysis of R&D to cash flow using estimates of dynamic R&D equations. The relationship between the financing constraints on R&D and the age of the companies is analyzed in an additional set of results with parametric as well as non parametric estimations. European firms appear to be affected by financing constraints in the 2000s while this is not the case for the US companies. The age seems to affect negatively the R&D sensitivity for EU and US leading innovators, with higher sensitivities for old and low-tech EU firms than their US counterparts.<p><p>The third chapter is dedicated to the measuring of the knowledge production of R&D expenditures when they are disaggregated into the following components: intramural versus extramural expenditures, research versus development expenditures, product-oriented versus process-oriented, human capital versus investments. The sources of funding and the types of subcontractors are also considered. The main question of this chapter is whether the heterogeneity of R&D affects the technology performance of the companies, as measured by patent applications. A cross-sectional Belgian R&D survey conducted over 2004-2005 is used for the purpose of the analysis. Given the high dependency of the Belgian innovation system towards the foreign MNEs, a matching process was performed between Belgian R&D and patents related to Belgian inventors in order to capture the patents filed outside Belgium but related to inventions created by firms located in Belgium (i.e. subsidiaries of foreign groups). Estimates of the elasticity of the quantity of patents with respect to the components of R&D are provided. <p><p>The main question of the fourth chapter is whether the diversification strategies of the economic activities of the R&D leaders in Europe affect, positively or negatively, the performance of their R&D activities. An original approach is proposed on the basis of the analysis of the subsidiaries of EU MNEs. The sample consists of large R&D firms that represent about 80% of total European R&D. In general, the results indicate a positive impact from globalization on firms’ R&D productivity, especially in the US, while a negative impact for industrial diversification is found. <p><p>The main question of the fifth chapter is whether the R&D activities that are conducted outside Europe still benefit to European growth. If so, how does the regional location of R&D centers matter in the production process of EU MNEs? The analysis is conducted on the basis of a unique sample of 637 European R&D leaders with information that is consolidated with respect to about 8000 worldwide patenting subsidiaries. The assessment of R&D internationalization is proxied by the regional repartition of the inventors of each firm. The empirical findings suggest that R&D located in Europe yields significant economic results, but a reallocation of R&D located in Europe instead of outside Europe seems to be correlated with lower R&D performances in high-tech sectors, but not in lower-tech industries. Conversely, a larger share of R&D located in the US seems to improve the economic performance of R&D activities within high-tech EU MNEs while the effect is negative for lower-tech companies. Nevertheless, the economic performance of R&D centers in Europe and US is jointly positive and significant for both regions.<p><p>The sixth chapter concludes the dissertation by reviewing the main findings of the previous chapters. Policy implications are summarized and the limitations of the thesis are addressed. Finally, extensions of the scope of the analysis and ideas for future research are suggested. / Doctorat en Sciences économiques et de gestion / info:eu-repo/semantics/nonPublished

The need for faster, more flexible and less risky ways for organisations to expand their capabilities and competencies increasingly lead to the formation and proliferation of networking strategies and partners. Understanding the potential contribution that CoP membership can provide within these teams is a step towards developing and refining a strategy to support and enhance the speedy progression of the team towards a productive phase. The study shows that membership of researchers to the same or similar CoPs have some impact on the norming stage, and assist in reaching the performing / productive stage faster in team development. The survey in particular has indicated that similar standards, practices, terminology, ethics, standards, peer recognition, trust and a sense of belonging have more of an impact on the productive phase of team forming, than on the norming phase. The hard factors such as terminology, standards and similar practices have a strong correlation with the softer factors such as a sense of belonging and trust. This information should be utilised in both the socialisation processes in academic institutions as part of the education of professionals, as well as organisational approaches to Research and Development (R&D), information sharing and development of the researchers. The paper also highlights emerging organisational and strategic Best Practices currently prevalent in R&D teams and collaborative projects. It is clear that research collaborations cuts across the whole spectrum of business and management areas - from strategy, across intellectual property issues, finance, strategic human resource management, R&D management and innovation, knowledge management, organisational values and culture, and many more. To support innovation and R&D on a strategic level, both internally and on inter-firm collaborations, requires a review of the total organisational strategy, culture and norms in an organisation. Innovation and R&D support should be a holistic approach, with strategic and pro-active risk management supported by appropriate strategic human resources management and systems. Literature on CoPs, teams, social capital (SC), knowledge management (KM), intellectual capital (IC), intellectual property (IP), strategy and governance provide theoretical grounding. / Business Leadership / Ph. D.

The need for faster, more flexible and less risky ways for organisations to expand their capabilities and competencies increasingly lead to the formation and proliferation of networking strategies and partners. Understanding the potential contribution that CoP membership can provide within these teams is a step towards developing and refining a strategy to support and enhance the speedy progression of the team towards a productive phase. The study shows that membership of researchers to the same or similar CoPs have some impact on the norming stage, and assist in reaching the performing / productive stage faster in team development. The survey in particular has indicated that similar standards, practices, terminology, ethics, standards, peer recognition, trust and a sense of belonging have more of an impact on the productive phase of team forming, than on the norming phase. The hard factors such as terminology, standards and similar practices have a strong correlation with the softer factors such as a sense of belonging and trust. This information should be utilised in both the socialisation processes in academic institutions as part of the education of professionals, as well as organisational approaches to Research and Development (R&D), information sharing and development of the researchers. The paper also highlights emerging organisational and strategic Best Practices currently prevalent in R&D teams and collaborative projects. It is clear that research collaborations cuts across the whole spectrum of business and management areas - from strategy, across intellectual property issues, finance, strategic human resource management, R&D management and innovation, knowledge management, organisational values and culture, and many more. To support innovation and R&D on a strategic level, both internally and on inter-firm collaborations, requires a review of the total organisational strategy, culture and norms in an organisation. Innovation and R&D support should be a holistic approach, with strategic and pro-active risk management supported by appropriate strategic human resources management and systems. Literature on CoPs, teams, social capital (SC), knowledge management (KM), intellectual capital (IC), intellectual property (IP), strategy and governance provide theoretical grounding. / Business Leadership / Ph. D.

Non Governmental Organisations have been operating in Africa since the 1940’s; then, their work was heavily biased towards relief work. From the 1980s however, the role of NGOs evolved to include development; understandably, African governments were finding it increasingly difficult to provide adequate levels of basic services for their people. To this effect and initially; NGOs got involved in development as short term "gap fillers" in the provision of basic services; health and education amongst others. As Africa’s development discourse continued unabated, NGOs were recognised by donors and host governments alike, as indispensible to the provision of such services; in time however, they became the subject of criticism for allegedly failing to irreversibly ameliorate the conditions of the poor. In delivering services, NGOs work in a complex partnership characterised by power imbalances. The partnership involves donors who own the means of production which facilitate NGOs’ work and host governments who “own” the humanitarian space which NGOs need to fulfil their humanitarian mandate. While seemingly poor and powerless, the communities served wield the power to facilitate or block the success of NGO interventions through their commitment and/or lack thereof; respectively; NGOs’ contribution is their skills and humanitarian spirit. The success of NGO interventions is a function of resources, humanitarian space and the goodwill that donors, host governments and the communities served bring to the partnership table respectively. The study sought to establish why between 2001-2006; NGO post-drought rehabilitation through to development interventions failed to irreversibly reduce vulnerability against drought in communities in Machakos District and the extent to which power imbalances which characterise “partnerships for development” contributed to the failure by NGOs to fulfil their mandate. The study revealed that NGOs are unwaveringly committed to their humanitarian mandate however; the power imbalances that characterise “partnerships for development” and in particular, that between NGOs’ and donors militated against the fulfilment of their mandate in Machakos District. When NGOs fail to deliver on their mandate; they lose credibility amongst the other partners and this reinforces the power imbalances; it’s a vicious cycle. “Caught at Crossroads...” NGOs are indeed. / Development Studies / D. Litt. et Phil. (Development Studies)

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.