This document represents a doctoral thesis held under the Brazilian School of Public and Business Administration of Getulio Vargas Foundation (EBAPE/FGV), developed through the elaboration of three articles. The research that resulted in the articles is within the scope of the project entitled 'Windows of opportunities and knowledge networks: implications for catch-up in developing countries', funded by Support Programme for Research and Academic Production of Faculty (ProPesquisa) of Brazilian School of Public and Business Administration (EBAPE) of Getulio Vargas Foundation. / Submitted by Marne Santos de Melo (marne.melo@gmail.com) on 2016-05-03T22:11:34Z No. of bitstreams: 1 PhD Dissertation_MarneMelo_Final_Version.pdf: 2457125 bytes, checksum: 159e5ecfb2ba7a58c8f0bf57741590b7 (MD5) / Rejected by Marcia Bacha (marcia.bacha@fgv.br), reason: Aluna irá submeter novamente com o arquivo certo. 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No. of bitstreams: 1 PhD Dissertation_MarneMelo_Final_Version_05052016.pdf: 2534725 bytes, checksum: f6d42a161060acc546b6d30458d2a77e (MD5) Previous issue date: 2016-04-15 / This study aims to investigate the theory of catch-up cycles in the setting of developing countries. We chose the Brazilian seeds sector as the locus of investigation. In order to explain catching up and industrial leadership, as suggested by the authors, we confront changes at the global level and windows of opportunities that emerged with responses from the main company of the sector - Embrapa. In our empirical study, we made use of in-depth interviews with historical and longitudinal analysis. We found evidence that changes in key dimensions alter in importance over time, but that institutions/public policy seem to be the forces that most contribute to strong dominance of transnational companies nowadays. Moreover, differently than suggested by some authors (although they are mainly focused in the Argentinean seeds sector), we find evidence that transnational companies – particularly the Gene Giants – do are driven the process of seeds innovation in the industry. In addition, the highest amount of launching of new varieties each year is not synonymous of more (or bigger) innovation; dominant positions in the market is not directly associated with higher levels of technological innovation. In fact, market innovation – e. g., commercial approach of transnational companies, which includes financing of producers and sales distribution - seems to be, at least, as relevant as technological innovation in the setting of seeds industry. / Esse estudo busca investigar a teoria de ciclos de 'catch-up' no contexto de países em desenvolvimento. O setor de sementes agrícolas brasileiro foi escolhido como locus de investigação. A fim de explicar catching up e lideranças na indústria, foram confrontadas mudanças e janelas de oportunidades ocorridas no nível global com as respostas da principal empresa do setor – Embrapa. No estudo empírico, fizemos uso de entrevistas em profundidade e análise histórica e longitudinal. Foram encontradas evidências de que mudanças em dimensões-chave alteram em importância ao longo do tempo, mas que instituições/políticas públicas parecem ser as forças que mais tem contribuído para a forte dominância das empresas transnacionais atualmente. Além disso, diferentemente do que tem sido sugerido por alguns autores (embora eles estivessem focados principalmente no setor de sementes da Argentina), encontramos evidências de que as empresas transnacionais - em particular as 'Gene Giants' - realmente tem direcionado o processo de inovação na indústria de sementes. Além disso, a maior quantidade de lançamento de novas variedades a cada ano não é sinónimo de mais (ou de maior) inovação; posições dominantes no mercado também não estão diretamente associadas a níveis mais elevados de inovação tecnológica. Na verdade, a inovação no mercado - e. g, abordagem comercial das empresas transnacionais, o que inclui o financiamento de produtores e de distribuição de vendas - parecem ser, pelo menos, tão relevantes quanto a inovação tecnológica no cenário da indústria de sementes. RESUMO 2 - UNDERSTANDING THE DYNAMICS OF NETWORK STRUCTURES: ALLYING THE GROUNDED-THEORY TO SOCIAL NETWORK APPROACH APPLIED TO THE BRAZILIAN SEEDS SECTOR O objetivo deste trabalho é lançar luz sobre uma lacuna previamente identificada em Powell et al. (2005) e posteriormente explorada em Ahuja, Soda e Zaheer (2012): a compreensão das origens e evolução das estruturas de rede intensivas em conhecimento; em outras palavras, seu dinamismo. Especificamente, essa pesquisa examinou como e por que redes centradas em uma empresa pública de P&D de um país em desenvolvimento têm evoluído para assumir as formas que elas possuem. No processo de examinar a questão de pesquisa, especial atenção foi dada para as várias razões pelas quais os setores público e privado buscam estabelecer parcerias. O contexto empírico escolhido foi o setor de sementes agrícolas do Brasil, mas nos focamos especificamente no programa de melhoramento de soja da Embrapa, a principal empresa representativa do setor. A lógica subjacente utilizada para desenvolver nosso arcabouço teórico foi a 'grounded theory'. O desenho de pesquisa é um estudo de caso único longitudinal, estudo indutivo, mas também foi feito uso da abordagem de rede social. Com base nos achados de pesquisa, nós desenvolvemos um arcabouço teórico para compreender o dinamismo das redes. Nós constatamos diferentes interesses entre as empresas, que mudaram ao longo do tempo, e diferentes efeitos para cada tipo de rede. Além disso, foi confirmada a crescente relevância da interação entre atores organizacionais e importantes 'trade-offs' entre organizações públicas e privadas. RESUMO 3 - TECHNOLOGICAL TRAJECTORY OF EMBRAPA AND THE CONQUEST OF CERRADO Apesar da existência de inúmeros estudos dedicados a investigar a trajetória tecnológica das empresas, pouca atenção tem sido dada a algumas características dessa trajetória. Como exemplo, podem ser citados o tempo que as empresas levam para avançar tecnologicamente e a influência de fatores, tais como as redes de conhecimento e mecanismos de aprendizagem na capacidade tecnológica das firmas. Na verdade, a relação redes-capacidades é considerada por muitos autores uma das mais importantes interações, que tem sido negligenciada. Esse artigo busca minimizar esses 'gaps' na literatura. Especificamente, nós examinamos a trajetória tecnológica da principal empresa brasileira do setor de sementes agrícolas – Embrapa – incluindo o tempo para avançar tecnologicamente e a relação redes de conhecimento-capacidades tecnológicas. No processo de examinar a trajetória tecnológica da Embrapa, nós examinamos como a Embrapa conquistou o Cerrado e mensuramos alguns importantes resultados de inovações tecnológicas – produção e exportação. Por meio de um estudo de caso longitudinal, nós concluímos que a Embrapa adotou diferentes trajetórias ao longo do tempo. Inicialmente a empresa adotou a trajetória 'path-following', em seguida a trajetória 'path-skipping' e, posteriormente, a trajetória 'path-creating'. A Embrapa também mudou seus parceiros ao longo do tempo (ou eles tiveram seus papeis adaptados às condições da época). Com a ajuda de parceiros, a Embrapa foi capaz de rapidamente alcançar o nível de liderança mundial. Ademais, indicadores de produção e exportação provaram ser relevantes para mensurar resultados de esforços de inovação.

The introduction of PPPs in infrastructure provision has changed the way in which governments around the world now view infrastructure provision. However, the introduction of PPPs to deliver the needed infrastructure has benefited only a few companies. Most of these companies are the big construction firms that possess technological know-how and those that have the financial ability to execute large infrastructure projects. Although SMEs are important for employment creation, inequality and poverty reduction, the participation of SMEs in these PPP projects is very low. This is because PPP models in developing countries are based on those used in developed economies, and such models ignore the socio-economic problems facing developing countries. Therefore, this study argues that PPP projects in developing countries present an opportunity for growing the SME sectors in developing countries. It challenges the viewpoint of seeing infrastructure backlogs only as providing opportunities to big private sector companies and argues that infrastructure backlogs can be used by governments to reduce the triple challenges of unemployment, poverty and inequality by linking SMEs to PPP projects. The traditional PPP model that is being applied by many developing countries does not fully encourage the participation of SMEs in PPP projects, as most of the projects executed through this model are bundled into big projects that SMEs cannot execute due to a lack of technological know-how and weak balance sheets. The study therefore suggests different ways in which the participation of SMEs in PPP projects could be improved based on the results of the survey conducted for this study. The study then proposes an “innovative conceptual PPP model for sustainable SME development” that takes into account the needs for developing countries to create jobs, reduce poverty and inequality. It also takes into account all challenges for SMEs identified through the review of literature and the study survey. / Economics / D. Litt. et Phil. (Economics)

公私協力與自主規制在現代國家中，作為國家整體管制架構與管制行政之一環，有輔助國家行政機關之功能，減輕國家財力與人力之負擔，其有委託私人行使公權力者，則應有法律保留原則之適用，具公共目的存在與實現之關聯性與合比例性，方符合憲性之要件。若以組織法之規定，或無法律授權基礎之職權命令，均有違法治國之法律保留原則。在勞動契約上，政府透過法規範，對私法自治關係之勞動契約，以核備、備查或核定等之事前審查；在勞工保護上，課雇主以應作為與不作為之強制義務，及勞動三權之自主運作規範，協力與政府部門共同達成行政任務目標。 綜合本文研究，公私協力與自主規制在勞動法之實踐，係以公法規制私法，及容認私經濟主體在勞動關係之自主規制，連結公私部門關係，協力達成國家行政任務目標。這種公法介入私法關係，使私法形成之行政處分，作為保護勞工權益之行政處分，在勞動法上以勞基法第八十四條之一，有關勞雇約定書送地方主管機關核備之准駁行政處分。此行政處分導致勞雇間之私法關係變化，或與主管機關間之爭訟，其爭訟救濟之審判管轄權互有不同。 本研究有關建議摘要如下： 一、對勞動關係具成效之私經濟主體，毋寧採取自主規制方式，減少國家管制成本、降低資源耗費。 二、因法條文義不明致生重大爭議，主管機關之處理仍應具法律正當性。 三、公私協力與自主規制在勞動法之實踐，大抵以公法規制私法為基礎規範，主管機關執行上，仍須依循法律授權及法律明確性原則。 四、地方主管機關之行政裁量，不宜各自為政導致差異過大；且私法形成之行政處分，更應符合行政原則。

La participation du secteur privé dans la gouvernance de l’eau a considérablement évolué au cours des vingt dernières années. Aujourd’hui, les firmes transnationales de l’eau ne sont pas des opérateurs locaux mais sont devenues des acteurs économiques et politiques dans la gouvernance mondiale de l’environnement. Leur vaste offre de services et l’expansion de leurs activités sur des marchés internationaux ont largement contribué à construire une image de ces entreprises en tant qu’acteurs-clés, à coté des autorités publiques locales. Le rôle des firmes transnationales dans la gouvernance de l’eau ne se limite plus à la gestion des services dans des territoires locaux spécifiques, mais comprend également la création et la diffusion de modèles de gouvernance de l’eau à l’échelle mondiale.Cette thèse étudie les firmes transnationales de l’eau en tant qu’acteurs actifs et puissants dans la gouvernance de l’eau à des échelles multiples. Le pouvoir des deux plus grandes firmes de l’eau dans le monde, les groupes français Veolia et Suez, est analysé en termes d’intérêts, de ressources et de stratégies dans le cadre de l’« espace transnational de l’eau ». Ce concept est utilisé pour analyser les stratégies de développement et d’adaptation de Veolia et de Suez au Mexique et aux Etats-Unis de 1993 à 2014.Les échelles de gouvernance de l’eau s’avèrent déterminantes pour le pouvoir des entreprises transnationales de l’eau. Alors que Veolia et Suez créent leur pouvoir à l’échelle locale, elles le cultivent et diffusent à l’échelle mondiale. Ce processus est toutefois conditionné à l’échelle nationale et peut être potentiellement limité à l’échelle régionale. / The involvement of the private sector in water governance has greatly evolved over the last 20 years. Private water companies have gone from being local operators to becoming economic and political actors of global environmental governance. Their vast array of services and the expansion of their operations in international markets have contributed to building the image of these companies as key stakeholders alongside public authorities. The role of transnational corporations (TNCs) in water governance is no longer limited to the provision of services in specific local territories, but also includes the creation and diffusion of models of water governance at the global scale.This dissertation studies water TNCs as active and powerful actors in water governance at multiple scales. The power of the two largest water companies worldwide, the French groups Veolia and Suez, is analyzed in terms of interests, resources and strategies within the framework of the “transnational space for water.” This concept is used to analyze the development and adaptation strategies of Veolia and Suez in Mexico and the U.S. from 1993 to 2014. The study argues that scales of water governance are central to understanding the power of water TNCs. While Veolia and Suez create their power at the local scale, they cultivate and diffuse it at the global scale. This process, however, is conditioned at the national scale and can be potentially limited at the regional scale. / La participación del sector privado en la gestión del agua ha evolucionado considerablemente en los últimos veinte años. Hoy en día, las empresas transnacionales del agua han pasado de ser operadores locales a actores económicos y políticos en la gobernanza ambiental mundial. Su amplia gama de servicios y la expansión de sus actividades en mercados internacionales han llevado a construir una imagen de estas empresas como actores clave, junto a las autoridades locales. El papel de las empresas transnacionales del agua ya no se limita a la prestación de servicios públicos en territorios específicos sino que también incluye la creación y la difusión de modelos de gestión del agua a nivel internacional.La presente tesis explora a las empresas transnacionales del agua como actores activos y poderosos en la gobernanza del agua a partir de una perspectiva multi-escalar. El poder de las dos compañías más grandes a nivel mundial, los grupos franceses Veolia y Suez, es analizado en términos de intereses, recursos y estrategias en el marco del “espacio transnacional del agua”. Este concepto es propuesto y utilizado para analizar las estrategias de desarrollo y de adaptación de Veolia y Suez en México y en Estados Unidos de 1993 a 2014.Al final de este trabajo se demuestra que las escalas de gobernanza del agua son determinantes para el poder de las firmas transnacionales del agua. Mientras Veolia y Suez crean su poder en la escala local, éste es cultivado y promovido en la escala internacional. Este proceso, sin embargo, se encuentra condicionado por la escala nacional y puede ser potencialmente limitado por la escala regional.

Indiana University-Purdue University Indianapolis (IUPUI) / Indianapolis created a whole new city identity using sports development and sports tourism as the primary drivers of change in the 1960’s and 1970’s. Since then, other cities have adopted the philosophy of using sport as a catalyst to improve the economic conditions of the city. This same philosophy has seemingly trickled down to small cities across the United States in the form of youth travel sport complex development. The size of the youth travel sport segment has reportedly reached $7 billion by the National Association of Sports Commissions, resulting in the rapid development of youth sports complexes in small cities and towns. The size and scope of these facilities entering the segment range from 50 acres to as many as 400 contiguous acres costing millions of dollars. Additionally, the perceived economic impact accompanying the development of such facilities are often overinflated due to the diversity of methods used in market analyses, feasibility studies, economic impact analyses, cost-benefit analyses, and Turco’s triple-bottom-line analysis. A more systematic process is needed to assign key performance indicators and identify the critical components that will assist in the decision to enter the segment and at what capacity. This study is designed to identify the necessary critical components to reach the desired economic impacts associated with youth sport complex development. Qualitative constant comparative method of data analysis was utilized in identifying commonly identified critical components (CICC) believed to contribute to the success and sustainability of a youth sports complex.

Предметом диссертации является частно-государственное партнерство в сфере высшего образования как специфическая GR -технология. Особое внимание автор уделяет изучению коммуникативных механизмов, обеспечивающих эффективное взаимодействие между бизнес-структурами и органами власти. Диссертант подробно рассматривает новые коммуникативные механизмы данной технологии, особенности их применения в системе российского и зарубежного высшего образования. Анализ предмета статьи доказывает, что частно-государственные проекты являются самыми эффективными площадками открытого диалога бизнеса и власти для решения проблем высшего образования РФ. Для характеристики функционирования субъектов и коммуникативных механизмов GR-технологий используются структурно-функциональный и сравнительный метод. Для получения доказательной базы применен метод case-study. Основные результаты: 1.Частно-государственное партнерство является GR-технологией, выражающейся в применении специфических методов взаимодействия бизнеса и власти с целью решения социальных проблем.2.Изучение коммуникативных механизмов ЧГП как GR-технологии определило ее эффективные формы: ассоциации выпускников, эндаумент-фонды, академический фандрайзинг, частно-государственные проекты. 3.Метод Сase-study позволил определить частно-государственные проекты в системе высшего образования, как самый эффективный механизм GR-деятельности в РФ. / The subject of this research is the public-private partnership in the sphere of higher education as a specific GR-technology. The author pay particular attention to the study of communication mechanisms that ensure the productive interaction between businesses and government authorities. The work carefully examines the new communication mechanisms of such technology, as well as specificities of its application in the system of the Russian and foreign higher education. Analysis of the subject of research confirms that the public-private projects manifest as the most efficient platforms for the open dialogue between business and government for resolution of the issues of higher education in the Russian Federation. The author made the following conclusions: 1) public-private partnership is the GR-technology, which manifests in application of specific methods of interaction between business and government to address the social issues; 2) examination of the communication mechanisms of public-private partnership as a GR-technology defined its efficient forms: alumni association ,endowment funds, fundraising, and public-private projects; 3) the case-study method allowed identifying the public-private projects within the system of higher education as the most effective mechanism for GR-activity in the Russian Federation.

Gegenstand der Dissertation ist die Verantwortung der Kommunen für die Versorgung der örtlichen Bevölkerung mit Elektrizität: Woraus kann sie hergeleitet werden, welche Konsequenzen ergeben sich aus ihr für die Kommunen und welche Bedeutung kommt hierbei der Kooperation mit der Privatwirtschaft zu? Die in drei Teile gegliederte Arbeit befasst sich in ihrem ersten Teil mit den allgemeinen Grundlagen und der Entwicklung kommunaler Elektrizitätsversorgungsunternehmen. Im zweiten Teil geht es um die gesetzlichen Zielvorgaben in der Elektrizitätswirtschaft und die kommunale Verantwortung für ihr Erreichen. Der dritte Teil schließlich befasst sich mit den Voraussetzungen kooperativer Staatstätigkeit und dem Potenzial der Anwendung von Kooperationsmodellen im Bereich der örtlichen Elektrizitätsversorgung. / The dissertation ist focused on the responsibility of municipalities to supply local populations with electricity: Where can it be derived from, what consequences for municipalities arise from it and what role does the cooperation with private sector have in this context? The thesis is divided into three parts; the first part deals with the basic principles and the development of municipal electric utilities. The second part focuses on both statutory normative targets in the electricity supply industry and the municipality's responsibility to achieve them. Finally, the third part discusses the preconditions of cooperative government activity and the potential of cooperation models for application to local power supply.

Dans les pays en développement (PED), les problèmes engendrés par le VIH/SIDA et l’inaccessibilité des antirétroviraux (ARV) s’avèrent être la cause de ravages extrêmement préoccupants à tous les niveaux (démographique, politique, social et économique). Dans le cadre de l’Organisation mondiale du commerce (OMC), et notamment de l’Accord sur les aspects des droits de propriété intellectuelle qui touchent au commerce (« Accord sur les ADPIC »), un nombre croissant de PED ont ou sont en train d’intégrer un standard international de protection des brevets de produits et de procédés pharmaceutiques à leur législation nationale. Cette intégration a eu et continue de jouer un rôle majeur dans la problématique de l’accès aux médicaments dans les PED. Les conditions et les effets du régime de protection des innovations suscitent de vifs débats entre les partisans d’une protection accrue des brevets et les défenseurs de l’accès aux médicaments essentiels. Une des principales motivations de notre travail de recherche est de fournir une étude permettant de trouver des solutions à la fois favorables à l’amélioration de l’accès aux médicaments et à la préservation de l’innovation. Le problème complexe de l’accès aux médicaments ARV dans les PED est influencé par la pluridisciplinarité et l’interdépendance de nombreux facteurs. Le système des brevets ne constitue pas « l’unique » solution au problème. Toutefois, il doit être plus sérieusement considéré dans sa fonction d’équilibrage entre l’intérêt privé et l’intérêt collectif. C’est un outil juridique précieux pour le développement économique et technologique des PED et la réalisation de l’intérêt commun contre la pandémie. / In developing countries, problems brought about by HIV/AIDS and inaccessibility of antiretrovirals (ARVs) are proving to be the cause of serious damages at all levels (demographic, political, social and economic). Within the context of the World Trade Organization, and in particular the Agreement on Trade-Related Aspects of Intellectual Property Rights (“TRIPS Agreement”), a growing number of developing countries have integrated or are in the process of integrating into their national law an international standard of patent protection for pharmaceutical products and processes. Such integration continues to play a major role in the issue of access to medicines in developing countries. The conditions and effects of the protection regime respecting innovations give rise to heated debates between supporters of an increased patent protection and defenders of the access to essential medicines. One of the main motivations for our research is to provide a study that helps to find solutions that are both in favour of improving access to medicines and protecting innovation. The complex problem of access to ARV drugs in developing countries is influenced by the multidisciplinarity and interdependence of many factors. The patent system does not solve the problem on its own. However, it should be seriously considered in its function of balancing the private and collective interests. It is a valuable legal tool for the economic and technological development of the developing countries and to achieve the common interest against the pandemic.

This thesis presents a case study of Microsoft Corporation’s Partners in Learning (PiL) program, an example of transnational policy authority in education, with two embedded case studies of PiL in Jordan and South Africa. The constructivist and rationalist approaches highlight the changing nature of governance through the cultural and strategic shifts that led to Microsoft’s policy role in education. Microsoft’s strategic profit interests and its corporate-social-responsibility aspiration to play a policy role in education influenced its educational footprint. From a top-down perspective, Microsoft used supranational forms of power by implementing its global PiL blueprint through similar PiL programs worldwide. From a bottom-up perspective, Microsoft used “localization practices” by engaging different subnational agents and used different strategies to gain footholds in two very different political and policy contexts. Microsoft’s top-down and bottom-up approaches link the supranational policy arena to the subnational or subgovernmental. Microsoft’s economic power and strategic engagement gave it entry into education. It gained expert authority from its extensive history and experience in education. Its expert authority was experessed through strategic relationship building through diplomacy and partnerships, policy networks, and the sharing of best practices. The company was however not able to claim absolute legitimacy because of resistance in both countries. This thesis highlights that at the governmental level, sovereignty does not disappear when transnational corporations become involved in education at the national level. Instead, nation- states become strategic sites for the restructuring of global policy roles. The Jordanian government became a public facilitator, by working with Microsoft to implement a stand-alone PiL program. The South African government became a public integrator, by implementing the PiL program within government policies and programs. Power was also redistributed within both countries, moving away from government education officials towards the monarchy in Jordan and the presidency in South Africa. The findings of the study highlight the need for corporations engaged in public education to be governed within instituted accountability measures, for appropriate partnership frameworks, and for governance tools that can both effectively engage companies in education and ensure that they work within common goals and values set out by international education organizations.

This thesis presents a case study of Microsoft Corporation’s Partners in Learning (PiL) program, an example of transnational policy authority in education, with two embedded case studies of PiL in Jordan and South Africa. The constructivist and rationalist approaches highlight the changing nature of governance through the cultural and strategic shifts that led to Microsoft’s policy role in education. Microsoft’s strategic profit interests and its corporate-social-responsibility aspiration to play a policy role in education influenced its educational footprint. From a top-down perspective, Microsoft used supranational forms of power by implementing its global PiL blueprint through similar PiL programs worldwide. From a bottom-up perspective, Microsoft used “localization practices” by engaging different subnational agents and used different strategies to gain footholds in two very different political and policy contexts. Microsoft’s top-down and bottom-up approaches link the supranational policy arena to the subnational or subgovernmental. Microsoft’s economic power and strategic engagement gave it entry into education. It gained expert authority from its extensive history and experience in education. Its expert authority was experessed through strategic relationship building through diplomacy and partnerships, policy networks, and the sharing of best practices. The company was however not able to claim absolute legitimacy because of resistance in both countries. This thesis highlights that at the governmental level, sovereignty does not disappear when transnational corporations become involved in education at the national level. Instead, nation- states become strategic sites for the restructuring of global policy roles. The Jordanian government became a public facilitator, by working with Microsoft to implement a stand-alone PiL program. The South African government became a public integrator, by implementing the PiL program within government policies and programs. Power was also redistributed within both countries, moving away from government education officials towards the monarchy in Jordan and the presidency in South Africa. The findings of the study highlight the need for corporations engaged in public education to be governed within instituted accountability measures, for appropriate partnership frameworks, and for governance tools that can both effectively engage companies in education and ensure that they work within common goals and values set out by international education organizations.