Orientador: Enéas Gonçalves de Carvalho / Banca: Marcelo Silva Pinho / Banca: Ana Paula Macedo de Avellar / Resumo: O objetivo do presente trabalho é identificar e analisar as principais evoluções simultâneas nos elementos - demanda, regime tecnológico, atores e instituições - que compõem o Sistema Setorial de Inovação do Setor Automotivo, através de uma metodologia baseada no trabalho de Malerba (2002). Desta forma, utiliza-se uma abordagem que trata a inovação como um processo sistêmico, contínuo e evolucionário. O trabalho conclui que, nos últimos dez anos, o Sistema Setorial de Inovação do setor automotivo passou - e ainda passa - por profundas transformações - fruto da co-evolução dos seus elementos - que alteram continuamente sua estrutura e o tornam mais dinâmico e complexo / Abstract: This research work aims to identify and analyze the main simultaneous evolutions in the elements - demand, technological regime, actors and institutions - that compose the Sectoral Innovation System of Automotive Sector, through a methodology based on Malerba's (2002) work. Thereby, we use an approach that treats innovation as a systemic, continuous and evolutionary process. The work concludes that, in the past ten years, the Sectoral Innovation System of automotive sector has undergone deep transformations - result of co-evolution of its elements - that continually change its structure and make it more dynamic and complex / Mestre

A Open Innovation (OI) é uma abordagem emergente que têm despertado cada vez mais o interesse de especialistas e de estudos acadêmicos na área de inovação. Entretanto, a implemen-tação dessa estratégia ainda é desafiadora, especialmente para as Pequenas e Médias Empresas (PMEs). A carência de métodos e processos documentados e estruturados para implementar a OI, também são fatores que causam resistências e desestimulam muitas vezes as empresas. Ou-tro fato é que poucas pesquisas e trabalhos empíricos têm explorado o potencial e influência dos Sistemas Regionais de Inovação (SRIs) na implementação da OI nas empresas. Frente a essa problemática de pesquisa, esta Tese tem como objetivo geral desenvolver um processo de implementação da estratégia Open Innovation voltado para empresas de SRIs. O produto final da Tese é um framework que representa o Processo para Implementação da OI (PIOI). É uma ferramenta gerencial que visa auxiliar e orientar os gestores quanto as etapas, documentos, e forma mais apropriada para conduzir a implementação. Sobretudo, permite a compreensão dos elementos e Fatores Críticos de Sucesso (FCS) que interferem na melhoria da capacidade de inovação em PMEs. Este trabalho de Tese está estruturado em sete capítulos, com cinco artigos propostos. O artigo 1 busca identificar os fatores determinantes para a implementação da OI em SRIs. O artigo 2 apresenta uma revisão sistemática da literatura para identificar os FCS para implementação da OI no âmbito das empresas. No artigo 3, desenvolve-se uma pesquisa apli-cada com 50 empresas de um SRI para diagnosticar as estratégias de inovação e os FCS para implementação da OI. No artigo 4, propõe-se um framework para implementação da OI em PMEs de SRIs. No artigo 5, o framework é testado e avaliado empiricamente através de um estudo de caso de uma empresa. A estrutura metodológica geral da Tese está fundamentada no método de pesquisa construtivista (Design Science Research – DSR). Os artigos abrangem le-vantamento bibliográfico, survey, estudo de caso e pesquisa-ação, e empregam ambos os mé-todos, quantitativo e qualitativo, conforme seus objetivos. A Tese oferece importantes contri-buições acadêmicas e práticas ao abordar os FCS que interferem na implementação da OI, e ao desenvolver um processo para implementação dessa estratégia em PMEs de SRI’s. Além disso, representa uma oportunidade para que as empresas possam transformar e melhorar o seu pro-cesso de desenvolvimento da inovação, implementando mudanças de estratégia e introduzindo estruturas mais colaborativas que suportem novos modelos de negócios. / Open Innovation (OI) is an emerging approach that has increasingly attracted the interest of experts and academic studies in the area of innovation. However, implementing this strategy is still challenging, especially for Small and Medium Companies (PMEs). The lack of documen-ted and structured methods and processes to implement OI are factors that cause resistance and often discourage companies, besides the fact that few empirical studies and research have ex-plored the potential and influence of the Regional Innovation Systems (SRIs) in the implemen-tation of OI in companies. Faced with this research problem, this thesis has as general objective to develop a process of implementation of the Open Innovation strategy directed at SRIs com-panies. The final product is a framework that represents the Process for Implementing OI (PIOI). It is a managerial tool that aims to help and guide managers on the stages, documents, and the most appropriate way to carry out the implementation. Above all, it allows the unders-tanding of the elements and Critical Factors of Success (FCS) that affect the improvement of the innovation capacity of PMEs. The thesis is structured in seven chapters, with five proposed articles. Article 1 seeks to identify the determining factors for the implementation of OI in SRIs. Article 2 presents a systematic review of the literature to identify the FCS for implementing OI in companies. In Article 3 we carry out an applied research with 50 companies in a SRI, in order to diagnose their innovation strategies and the FCS to implement OI. In Article 4, we propose a framework for the implementation of OI in PMEs of SRIs. In Article 5, the framework is empirically tested and evaluated through a company’s case study. The general methodological structure of the thesis is based on the constructivist research method (Design Science Research - DSR). The articles cover literature review, survey, case study and action research, and use both quantitative and qualitative methods, according to their goals. The thesis offers important academic and practical contributions by addressing FCS that affect the implementation of OI, and by developing a process to establish that strategy in PMEs of SRIs. In addition, it represents an opportunity for companies to change and improve their innovation development process by implementing strategy shifts and introducing more collaborative structures that support new business models.

O Sistema de Inovação (SI) brasileiro é caracterizado por um estágio intermediário de desenvolvimento e pela forte participação do Setor Público, refletindo assim em seus grandes dispêndios em C&T. O SI é considerado, no cenário atual, como determinante ao desenvolvimento e crescimento econômico das economias modernas. Porém, há poucos estudos sobre o papel desempenhado pelas características dos pesquisadores e das infraestruturas de P&D sobre a produção científica e tecnológica. Portanto, o objetivo dessa pesquisa é avaliar os efeitos de tais características sobre a produtividade científica individual dos coordenadores pertencentes às 1.756 infraestruturas de pesquisa no Brasil. Para tal, o trabalho utiliza um mapeamento inédito das infraestruturas nacionais realizado pelo Ministério da Ciência, Tecnologia e Inovação em parceira com o CNPq e o IPEA, e a extração das características individuais dos pesquisadores por meio da Plataforma Lattes. As infraestruturas de pesquisa foram agrupadas por meio da Análise de Cluster, o qual gerou três clusters que se distinguem pelo escopo de suas atividades, áreas científicas e composição do capital físico e humano. Os pesquisadores com maiores produtividades são àqueles presentes no cluster 2 (multiatividades, Engenharia e Ciências Biológicas, estrutura organizacional piramidal), em detrimento aos presentes no cluster 1 (pesquisa e desenvolvimento de tecnologia, Multiárea) ou 3 (intensivos em pesquisa, Engenharias e Ciências Exatas e da Terra, estrutura organizacional horizontal). Os resultados dos modelos de regressão, OLS e Tobit, estimados indicam que quanto maior o número de estudantes bolsistas, maior a produtividade do coordenador, bem como a relação capital-trabalho da infraestrutura. Por fim, o presente estudo contribui ao preencher uma lacuna de informação sobre o sistema brasileiro de C&T e após exercícios econométricos foi possível concluir que as dimensões do SI nacional, relacionando capital humano, independente da qualificação, e físico, são determinantes aos níveis de produtividade dos coordenadores. / The Brazilian innovation system (IS) is characterized by an intermediate stage of development and the strong participation of the public sector, reflecting its large share in expenditure on S & T. The IS is considered, in the current scenario, a key factor to development and economic growth of modern economies. However, there are few studies on the role played by the characteristics of the researchers and research infrastructure on scientific productivity. Therefore, the aim of this research is to evaluate the effects of these characteristics on individual scientific productivity of the coordinators belonging to 1,756 research infrastructures in Brazil. To do this, the work uses a unique mapping of infrastructure in Brazil by the Ministry of ST & I in partnership with CNPq and IPEA, and the extraction of the individual characteristics of the researchers through the Lattes Platform. The research infrastructure were characterized by the Cluster Analysis, which generated three clusters distinguished by the scope of its activities, scientific areas and composition of physical and human capital. Researchers with higher productivity were present in cluster 2 (multi-activities, Engineering and Life Sciences, pyramidal organizational structure) rather than those present in the cluster 1 (research and development of technology, multi-area) or 3 (research intensive, Engineering and Exact and Earth Sciences, horizontal organizational structure). OLS and Tobit regression models results indicate that the larger the number of scholarship students and capital-labor ratio of the infrastructure the better the productivity of the coordinator. Finally, this study contributes to fill an information gap on the Brazilian system of S & T and after econometric exercise was concluded that the dimensions of the IS, relating human capital, regardless of qualification, and physical, are crucial to the productivity levels of the coordinators.

Orientadores: Maria Beatriz Machado Bonacelli, Ana Lucia Delgado Assad / Tese (doutorado) - Universidade Estadual de Campinas, Instituto de Geociencias / Made available in DSpace on 2018-08-05T13:24:24Z (GMT). No. of bitstreams: 1 Valle_MarceloGoncalvesdo_D.pdf: 914637 bytes, checksum: 65d97fcaa56b3c25a9b638cd7961ec8d (MD5) Previous issue date: 2005 / Resumo: Esta tese tem por objetivo o estudo do sistema nacional de inovação em biotecnologia (SNIB) no Brasil, identificando gargalos, entraves e desafios, culminando na sugestão de ações e políticas para seu adensamento e consolidação. Para a consecução deste objetivo, incorporaram-se ferramentas de prospecção tecnológica e cenários, os quais constituem um aparato pervasivo para o diagnóstico situacional, monitoramento e tomada de decisão, reduzindo conflitos quanto a percepções relativas ao futuro e aprimorando a qualidade de ações e decisões estratégicas, contribuindo na formulação das referidas prescrições. Para fins didáticos, o trabalho foi dividido em quatro capítulos. O primeiro analisa a abordagem metodológica de sistemas de inovação, bem como a evolução histórica do sistema nacional de C&T e a formação do sistema de inovação brasileiro. Adicionalmente, apontam-se os principais gargalos e entraves à sua evolução. O segundo capítulo focaliza a dinâmica da biotecnologia e transformações decorrentes da aplicação de técnicas de engenharia genética, biologia molecular e celular, suscitando a necessidade de conformação de novos marcos regulatórios e institucionais, trazendo consigo o recrudescimento de debates no âmbito da regulação da biossegurança e direitos de propriedade intelectual. O terceiro capítulo analisa determinados padrões de organização da biotecnologia em países e regiões como Estados Unidos, Japão e União Européia, seguindo-se a análise da evolução e conjuntura do SNIB no Brasil. Finalmente, no quarto capítulo, utiliza-se a técnica de cenários prospectivos, a partir dos quais são propostos quatro possíveis desdobramentos para o desenvolvimento da biotecnologia e deste sistema no país. Dentre as principais conclusões do trabalho, aponta-se a necessidade de aprimoramento, em âmbito nacional, das condições gerais de seu ambiente institucional, contemplando o marco regulatório em biossegurança, acesso a recursos genéticos e sistema de propriedade intelectual; perenização, continuidade e políticas públicas mais seletivas, que contribuam para maior vinculação dos atores nele circunscritos; instituição de mecanismos que contribuam para o incremento do investimento público e privado; melhoria e desconcentração de condições de infra-estrutura e formação de recursos humanos e, por fim, criação de condições mais favoráveis para o empreendedorismo privado, mediante a instituição de linhas de financiamento privilegiadas, dinamização de mercados de capitais, seed money e instrumentos de intermediação financeira, além de ações que facilitem a contratação de profissionais especializados e a melhoria da gestão da propriedade intelectual / Abstract: The objective of this thesis is to study the national innovation system of Biotechnology in Brazil (SNIB). The analysis first identify bottlenecks, obstacles and challenges, and then suggest policies and actions to be taken, by using tools like technological foresight and scenarios, whose choice is due to the fact they constitute a more pervasive apparatus for diagnostic, monitoring and decision-making processes, besides helping both to reduce conflicts regarding relative perceptions of the future, and to ameliorate the quality of actions and strategic decisions. In the first chapter, one analyses the methodological approach to innovation systems as well as the evolution of the national S&T system through time, and the establishment of the Brazilian innovation system, pointing out some of the main difficulties/bottlenecks and obstacles to its evolution. The second chapter focus on the dynamics of Biotechnology together with the changes caused by the application of techniques of Genetic Engineering, Cellular and Molecular Biology. These changes imply the necessity to conform new regulatory and institutional marks, a process that brings intense debate about Biosafety regulation and Intellectual Property Rights. The third chapter considers some patterns of organization concerning Biotechnology in countries like USA, Japan and within European Union, in order to analyse both the evolution of the SNIB and the present state of the art / Doutorado / Doutor em Política Científica e Tecnológica

The thesis argues for the necessity and value of a two-way interaction between high-level abstractions and rich historical narratives mediated by middle-range theories. The basic assumptions of critical realism are used to derive a socio-technical metatheory which, in turn, structures the synthesis of specific substantive theories. The conceptual tools provided by the Multi-Level Perspective, Analytical Sociology and (Technological) Systems of Innovation frameworks guide the study of the cases. The empirical core of the thesis consists of detailed histories of the birth, development and decay of ten different personal computer production attempts in the Soviet Baltic states roughly between 1977 and 1992. In order to generalize from the historical narratives a novel analytical technique is developed and employed. The resulting middle-range theorization locates the mechanisms and patterns of the evolution of these cases on three different levels of aggregation: intra-case, inter-case and system-level. Finally, the study makes analytical contributions to the socio-technical metatheory and provides philosophical justifications based on actual research practice for retaining the realist position.

Abstract One of the roles of Technology Parks is to stimulate and manage knowledge transfer. Studies have been conducted on large Technology Parks, but studies on small ones are rare. However, small Technology Parks are of interest as innovation promoters, and thus regional developers. This study explores how knowledge is transferred to the product development processes of firms, and how the local innovation system influences the transfer. First the existing research is examined to understand what kind of factors affect knowledge transfer in the product development processes of firms from and through a local innovation system with incomplete services. The framework resulting from the study consists of innovation enabler analyses, and process analyses. The enablers are the Technology Park and local innovation systems, and social capital. The processes are the product development processes, and interorganisational networking. Furthermore, an empirical study was conducted on how knowledge is transferred in the product development processes of firms in two Technology Parks namely, Digipolis in Kemi in the North of Finland and Electropolis in Kalix in the North of Sweden. A qualitative embedded multiple case study was chosen as the research approach. The study consists of two levels: the product development processes of the firms, the Technology Parks as single cases and cross case analyses; and the. The latter were based on one single case, a cross case within each Technology Park, and a cross-Technology Park cross case levels. The results indicate that the characteristics of the firms have a higher influence on knowledge transfer processes than the local innovation systems, and higher education combined with an attraction strategy draws subsidiaries with minimal local links and knowledge transfer. Strong ties within local social networks favour knowledge transfer, but they have to be fostered. / Tiivistelmä Yksi teknologiakylien tehtävistä on stimuloida ja hallita tietämyksen siirtoa. Suurten teknologiakylien osalta tutkimuksia on tehty, mutta pienistä hyvin vähän. Niillä on merkitystä innovaatioiden edistäjinä ja siten ne ovat aluekehittäjiä. Tämä tutkimus selvittää, miten tietämystä siirretään yritysten tuotekehitysprosesseihin ja, miten paikallinen innovaatiojärjestelmä vaikuttaa siirtoon. Ensin tarkastellaan aiempaa tutkimusta tavoitteena luoda ymmärrys, mitkä tekijät vaikuttavat tietämyksen ohjautumiseen yritysten tuotekehitysprosesseihin paikallisesta heikommin resursoidusta innovaatiojärjestelmät. Johdettu viitekehys sisältää innovaation mahdollistajien ja prosessien analyysin. Mahdollistajia ovat teknologiakylä ja paikallinen innovaatiojärjestelmä sekä sosiaalinen pääoma. Prosessit ovat tuotekehitysprosessi ja organisaatioiden välinen verkottumisprosessi. Seuraavaksi suoritettiin kokeellinen tutkimus siitä, miten tietämys siirretään tuotekehitysprosesseihin kahdessa teknologiakylässä: Digipoliksessa Kemissä Pohjois-Suomessa ja Elektropoliksessa Kalixissa Pohjois-Ruotsissa. Tutkimusmenetelmäksi valittiin laadullinen tapaustutkimus. Siinä on kaksi tasoa: teknologiakylät tapauksittain ja tapauksien välillä analysoituna sekä yritysten tuotekehitysprosessit, jotka analysoitiin tapauksittain, tapausten kesken teknologiakylittäin ja tapausten kesken teknologiakylien kesken. Tulokset ehdottavat, että yritystyyppi vaikuttaa tietämyksen siirtoon enemmän kuin paikallinen innovaatiojärjestelmä. Korkea-asteen koulutus yhdistettynä atraktiostrategiaan houkuttaa teknologiakylään sivutoimipisteitä, jotka toteuttavat hyvin vähän paikallisia yhteyksiä ja tietämyksen siirtoa. Vahvat siteet paikallisissa sosiaalisissa verkostoissa edistävät tietämyksen siirtoa, mutta verkostoja tulee ylläpitää.

La presente tesis se encuadra dentro del debate sobre el papel de las universidades en el desarrollo socioeconómico de las regiones. En la primera parte de la tesis se presenta una revisión de la literatura sobre economía regional, centrada en cómo tres conceptos principales ¿distrito industrial, cluster y sistema local de innovación-- han tratado desde sus respectivos enfoques teóricos, el papel de las instituciones de educación superior. En la segunda parte de la tesis se presentan los aspectos metodológicos de cómo abordar el análisis de un fenómeno tan complejo como es el de la evolución del papel de una universidad, atendiendo a la selección del caso estudio, los diferentes niveles de análisis, así como las técnicas de investigación y de recolección y posterior análisis de datos. En la tercera parte de la tesis se muestran los resultados empíricos traducidos en la presentación, tanto del contexto en donde se inserta la universidad objeto de estudio, como de las tres etapas identificadas en la historia de la institución que, si bien presentan características propias de una región de baja tecnología, han sufrido cambios institucionales que conviene tener en cuenta no sólo desde el punto de vista de las políticas universitarias, sino también desde el punto de vista de la gestión de las instituciones de educación superior. Definitivamente, en la cuarta y última parte de la tesis se presentan las principales conclusiones que se desprenden del estudio realizado a lo largo de esta tesis. / This thesis is framed within the debate on the role of universities in the socioeconomic development of regions. It has three distinct parts. The first part of the thesis presents a review of the literature on regional economy, focusing on how three main concepts - industrial district, cluster and local innovation system - have addressed from their respective theoretical approaches, the role of Higher Education Institutions. The second part of the thesis presents the methodological aspects of how to approach the analysis of a phenomenon as complex as is the changing role of a university, based on the selection of the case study, different levels of analysis and research techniques and collection and subsequent data analysis. The third part of the PhD dissertation presents the empirical results of the thesis translated into the presentation of the context in which to insert the university under study, and the three stages identified in the history of the institution, although their characteristics specific to a region of low-tech, have been institutional changes should take into account not only from the viewpoint of university policies, but also from the standpoint of managing Higher Education Institutions. Definitely, the fourth and final part of the thesis presents the main findings from the study along this thesis. / Ortega Colomer, FJ. (2013). The evolution of a higher education institution's local role in a peripheral low-tech region [Tesis doctoral no publicada]. Universitat Politècnica de València. https://doi.org/10.4995/Thesis/10251/34789 / TESIS

The main goal of this work was to contribute to an understanding of the role of the knowledge bases in regional innovation systems and to identify whether the sizes of the different subsystems of regional innovation systems differ in relation to their economic and innovation maturity, and the structure of the knowledge bases is relevant. Work has also sought to identify factors limiting the more efficient interconnection of the two sub-systems of regional innovation systems and how these negative factors can be overcome. The analyses carried out have shown that economically and innovatively developed regions follow different trajectories in the composition of knowledge bases than less developed regions. More developed regions have more developed analytical knowledge base and less developer regions are more oriented on synthetic knowledge base. The analyses also revealed that regional innovation systems vary in size and internal structure of each subsystem. Advanced regions have a much more developed subsystem of knowledge exploitation, that is the demand side, while less developed and less innovative regions have more developed the supply side, that is, the knowledge generation subsystem. Trust, information exchange and shared strategic vision have proved to be among the key aspects that can...

Boosting economic growth and competitiveness in different spatial contexts such as national, regional, metropolitan etc. has always been in the epicenter of both large and small-scale planning efforts pursued at different levels of government from local to extra- regional and their significance is still, and probably will always be, on the rise given the ever increasing competition in today’s, and yet-to-come future world. In order to achieve this, relevant authorities have devised and implemented a vast variety of policies and approaches which are, more often than not, based on abundance of theoretical contributions in the field of economic geography. This thesis explores one of the main theoretical contributions to this field being Innovation Systems theory and tries to adapt the concept, originally intended for application at a larger scale, to the perspective of an individual firm rather than a whole production system while briefly using empirics from the spatial context of Adelaide/South Australia, loosely defined as a region, and the sectoral context of electricity infrastructure. The initial conclusion here is that applying the concept to the more manageable context of an individual firm, may have the potential to enable one to identify the relevant organizational and institutional setup more effectively and present a better explanatory description of their role in the whole Innovation system and in turn, can contribute to a more informed planning and policy- making process for regional economic growth.

Brazil is one of the largest biomass producers in the world, thus it has a huge potential for biogas production across all its territory. Nowadays, biogas production remains largely unexplored, representing just a small fraction of its potential. The adoption of biogas technologies has grown over the past years, but it is unevenly distributed across Brazilian states. This master thesis investigates the conditions under which the widespread diffusion of biogas technologies can be enabled in the Brazilian context by looking at the factors that influence the adoption of biogas technologies and why it differs across the Brazilian territory. Technological innovation systems (TIS), societal embedding, and diffusion of innovation theory are combined in the theoretical framework to create a broad understanding of the diffusion process of biogas technologies in Brazil. While TIS focusses on what are the functions been performed within the system, Societal embedding contributes to the understanding of why technological diffusion may not happen in the same way in different regions and how technologies are rooted in society. Diffusion of innovation theory adds to the importance of individual choices and strategies in the adoption of technologies. A comparative case study was design between the states São Paulo and Paraná. 16 semi-structured interviews served as the main research instrument with the support of document studies. When looking at the factors that could impact the adoption of biogas technologies the presence of specialized actors that can offer technical support to the implementation of projects locally proved to be positive considering that biogas technologies are still novel in Brazil. The unreliability of the energy grid in rural regions also favours the adoption of biogas technologies for electricity generation in agriculture properties that can combined waste treatment with energy security. Access to financial and human resources is still the largest barrier for the diffusion of biogas technologies. Financial institutions are at large unprepared to offer good conditions for the implementation of biogas projects, mainly because they do not understand the singularities of these projects. The adoption of biogas technologies in the case studies was mainly dictated by the economic activities in place, which shaped the view on biogas technologies. The complexities of the regulatory environment in Brazil could explain why electricity generation is still the main application of biogas technologies as the electricity market is regulated at national level while gas markets are the responsibility of individual states. When biogas technologies are portraited as a tool for sustainable development, other advantages of these technologies are highlighted – environmental and social benefits such as waste treatment and job creation – creating a better claim for biogas technologies which could boost adoption.