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ESTUDO DA COMPETITIVIDADE
DA INDÚSTRIA BRASILEIRA
_____________________________________________________________________________________________
NEW TRENDS OF COOPERATIVE R&D AGREEMENTS:
CHALLENGES AND OPPORTUNITIES FOR THIRD
WORLD COUNTRIES
Nota Técnica Temática do Bloco
"Condicionantes Internacionais da Competitividade"
O conteúdo deste documento é de
exclusiva responsabilidade da equipe
técnica do Consórcio. Não representa a
opinião do Governo Federal.
Campinas, 1993
Documento elaborado pela consultora Helena M.M. Lastres (Science Policy Research Unit/University of Sussex).
A Comissão de Coordenação - formada por Luciano G. Coutinho (IE/UNICAMP), João Carlos Ferraz (IEI/UFRJ), Abílio dos Santos
(FDC) e Pedro da Motta Veiga (FUNCEX) - considera que o conteúdo deste documento está coerente com o Estudo da Competitividade da Indústria
Brasileira (ECIB), incorpora contribuições obtidas nos workshops e servirá como subsídio para as Notas Técnicas Finais de síntese do Estudo.
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ESTUDO DA COMPETITIVIDADE DA INDÚSTRIA BRASILEIRA
IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
CONSÓRCIO
Comissão de Coordenação
INSTITUTO DE ECONOMIA/UNICAMP
INSTITUTO DE ECONOMIA INDUSTRIAL/UFRJ
FUNDAÇÃO DOM CABRAL
FUNDAÇÃO CENTRO DE ESTUDOS DO COMÉRCIO EXTERIOR
Instituições Associadas
SCIENCE POLICY RESEARCH UNIT - SPRU/SUSSEX UNIVERSITY
INSTITUTO DE ESTUDOS PARA O DESENVOLVIMENTO INDUSTRIAL - IEDI
NÚCLEO DE POLÍTICA E ADMINISTRAÇÃO EM CIÊNCIA E TECNOLOGIA - NACIT/UFBA
DEPARTAMENTO DE POLÍTICA CIENTÍFICA E TECNOLÓGICA - IG/UNICAMP
INSTITUTO EQUATORIAL DE CULTURA CONTEMPORÂNEA
Instituições Subcontratadas
INSTITUTO BRASILEIRO DE OPINIÃO PÚBLICA E ESTATÍSTICA - IBOPE
ERNST & YOUNG, SOTEC
COOPERS & LYBRAND BIEDERMANN, BORDASCH
Instituição Gestora
FUNDAÇÃO ECONOMIA DE CAMPINAS - FECAMP
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ESTUDO DA COMPETITIVIDADE DA INDÚSTRIA BRASILEIRA
IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
EQUIPE DE COORDENAÇÃO TÉCNICA
Coordenação Geral: Luciano G. Coutinho (UNICAMP-IE)
João Carlos Ferraz (UFRJ-IEI)
Coordenação Internacional: José Eduardo Cassiolato (SPRU)
Coordenação Executiva: Ana Lucia Gonçalves da Silva (UNICAMP-IE)
Maria Carolina Capistrano (UFRJ-IEI)
Coord. Análise dos Fatores Sistêmicos: Mario Luiz Possas (UNICAMP-IE)
Apoio Coord. Anál. Fatores Sistêmicos: Mariano F. Laplane (UNICAMP-IE)
João E. M. P. Furtado (UNESP; UNICAMP-IE)
Coordenação Análise da Indústria: Lia Haguenauer (UFRJ-IEI)
David Kupfer (UFRJ-IEI)
Apoio Coord. Análise da Indústria: Anibal Wanderley (UFRJ-IEI)
Coordenação de Eventos: Gianna Sagázio (FDC)
Contratado por:
Ministério da Ciência e Tecnologia - MCT
Financiadora de Estudos e Projetos - FINEP
Programa de Apoio ao Desenvolvimento Científico e Tecnológico - PADCT
COMISSÃO DE SUPERVISÃO
O Estudo foi supervisionado por uma Comissão formada por:
João Camilo Penna - Presidente Júlio Fusaro Mourão (BNDES)
Lourival Carmo Mônaco (FINEP) - Vice-Presidente Lauro Fiúza Júnior (CIC)
Afonso Carlos Corrêa Fleury (USP) Mauro Marcondes Rodrigues (BNDES)
Aílton Barcelos Fernandes (MICT) Nelson Back (UFSC)
Aldo Sani (RIOCELL) Oskar Klingl (MCT)
Antonio dos Santos Maciel Neto (MICT) Paulo Bastos Tigre (UFRJ)
Eduardo Gondim de Vasconcellos (USP) Paulo Diedrichsen Villares (VILLARES)
Frederico Reis de Araújo (MCT) Paulo de Tarso Paixão (DIEESE)
Guilherme Emrich (BIOBRÁS) Renato Kasinsky (COFAP)
ESTUDO DA COMPETITIVIDADE DA INDÚSTRIA BRASILEIRA
IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
José Paulo Silveira (MCT) Wilson Suzigan (UNICAMP)
ESTUDO DA COMPETITIVIDADE DA INDÚSTRIA BRASILEIRA
IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
CONTENTS
EXECUTIVE SUMMARY ........................................1
INTRODUCTION .............................................10
1. THE INTERNATIONAL CONTEXT. ............................12
1.1. The Growth of Strategic Alliances in the 1980s. .....12
1.2. Motives for the Changes in Innovation Networking ....19
1.3. Causes of the Changes in Innovation Networking ......22
1.4. Role of the Government in Promoting R&D Networks ....28
2. ASSESSMENT OF THE OPPORTUNITIES AND CHALLENGES FOR THIRD WORLD
COUNTRIES .............................................33
3. CONCLUSIONS ...........................................39
4. POLICY IMPLICATIONS ...................................42
APPENDIX .................................................45
BIBLIOGRAPHY .............................................47
LIST OF TABLES AND FIGURES ..............................55
ABBREVIATIONS ............................................56
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EXECUTIVE SUMMARY
1. THE INTERNATIONAL CONTEXT
1.1. Recent Trends in Networks of Innovators
Network of Innovators is a basic institutional arrangement
to cope with systemic innovation and consists on an inter-
penetrated form of market organization. Empirically, networks
are loosely coupled organizations having a core with both weak
and strong ties among constituent members.
Strategic alliances with outside firms and other
institutions are not totally new, nor limited to the recent
decades. However, the observation that the last two decades have
witnessed a significant quantitative and qualitative increase in
innovation networking has attracted much interest to the
analysis of collaborative ventures world-wide. In addition, it
has been shown that there are important qualitative differences
between new and previous forms of R&D collaboration.
Accompanying the interest in monitoring and interpreting
the new phenomenon, the importance of establishing and operating
data bases about these collaborative arrangements has also
greatly increased in the last few years. Among the main findings
arising from the analysis of the data available about networking
are:
- an extremely rapid recent growth of inter-firm R&D-
motivated collaborative arrangements. Compared to the period
1970/79, the number of alliances almost doubled in the following
five years (1980/84), and again it more than doubled in the
period 1985/89.
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IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
- a concentration of the new agreements on the research
base that directly underlies firms' competitive interests, with
R&D agreements representing the largest category of partnering
with a share of more than 40%.
- a concentration of the new collaborative arrangements on
fields that are characterized as high tech sectors. Information
and communication technology - ICT (with 41.2%), biotechnology
(with 20.2%) and advanced materials (with 10.3%) accounted for
about 72% of all the agreements recorded from 1980 to 1989.
- a concentration of the agreements on the Triad countries
(US, Western Europe and Japan), which accounted for over 90% of
all the agreements recorded in the 1980s. Only the Asian newly
industrialized countries (NICs) entered the picture in
significant numbers from outside.
- a predominance of very large, multinational and
diversified companies participating in the new R&D-motivated
collaborative ventures.
In contrast to much of the previous literature,
considerations of cost-sharing and cost-minimization appeared to
play a relatively small role in comparison with strategic
objectives relating to new technologies and markets. According
to empirical evidence, strategic behaviour of firms (rather than
costs) would explain better the recent explosion in innovation
networking and the following motives were found to predominate:
(a) reduction, minimization and sharing of uncertainty and lead
times in new area of R&D; (b) shortening of product life cycle,
reduction of the period between invention and market
introduction; (c) cross fertilization of scientific disciplines
and fields of technology, technological synergies, access to
scientific knowledge or complementary technology, acquisition of
core competencies; (d) monitoring of environmental changes and
opportunities; (e) strategies relating to technological
competence and market access and positioning; and
internationalization, globalization and entry to foreign markets
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In trying to interpret the recent trend of networks of
innovators, it has been stressed that the combination of
scientific, technical and market information from external and
internal sources will vary, not only according to companies'
size and structure, type of industries and countries, and to
each different techno-economic paradigms but also with the
nature of the innovation. The main points of this argument are
that:
- at times when there is a radical discontinuity in
technology systems, scientific knowledge becomes extremely
important in opening up new possibilities of major technological
advances. Therefore, the role of S&T networks stands out;
- conversely, when the main direction of technical change
is the improvement and diffusion of a technology, incremental
innovations prevail. Then, the experience of production, plant
design and construction, marketing and the interaction with
users, suppliers and contractors become more important.
Since the new technologies have confronted most firms with
a radical break in their previous trajectories, the need for
information from both external and internal sources of knowledge
has become even more crucial. Three major factors help
explaining why the access to a wide scientific and technological
base that was an advantage in earlier phases is now a necessity:
a) major innovations are based even more strongly on
scientific knowledge;
b) the increased speed with which the new developments have
taken place; and
c) the key role played by technological interrelatedness in
the growth of new industries and in the rejuvenation of others.
All this reinforce the point that the main source of change
underlying the new developments in networking for innovation
lies in the new forms of the rapid development and diffusion of
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generic technologies associated with the new techno-economic
paradigm and especially information technology (which provides
both the need for collaboration and the technical means for
improving networks). As the potential for linking the
information systems of separate organizations has gradually been
realized (with the development and diffusion of computer
networks), parallel changes in the relationship between them
have occurred.
There is still an open debate about the transient and
permanent aspects of the present networking phenomenon. On the
one hand, there are arguments indicating that the upsurge of
networking arrangements is a transitory adaptation to the
diffusion of new generic technologies. On the other hand, there
is the supposition that networking will grow still more
important and will become the normal way of conducting product
and process development in the following decades. However, its
present importance is undeniable.
1.2. Government Policies in Developed Countries
Collaborative arrangements are frequently promoted by
governments, acting as brokers in setting up various types of
R&D consortia and the promotion of R&D networking has played an
important role in government R&D policy in the recent years. In
Japan much of the support for industrial R&D are geared towards
collaborative networking. By the late 1980s, four-fifths of all
government R&D loans were allocated to joint projects, involving
a number of research associations and also many other types of
consortia, forums and joint research centres. On the other hand,
according to Japanese firms, government intervention has had an
important role in promoting inter-firm research collaboration.
The apparent success of the Japanese collaborative
programmes led to the emphasis on this type of organization and
funding in other countries. As one consequence, this form of
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IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
organization and funding became important in terms of US and
European R&D programmes, particularly in the 1980s. By the end
of the decade about two-thirds of the European Community
Research Budget was disbursed in this form for the support of
the new generic technologies.
1.3. Limited Opportunities for Less Developed Countries
As may be inferred from the above discussion, it should be
expected that less developed countries (LDCs), in principle,
would not be involved in the new R&D-motivated collaborative
arrangements pursuing the rapid development and diffusion of
novel generic technologies. The relatively higher importance of
frontier scientific knowledge and the fact that firms and
countries participating in such arrangements have a long history
of real commitment to R&D and science and technology-related
externalities, all contribute to making it unlikely that firms
in LDCs would be appealing partners. In fact, there is some
evidence indicating that the difficulties of finding partners
from the most advanced countries who would be interested in
jointly develop research with partners in LDCs have increased
during the last decade.
With the exception of the Asian NICs, the participation of
companies from the less developed countries in the recent wave
of new R&D-motivated collaborative arrangements is only
marginal.
Among other main conclusions regarding the involvement of
LDCs in such alliances are that:
a) only 4.3% of the strategic technology partnerships
recorded in the period 1980/89 involve firms from those
countries;
b) most arrangements concentrate on projects using
relatively mature and stable technologies;
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IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
c) very few agreements involving LDCs are R&D-oriented;
d) considering those agreements for which technology-
transfer is a major objective, the share of LDCs has fallen from
5.3% in the first half of 80s to 4.8% in the second half of the
decade.
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2. POLICY IMPLICATIONS FOR BRAZIL
Data available about networks of innovators show that the
Asian NICs (countries with the highest R&D intensity in the
Third World) are those which participate more frequently in
international technology collaborative agreements. Successful
cases (relating not only LDCs but also the most advanced
countries) seem to be related to the adoption of policies which
are consistently pursued aiming to build up scientific and
technical infrastructure, to form and train skilled personnel
and to expand the absorptive capacity of the economy.
This reinforces the urgent need to strengthen LDCs'
indigenous science and technology system as well as to improve
their capability to absorb external contributions. The
strengthening of the scientific and technical competence of
these countries cannot be expected to result from market forces
alone (such as, for instance, the activities and interests of
multinational companies). Therefore, the primary role of public
policies of shaping the overall structure of production and the
institutional set-up to promote organized learning.
Similar conclusions underlie recent contributions to
economic theory and policy making. The main argument here is
that the recent changes in technological competitiveness
associated with the new paradigm have demanded a correspondent
change in policy making. The observation that the old policy
frameworks appear inadequate to deal with this new reality has
provided justifications for a government strategy of networking.
Above all, it has been stressed that S&T policy should not be
limited to R&D support of individual firms or projects. Instead,
the main objective of government policy for S&T should
concentrate on:
- the early identification of important future
technological opportunities;
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ESTUDO DA COMPETITIVIDADE DA INDÚSTRIA BRASILEIRA
IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
- enhancing the rate at which information flows through the
system;
- rapidly diffusing new technologies; and
- increasing the connectivity of the different constituent
parts of the S&T system to accelerate the learning process.
In addition, it is argued that, compared to the support to
individual projects in companies, the adoption of a systems approach to
policy making imply a more efficient and flexible perspective to
face the new challenges imposed by the new patterns of technical
change.
Although it should be expected that this type of policy
change would implicitly rely on a long run commitment to
consistent scientific and technological development, there are
important measures to be taken in the short run. Among others,
the following points are suggested:
- government agencies should reconsider their mode of
intervention and pursue policies aiming at exploiting more
effectively the positive inter-institutional and inter-sectoral
linkages of innovation. In particular, government financing
institutions should shift their focus from centrally financing
individual projects and firms, as they have done in the past, to
financing inter-firm technical collaboration and joint R&D
projects involving firms and research institutions;
- there are few, but nonetheless important, cases of
domestic and international collaboration involving Brazilian
firms. These cases could be reinforced and their experience used
as examples of how could national advantages of technological
cooperation be maximized (and its disadvantages minimized);
- local cooperation could also be promoted by government
enterprises using their purchasing power, by stimulating
scientific and technical collaboration among their suppliers and
other contractors;
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IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
- technical cooperation with suppliers and customers should
become priority policy areas not only to improve quality, but
also production, process engineering and R&D. In particular,
cooperation between potential users in traditional sectors (such
as steel, the agro-industrial complex, paper and pulp) and
developers/producers of new generic technologies should be
pursued.
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INTRODUCTION
The observation that the last two decades have witnessed a
significant quantitative and qualitative increase in innovation
networking has attracted much interest to the analysis of
collaborative ventures world-wide. A number of studies have
tried to investigate the intensity, forms and consequences of
the new collaborative arrangements and to answer questions such
as the following:
What is really new in networking?
What are the motives inducing firms (and other
institutions) to collaborate with each other?
Is government intervention playing any significant role in
the promotion of such arrangements?
Is it a temporary phenomenon to cope with the need for
technological complementarities associated with the diffusion
of the new techno-economic paradigm? Or is it a result of the
evolution of both market and hierarchical relationships which
are being replaced by new forms of organizations?
Will networking become the basis of the new style of
industrial competition?
Is there an actual tendency for today's networks to become
tomorrow's monopolies?
Are the new collaborative ventures circumscribed to
advanced countries?
What are the opportunities and challenges faced by Third
World countries?
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Most of these issues will be approached in this paper. In
the first chapter, section 1.1 will start (a) by defining
innovation network; and (b) by classifying the most important
categories of network relevant for innovation. It will then
illustrate and discuss the new trends in networking: the growth
of inter-firm strategic alliances in the 1980s, its geographical
concentration, the main participants, sectors and forms of
collaboration. Section 1.2 will examine the motives for firms to
enter into cooperative R&D agreements, while, in section 1.3,
the macro-causes that brought about the recent changes in
networking will be investigated and section 1.4 will focus upon
the role of the government in promoting R&D-motivated networks.
Chapter 2 will discuss the characteristics and level of
participation of developing countries in the new collaborative
arrangements, as well as it will examine the opportunities and
challenges for Third World countries.
Chapter 3 will bring together the main conclusions of the
discussion and, finally, chapter 4 will summarize the main
policy implications deriving from the discussion developed
throughout the paper.
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1. THE INTERNATIONAL CONTEXT
1.1. The Growth of Strategic Alliances in the 1980s
Strategic alliances with outside firms and other
institutions are not totally new, nor limited to the recent
decades. However, as several studies have shown, all sort of
collaborative ventures, and particularly R&D-motivated
alliances, were growing rapidly in the 1970s and 1980s (Fusfeld
& Haklisch, 1985; OCDE, 1986; Teece, 1986; Chesnais, 1988;
Mowery, 1988 and 1989; Hladik, 1988; Hagedoorn & Schakenraad,
1990; Markusen, 1990; Freeman, 1991).
Given the outstanding importance of these new innovation
alliances, much emphasis has been given to their definition,
classification and interpretation. At the 'International
Interdisciplinary Workshop on Network of Innovators' (Montreal,
1990), the following definition was considered as the one which
best apprehends the essence of those alliances.
1
Network of Innovators is a basic institutional arrangement
to cope with systemic innovation and consists on an inter-
penetrated form of market organization. Empirically, networks
are loosely coupled organizations having a core with both weak
and strong ties among constituent members (Imai & Baba, 1989).
Table 1 lists the most important categories of network which
are relevant for innovation, naming some of the authors who have
worked with each category.
1
See, for instance, DeBresson & Amesse (1991) and Freeman (1991).
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TABLE 1
CATEGORIES OF NETWORKS WHICH ARE RELEVANT FOR INNOVATION
------------------------------------------------------------------------------------------------------
-----
1 - joint ventures and research corporations (Fusfeld & Haklisch, 1985; OCDE, 1986; Mowery, 1988 and
1989;
Hladik, 1988; Hagedoorn & Shakenraad, 1990; Lastres, 1992)
2 - joint R&D agreements (OCDE, 1986; Mowery, 1988 and 1989; Hagedoorn & Schakenraad, 1990)
3 - technology exchange agreements (OCDE, 1986; Mowery, 1988 and 1989; Hagedoorn & Schakenraad, 1990)
4 - direct investment (minority holdings, motivated by technology factors) (OCDE, 1986; Mowery,
1988;
Hagedoorn & Schakenraad, 1990)
5 - licensing and second-sourcing agreements (Hagedoorn & Schakenraad, 1990)
6 - sub-contracting, production-sharing and user-producer networks (von Hippel, 1988; Lundvall,
1988;
Hagedoorn & Schakenraad, 1990; Freeman, 1991)
7 - research associations (Levy & Samuel, 1989; Ito, 1991; Freeman, 1991)
8 - government-sponsored joint research programmes (Fransman, 1990; Freeman, 1991)
9 - computerized data banks and networks for technical and scientific interchange (Bar & Borrus,
1989; van
Kooiji, 1990)
11 - informal networks (von Hippel, 1988; Jagger & Miles, 1991; Lundvall, 1990; Erikson & Håkansson,
1990)
12 - other networks
------------------------------------------------------------------------------------------------------
-----
Note: These categories are not mutually exclusive and a number of firms are involved in several
of these
modes of networking and many are involved in all.
Source: Adapted from Freeman (1991) and Hagedoorn & Shakenraad (1991).
Both sectoral and global recent investigations have shown
that the relevance of networking arrangements has significantly
increased in the last two decades. In addition, these studies
have also shown that there are qualitative differences between
new and previous forms of R&D collaboration. Accompanying the
interest in monitoring and interpreting the new phenomenon, the
importance of establishing and operating data bases about these
collaborative arrangements has also greatly increased in the
last few years. The analysis below will concentrate mainly on
the information provided by the MERIT Data Bank, which is
probably the largest data bank in the area with information on
nearly 10,000 international alliances and several thousands of
companies.
2
2
Additional information, relying on other data banks, will be given, in the form of notes,
whenever required.
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The data provided by MERIT through its Cooperative
Agreements and Technology Indicators (CATI) information system
is based on public announcements of new agreements. Major
sources for the data bank are: books, newspaper articles, and in
particular, specialized technical journals which report on
business events. It has some bias towards Western European and
US sources, and towards firms with well-established names.
Cooperative agreements are defined as common interests
between independent partners which are not connected through
majority ownership. In the CATI information system only those
inter-firm agreements that contain some arrangement for
transferring technology or research are collected. Mere
production or marketing joint ventures are excluded. The data
bank does not cover informal innovation networks and its
systematic coverage is confined to: joint ventures; joint R&D
agreements; technology exchange agreements; direct investment;
licensing and second-sourcing agreements; and sub-contracting,
production-sharing and supplier networks (in which new
technology is received at least from one partner or which
involve some R&D programme).
3
Among the main findings arising from the analysis of the
data available are:
a) An extremely rapid growth of inter-firm collaborative
arrangements in the 1980s. Figure 1 illustrates this growth in
the number of the agreements recorded from 1970 to 1989. It
shows that, compared to the period 1970/79, the number of
alliances almost doubled in the following five years (1980/84),
and again it more than doubled in the period 1985/89.
3
Hagedoorn and Schakenraad (1990) make a distinction between cooperative agreements which are
aimed at the strategic, long term perspective of the companies involved and those cost-
economizing agreements, which are considered to be more associated with the control of either
transaction costs or operating costs of companies. They also remark that when strategic and
cost-economizing aims cannot be dissociated, they classify the agreement as of a mixed
character. Unless otherwise stated, in this paper, data about collaboration will refer to their
classification of strategic technology alliances. As will be discussed below they divide these
in two groups: R&D/technology/innovation driven alliances and production/market structure
driven alliances. See also Hagedoorn & Schakenraad (1991).
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FIGURE 1
GROWTH OF STRATEGIC TECHNOLOGY COOPERATION AGREEMENTS
1970-1989
(Total number of cases = 4986)
0
1000
2000
3000
4000
5000
70/80
80/84
85/89
Source: MERIT - CATI data bank.
b) A concentration of the new collaborative arrangements on
those fields that are characterized as high tech sectors. As
Figure 2 shows, information and communication technology - ICT
4
(with 41.2%), biotechnology (with 20.2%) and advanced materials
(with 10.3%) accounted for about 72% of all the agreements
recorded from 1980 to 1989.
5
4
Includes a wide spectrum of technologies ranging from microelectronics, informatics and
telecommunications.
5
Fusfeld and Haklisch (1985) argue that the main targets of collaboration have varied throughout
the years. The associations established from 1900 through the 1960s primarily served the
automotive, food, paper and textile industries. In the 1970s the associations to serve the
chemical and energy industries predominated. Since the 1980s, the main concern has concentrated
on the support, development and diffusion of information technology, biotechnology, and
advanced materials.
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FIGURE 2
TECHNOLOGY COOPERATION AGREEMENTS ACCORDING TO ECONOMIC
SECTORS
1980-1989
(Total number of cases = 4192)
ICT
biotechnology
advanced mats
chemicals
defense + aviat.
automotive
heavy electr.
instruments + med
food + beverage
others
Source: MERIT - CATI data bank.
c) A concentration of the new agreements on the research
base that directly underlies firms' competitive interests.
6
As
Figure 3 indicates, the group of R&D pacts is the largest
category of partnering with a share of more than 40%. It is
followed by joint ventures with about 30%; minority investments
with over 16%; and other modes of cooperation (mainly R&D
6
Some authors, have argued that the new agreements are mostly centred around the pre-competitive
(or pro-competitive) technical base of firms, such as, basic research (or, at least, less
applied in character and less closely linked to a specific commercial product), education and
dissemination of technical information (Fusfeld & Haklisch, 1985; Mowery, 1989).
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contracts and second-sourcing agreements, which amount to nearly
13%).
FIGURE 3
MODES OF TECHNOLOGY COOPERATION AGREEMENTS
1980-1989
(Total number of cases = 4192)
joint R&D
joint ventures
minority invest
other
Source: MERIT - CATI data bank.
d) A geographical concentration of collaborative agreements
on the advanced countries. The so-called Triad (the US, Japan,
the EC and EFTA countries) accounted for over 90% of all the
agreements recorded
7
in the 80s and only the Asian NICs entered
the picture in significant numbers from outside.
7
As already noted, the information regarding Japanese agreements in the MERIT/CATI data bank is
considered to be underestimated. However, it is worth stressing that 7 out of the top fifteen
companies with most strategic alliances in the 1980s are Japanese. In addition, 3 out of the
top 4 are large Japanese conglomerates. See Table A.2 in the Appendix.
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FIGURE 4
DISTRIBUTION OF TECHNOLOGY ALLIANCES WITHIN ECONOMIC BLOCKS
1980-1989
(All sectors - total number of cases = 4192)
Europe
Europe/US
Europe/Japan
US
Japan
Other
Source: MERIT - CATI data bank.
apart from the group of small firms. On average, large and very
large firms appear to be more cooperation intensive. Figure 5
dominance of large, multinational and diversified companies is
also confirmed by Table A.2 in the Appendix, which lists the top
The available data also shows that many firms make use of
several different arrangements simultaneously.
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FIGURE 5
COOPERATION INTENSITY AND SIZE OF FIRMS
1980-1989
0
5
10
15
20
25
30
No of employees
Source: MERIT - CATI data bank.
1.2. Motives for the Changes in Innovation Networking
In trying to understand the growth of innovation networks
and the qualitative changes in their mode of operation in the
1980s (and also their implications for policy making and
research in the 1990s), the motives for firms to enter into
cooperative R&D agreements have been investigated.
It was found out that, in contrast to much of the previous
literature, considerations of cost-sharing and cost-minimization
appeared to play a relatively small role in comparison with
strategic objectives relating to new technologies and markets.
Therefore, according to empirical evidence, strategic behaviour
ESTUDO DA OMPETITIVIDADE DA I BRASILEIRA
of firms (rather than costs
explosion in innovation networking. Table 2 lists the
predominant motives found out by a number of authors when
TABLE 2
MOTIVES FOUND IN THE LITERATURE FOR THE NEW COOPERATIVE R&D
------------------------------------------------------------------------------------------------------
-----
1986;
Mariotti & Ricotta, 1986, Mytelka & Delapierre, 1987; Obleros & MacDonald, 1988; Hladik, 1988;
1989; Freeman, 1991; Saxenian, 1991)
• shortening of product life cycle, reduction of the period between invention and market
(OCDE, 1986; Mariotti & Ricotta, 1986)
• cross fertilization of scientific disciplines and fields of technology, technological synergies,
to scientific knowledge or complementary technology, acquisition of core competencies (OCDE,
1986;
1987;
Obleros & MacDonald, 1988; Mowery, 1988; Hladik, 1988; von Hippel, 1988; Lundvall, 1990; Hagedoorn
Schakenraad, 1990; Saxenian, 1991; Freeman, 1991; Lastres, 1992)
• monitoring of environmental changes and opportunities (Mariotti & Ricotta, 1986; Freeman, 1987;
& MacDonald, 1988; Mowery & Rosenberg, 1989; Ito, 1991; Freeman, 1991; Lastres, 1992)
• strategies relating to technological competence and market access and positioning (Hladik, 1988;
1986; Mariotti & Ricotta; Porter & Fuller, 1986; Mowery, 1988; Hagedoorn & Schakenraad, 1990;
Freeman,
• internationalization, globalization and entry to foreign markets (OCDE, 1986; Porter & Fuller,
1986;
------------------------------------------------------------------------------------------------------
-----
Figure 6 presents the relative weight for the main motives
for strategic alliances according to the information available
market
access and influencing the market structure technology
complementarity reduction of the innovation time-span have
technology cooperation.
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FIGURE 6
MOTIVES FOR STRATEGIC ALLIANCES
1980-1989
(All sectors - total number of cases = 4192)
0 10 20 30
market access
tech complem
reduct. of time
monitoring tec
high cost/risk
basic R&D
lack of $
1980/84
1985/89
%
motives
Source: MERIT - CATI data bank.
However, the figure also shows that, while the relevance of
technological complementarity and of reduction of time span has
increased during the second of half of the past decade, the
importance of market access has slightly decreased in the same
period. Therefore, the former two main motives are now been
considered as the most important for companies to engage in
technology cooperation.
A complementary discussion here refer to the main
advantages and disadvantages for collaboration. Although the
establishment of the new collaborative ventures are a reasonably
recent phenomenon, some studies have already approached the
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TABLE 3
SOURCES OF IDEAS AND INFORMATION FOR NEW TECHNOLOGY
------------------------------------------------------------------------------------------------------
-----
(1) in-house research, design and development;
(2) experience in production, quality control and testing;
(3) experience in marketing and feedback from users;
(4) experience in plant design and construction and feedback from contractors and suppliers;
(5) scanning the world scientific and technical literature, patents and other information sources;
(6) analysis of competitors' strategies and developments (including, for instance, the practice of
reverse engineering);
(7) recruitment of engineers and scientists;
(8) contact with university science and engineering faculties;
(9) contact with government research organizations;
(10) consultancy arrangements with (8) and (9);
(11) acquisition of other firm or merger;
(12) joint venture;
(13) cooperative research arrangements;
(14) licensing and cross-licensing of new products, processes and know-how;
(15) contract research;
(16) other.
------------------------------------------------------------------------------------------------------
-----
Source: Based on Freeman (1989 and 1990).
The idea that the generation and maintenance of firm
competitive advantages will depend greatly on a creative
combination of scientific and technical inputs from external and
internal sources has become now common sense in the literature.
However, a first point to stress is that the very ability to
pose a feasible research problem, to select, evaluate and
negotiate and finally adopt a new technology may require
substantial technical expertise within the firm. Therefore, it
has been greatly emphasized that firms invest in in-house R&D
not only to pursue directly new process and product innovation,
but also to develop and maintain their broader capabilities to
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recognize, assimilate and exploit externally available
information.
This emphasizes the point that licensing and other forms of
inter-firm transfer of technology cannot be seen as possible
substitutes for indigenous innovative activities. As Mowery and
Rosenberg (1989) stress, where such expertise is lacking,
cooperative research organizations often have been unsuccessful
in industry. "The difficulties inherent in the provision of
research on a contractual or arm’s-length basis can undercut the
effectiveness of these organizations in industries with little
or no in-house R&D activity" (p. 290).
8
Also as Freeman, 1991,
stresses, "it is not just a question of getting a lot of
’information’; often there is a overload of information. The
problem of innovation is to process and convert information from
diverse sources into useful knowledge about designing, making
and selling new products and processes" (p. 501).
In trying to interpret the recent wave of networks of
innovators, it has been stressed that the combination of
scientific, technical and market information from external and
internal sources will vary according to a number of aspects:
with companies' size and structure, type of industries, national
environment, each different techno-economic paradigms, type of
technology and innovation (process, product, service,
organization), and also with the nature of the innovation
(Freeman, 1991). The main points of the latter argument can be
summarized in the following way:
- at times when there is a radical discontinuity in
technology systems, scientific knowledge becomes extremely
important in opening up new possibilities of major technological
advances. Therefore, the role of S&T networks stands out -
points (1) and (5) to (15) in Table 3 above.
8
This argument has been particularly reiterated in the analysis of the Japanese import and
exploitation of foreign technologies during the post-war period, when firms invested heavily in
research as a means of absorbing and modifying technologies from external sources (Goto &
Wakasugi, 1987).
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- conversely, when the main direction of technical change
is the improvement and diffusion of a technology, incremental
innovations prevail. Then, the experience of production, plant
design and construction, marketing and the interaction with
users, suppliers and contractors become more important - points
(2) to (4).
9
Despite the emphasis on the cumulativeness of the process of
innovation and the acknowledgement that past success constrains
the future, it is recognized that there are times when the very
strength of a particular technological tradition may inhibit
further innovation. Technological discontinuities inevitably
result in obsolescence (not only of plant and equipment, but
also of individual and organizational skills, experience and
culture). This is most obvious in the cases where the new
technology seems to be heading in a direction totally unrelated
to the firm's main technologies and markets. Or worse yet, when
the new technology seems destined to become a substitute for
some of the firm's established core technologies. Even in the
case that an established firm has developed a radically new
technology which complements its established technologies and
markets, it is probable that the firm's existing productive
units, and perhaps also its management, may be poor receptors
for the new technology. In particular, it is worth stressing
that, at the level of both the industry and the nation, the
management systems - which have been developed to promote one
type of technology - are generally inappropriate for entirely
new technologies (Perez, 1983; Freeman & Perez, 1988; Dosi,
Pavitt & Soete, 1990; Obleros & MacDonald, 1988; Achilladelis,
1991
10
; Lundvall et al., 1992).
9
A number of empirical studies have emphasized the determinant role of the interaction with
contemporary and future users of an innovation, not only in the case of incremental innovation,
but also radical innovations (Lundvall, 1988 and 1992; von Hippel, 1988; Schmitz & Cassiolato,
1992).
10
"Firms which fail to recognize the importance of a new paradigm and do not shake-off their
inertia will tend to have their technology and market positions eroded. If, on the contrary,
they move quickly to assimilate the new technology, they may, by introducing a market
successful radical innovation, create a new Corporate Technology Tradition and prolong their
dominance over technology and markets for much longer periods of time" (p. 55).
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Since the new technologies have confronted most firms with a
radical break in their previous trajectories, the need for
information from external sources of knowledge has become even
more crucial. Therefore, three main factors help explaining why
the access to a wide scientific and technological base that was
an advantage in earlier phases is now a necessity (Chesnais,
1988; Freeman, 1991): (a) major innovations are based even more
strongly on scientific knowledge; (b) the increased speed with
which the new developments have taken place; and (c) the key
role played by technological interrelatedness in the growth of
new industries and in the rejuvenation of others have been
emphasized.
This would help explaining why a marked characteristic of
the 80s has been a rapid proliferation of new agreements,
consortia and collaborative R&D programmes. Networking has
become of critical importance for effective innovation and
particularly to provide more rapid access to technological
capabilities that are not well developed within a firm. As seen
in section 1.1, all sort of firms have entered into a series of
R&D collaborative arrangements, particularly those large
multinationals - which often have huge in-house R&D facilities
and have resources greater than many small countries.
11
In addition, it has been emphasized that at the same time
that the new paradigm requires more collaboration within and
between the scientific and technological institutions and firms,
ICT facilitates it, by making feasible to rapidly communicate,
transmit data and design drawings, use common data banks, pool
patent data, etc. and by favouring rapid changes in design,
customization and flexibility. As a corollary, it is argued that
"ICT is a networking technology par excellence" (Freeman, 1991:
509). Therefore, as the potential for linking the information
systems of separate organizations has gradually been realized
11
Freeman (1991) points out "characteristic of periods of change in techno-economic paradigm is
the rise of new firms associated with competence in the new technologies and the strategic re-
positioning of many established firms as they try to cope with the rapid structural and
technical change affecting their markets and their very existence" (p. 509). See also Fusfeld &
Haklisch (1985); Chesnais (1988); Mowery (1988); Dalum, Johnson & Lundvall (1992); Freeman
(1993).
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(with the development and diffusion of computer networks),
parallel changes in the relationship between them have occurred.
This also reinforces the idea of interrelatedness between
technical and organizational innovations, which are mutually
determining and mutually dependent.
12
Finally, it is worth mentioning in this section that there
is still an open debate about the transient and permanent
aspects of the present networking phenomenon. On the one hand,
there are arguments indicating that the upsurge of networking
arrangements is a transitory adaptation to the diffusion of new
generic technologies.
These arguments find support in the evidence provided by the
MERIT data bank, which shows that, in the second part of the
80s, there has been a decline in the creation of new alliances
(Hagedoorn & Schakenraad, 1990). The hypothesis here is that as
firms become more familiar with the new technologies, they would
tend to internalize some of the networks which are now subject
of cooperative arrangements. According to this view, a wave of
industrial re-concentration - which, some claim, have already
started with the take-over of important small firms by larger
ones - would predominate during this and the next decades. In
addition, it is argued that some of the service networks are
already controlled by "electronic cartels".
13
On the other hand, there are those who argue that
networking will grow still more important and will become the
normal way of conducting product and process development. This
group includes mainly: (a) those analysts who see the recent
growth of collaborative arrangements as the result of the
evolutionary and changing aspects of firm organization and
behaviour, and who claim that now market and hierarchical
relationships are being superseded by these new forms of
organization (Chandler, 1990; Fransman, 1990; Okimoto, 1988; Imai
& Baba, 1989; Imai, 1989
14
, Best, 1990
15
) associated with
12
See also Webster (1993).
13
See, for instance, Bressand & Calypso (1989).
14
Imai (1989), for instance, argues that the evolution of Japanese industrial networks (since the
pre-war zaibatsu networks) has produced a new type of production system.
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(of various kinds) has been a normal feature of the industrial
and regional landscape for many years, its association to
industrial structure and behaviour. This view emphasizes the
interrelatedness of IT and networking (as indicated above) as
and complexity of its application (Freeman, 1991).
1.4. Role of the Government in Promoting R&D Networks
governments, acting as brokers in setting up various types of
R&D consortia and the promotion of R&D networking has played an
(Arnold & Guy, 1987; Fransman, 1990; Best, 1990; Freeman, 1991;
Lundval, 1992; Lastres, 1992; Dodgson, 1993; Larédo & Mustar,
In Japan much of the support for industrial R&D are geared
towards collaborative networking. By the late 1980s, four-fifths
involving a number of research associations and also many other
types of consortia, forums and joint research centres (Fransman,
16
15
new from the argues that "the new competition
(which
involve not only transformed principles and practices within enterprises, but extends to buyer-
. ... Without the extra-firm
infrastructure, enterprises seeking to become entrepreneurial firms will likely pursue a ’go it
(p. 21).
16
promoting inter-firm research collaboration. The small number of cases involving spontaneous
inter-firm research cooperation was stressed by Fransman (1990) when analysing collaboration in
in the Japanese computer and electronic devices
industry the author was able to discover only two examples in the post-war period, involving
cooperation; that is cooperation arranged privately between the cooperating firms without the
intervention of government agencies or a large procurer."
arrangements were found to be made between companies themselves, similar conclusions were
reached in the investigation about collaboration in Japan in the areas of advanced materials
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The apparent success of the Japanese collaborative
programmes led to the emphasis on this type of organization and
funding in other countries. As one consequence, this form of
organization and funding became important in terms of US and
European R&D programmes, particularly in the 1980s. By the end
of the decade about two-thirds of the European Community
Research Budget was disbursed in this form for the support of
the new generic technologies (Fusfeld & Haklisch, 1985; Mytelka
& Delapierre, 1987; Sharp, 1991; Larédo & Mustar, 1993).
Some other important measures have been adopted aiming to
facilitate networking and promote a closer relationship between
firms and between them and other institutions. Perhaps the most
significant example of this new approach is the pressure towards
the removal of regulatory obstacles to the formation of joint
ventures (such as the modification of the US antitrust
legislation, as in the case of the adoption of the US National
Research Act of 1984, which minimizes penalties resulting from
collective R&D) (Jorde & Teece, 1989; Mowery & Rosenberg, 1989;
Nelson, 1992).
Of course, as noted in section 1.3, cooperative programmes
alone are insufficient to transform the innovative performance
of firms. The development of sufficient expertise within these
firms is required for their utilization of the results of
externally performed research. Therefore, concomitantly with the
increase in networking, there has been a tendency in the largest
and most powerful firms to build up/reinforce their own in-house
basic research laboratories. As stressed above, these tendencies
are not mutually exclusive; on the contrary, they represent two
aspects of the same process.
However, as also stressed above, many of the economic and
technical advantages that the new techno-economic paradigm make
possible depend on extensive structural change and institutional
and social innovations (including the education and training
system, the industrial relations system, managerial and
corporate structures, the capital markets and financial systems,
ESTUDO DA OMPETITIVIDADE DA I BRASILEIRA
the pattern of investment, the legal and political framework,
and the international framework within which trade and
recognized that (a) there is usually more resistance to
institutional change than to technical change; and that (b) the
process if left to itself in a period of radical change (Freeman
& Perez, 1988; Achilladelis, 1991; Lundvall et al., 1992).
institutional sclerosis built into the
as the main reason for their inadequate response to the
challenges of the 1970s and 1980s. A number of studies have
and social changes and pointed to crucial interconnections
between industrial policies, policies for science and
& Soete, 1987; OECD, 1988; Johnson, 1992).
In a more detailed analysis, the six of the
US economy - identified by the MIT in its report "Made in
reasons for the failure of the US system to adapt to the
potential of the new techno-economic paradigm. The report
obstacles hampering US firms to capture the full economic
benefits from exploiting recent scientific advances. It also
to the mass production paradigm, with its rigid departmental
structures, craft skills, sequential and inflexible procedures
time horizons which limit US firms' strategies (including
particularly those related to R&D) and particularly stresses
management and unions, and among various types of firms. It is
then emphasized that, even though the need for change is
at the root of the productivity problem are notoriously hard to
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change and involve deep transformations. "Change if it is to
occur will have to take place on a broad front involving firms,
government, educational institutions and organized labor"
(Dertouzos et al., 1989:45).
Therefore, the role of government in stimulating the renewal
or breaking-up of those mature development blocks locked into
old technological trajectories, and in supporting the formation
of new ones has been recognized as particularly important. Of
course this role is not circumscribed to the promotion of
particular R&D projects. It has also to deal with all sort of
policies concerning education and training, diffusion,
adaptation and effective exploitation of new technologies,
incentives for investments in new equipment and various other
aspects related to the general economic and social environment.
Finally it has been stressed that (a) this match-maker role can
be assumed either by direct government intervention or by non-
governmental institutions; and that (b) there already exist
institutions more or less efficiently playing such a role.
Examples include: the German banks, the military complex in the
US, MITI in Japan (particularly in bringing together parties
that would not spontaneously collaborate) and the welfare-state
in Scandinavia (Freeman, 1989; Best, 1990; Dalum, Johnson &
Lundvall, 1992).
A number of studies have provided empirical and theoretical
justifications for a government strategy of networking
(DeBresson, 1989; Carlsson & Jacobsson, 1992; Dalum, Johnson &
Lundvall, 1992
17
). They suggest that if policy makers adopt a
system perspective and an evolutionary, instead of a static,
approach, they would recognize that S&T policy should not be
limited to R&D support of individual firms or projects. The
emphasis would then shift from the pursuit of individual
technologies to the early identification of important future
17
Dalum, Johnson and Lundvall (1992) argue that the need for and role of state intervention will
differ drastically between national systems. Above all, the primary role of shaping the overall
structure of production and the institutional set-up to promote self-organized learning and
thereby reduce the need for fine-tuning and detailed intervention into the economy is
emphasized.
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capacity of the economy. In addition, it is argued that,
compared to the support to individual projects in companies
compete in individual product areas), the evolutionary and
to policy making imply a more flexible and
efficient perspective.
policy for S&T should concentrate on: (a) rapidly diffusing new
technologies, so that the entire local industries procure and
competitors;
18
through the system, so that the general awareness of the
technological opportunity set is raised and the visions are
constituent parts of the scientific and technological system to
accelerate the learning process.
18
new technologies are the existence of (a) market and non-market connections between firms and
other economic actors (b) an efficient educational system; (c) an adequate information and
and of linking the different actors of the system; (d) centres of excellence capable of
integrating various technologies (Carlsson & Jacobsson, 1992; Stankiewicz, 1991).
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2. ASSESSMENT OF THE OPPORTUNITIES AND CHALLENGES FOR THIRD
WORLD COUNTRIES
Most data bases and investigations about networking and
R&D-motivated collaborative arrangements focus on activities
involving advanced countries' firms. The main argument to
justify this is that firms in LDCs have not participated with
the same intensity as their advanced countries' counterparts in
the new forms of collaboration. However, it is also true that
information about networking in LDCs is not frequently
available.
It is well known that there are enormous difficulties in
obtaining comparable data and information about different
countries, whichever their level of development. But it is
undeniable that the most mature economies are generally in
better conditions to provide better information, and that most
international data bases rely on information (often in English)
offered by those countries. That is one reason for the above
mentioned bias towards the US and Western European countries in
the international comparison about collaborative arrangements.
However, it is often argued that if LDCs were in fact
active partners in those collaborative arrangements, they would
have been participating intensely, not only in regional, but
also in international collaborative activities. Therefore, it is
claimed that even if information about regional collaboration
were not available, LDCs participation in international
collaborative arrangements would be accessible.
Both arguments would then be coherent with the fact that
even if information about collaborative arrangements in East
Asian countries (and even in Japan) is underestimated, the data
available indicates that there has been much more collaboration
there than in other industrializing area.
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in section 1.3), it should be expected that LDCs, in principle,
would not be involved in the new R&D-motivated collaborative
novel generic technologies. The relatively higher importance of
frontier scientific knowledge, the fact that firms and countries
commitment to R&D and to science and technology-related
externalities, and the high costs and risks involved, all
appealing partners in these new innovation networks.
These general conclusions are confirmed by the evidence
findings of the analyses concerning the involvement of LDCs
using this system are that: (a) only 4.3% of the strategic
technology alliances and 5% of the technology transfer
Figure 7); (b) the countries which participate more frequently
in international technology collaborative agreements in the
20
(c) with
East Asian Dragons in microelectronics miscellaneous
IT , the most significant sectors where arrangements involving
LDCs occur are those characterized as of low or medium
automotive; chemicals; and
beverages); (d) partnership with companies from developing
countries are to a large extent organized through joint
oriented (less than 13% of the total); (f) considering those
agreements for which technology-transfer is a major objective,
19
20
This evidence reinforces the argument made in sectio
indigenous innovative activities and the use of external sources of knowledge.
21
22
Discussing cooperative strategies in developing countries, Oman (1988) also found out that, in
using relatively stable or mature technologies. He makes a distinction between non-traditional
and traditional foreign direct investment - TFDI
includes joint ventures in which foreign equity does not exceed 50%, licensing agreements,
management contracts, franchising, turnkey and "product-in-hand" contracts, production-sharing
at least 50% locally owned).
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the share of LDCs has fallen from 5.3% in the first half of 80s
to 4.8% in the second half.
23
FIGURE 7
COMPARISON OF THE INTERNATIONAL DISTRIBUTION OF STRATEGIC
TECHNOLOGY ALLIANCES WITH INTER-FIRM TECHNOLOGY TRANSFER
AGREEMENTS
1980-1989
(All sectors - total number of cases = 4192)
developed econs LDCS
0
20
40
60
80
100
STA
TTA
%
STA = strategic technology alliances
TTA = technology transfer agreements
Source: MERIT - CATI data bank
These figures contrast greatly with those discussed in
chapter 1 about the participation of firms from the Triad in the
new cooperative strategies.
As noted before, most studies available do not refer
exclusively to LDCs and these new forms of collaboration and, as
with the case of the data provided by MERIT, they tend to focus
23
This confirms the pessimistic conclusions concerning LDCs drawn by the OECD TEP report.
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hand, the availability of samples for research and development
greatly depended on the Brazilian supply. On the other hand,
local scientists and researchers had, throughout the years,
developed significant research capability on those metals, which
conferred them participation in world level research.
24
Nevertheless, with the advent of the ceramic
superconductors, this picture has been much altered. Obviously,
it is still important to develop research into metallic low
temperature superconductors. However, it is undeniable that the
new high temperature ceramics are now at the central stage of
the research into superconductivity world-wide and that the
Brazilian appeal and comparative advantages have greatly
declined in this area (Lastres 1992).
Of course this is just one illustration, from which one
cannot draw conclusions upon. However, it is worth stressing
that in the area of materials technology as a whole, a similar
trend has been confirmed. With the recent so-called advanced
materials revolution, a pronounced shift in the intensity of
different materials usage has taken place during the last two
decades. The previous growth of consumption of major bulk
materials has been broken and nowadays there is a more rapid
increase in advanced materials consumption.
25
On the other hand,
it is worth stressing the increased sophistication of the new
processes and methods required by the R&D, production and
commercialization of the new synthetic materials (Lastres,
1992). The changes experienced in this sector have been so
complex that it is not by chance that, as the analysis above
indicates, advanced materials represent one of the main areas of
24
The characterization of the constituting elements of the metallic alloy (which is essential for
any research work dealing with such material), for instance, could even be seen as an naturally
exclusive area of specialization for Brazilian researchers.
25
From some materials producers' point of view, particularly developing countries, the advanced
materials revolution poses important challenges. Strategies based on producing for export ores
and basic metals are becoming more and more vulnerable. A significant number of developing
countries have had exports of minerals and basic metals as the core of their growth strategies.
In 1989, various countries among the LDCs had more than 50% of their exports originating in the
mineral sector: Zambia (92%), Zaire (85%), Guinea (83%), Bolivia (80%), Congo (76%), Chile
(57%), Peru (55%), Papua New Guinea (54%) and Togo (53%). Even bigger countries which have
implemented more sophisticated economic structures like Brazil and Australia have a significant
share of their export revenues (15% and 32% respectively) derived from mineral production
(Lastres, 1992).
ESTUDO DA OMPETITIVIDADE DA I BRASILEIRA
interest in the new wave of R&D-motivated collaborative ventures
practised centrally in advanced economies.
of diffusion of the new generic technologies on LDCs.
Specifically in terms of the central issue of this paper, a
forms of new collaborative arrangements involving less developed
countries, both in those mature and new areas of technologies,
constraints for those countries to participate in the so-called
innovation networks, is highly recommended.
and international collaboration involving Brazilian firms. These
cases could be reinforced and their experience used as examples
maximized (and its disadvantages minimized.
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3. CONCLUSIONS
This paper has argued that networking has always been
important, but it has also shown that (a) the importance of
networking arrangements has hugely increased in the last two
decades; (b) there are qualitative differences between the new
and previous forms of R&D collaboration.
The facts that (a) major innovations are based even more
strongly on scientific knowledge; (b) the increased speed with
which the new developments have taken place and (c) the key role
played by technological interrelatedness in the growth of new
industries and in the rejuvenation of others, all help
explaining why the access to a wide scientific and technological
base that was an advantage in earlier phases is now a necessity.
The main source of change underlying the new developments in
networking for innovation lies in the new forms of the rapid
development and diffusion of generic technologies associated
with the new techno-economic paradigm and especially information
technology (which provides both the need for collaboration and
the technical means for improving networks).
The paper has also noted that (a) many of the economic and
technical advantages that the new paradigm make possible depend
on extensive structural change and institutional and social
innovations; and that (b) the structural adaptation of the
economy will be a slow and painful process if left to itself in
a period of radical change. In addition, it has stressed that
the promotion of R&D networking has played an important role in
government R&D policy in the recent years.
There are few institutions from less developing countries
participating in the new forms of collaborative ventures, as
well as presenting reasonable conditions to do so. In contrast
with what is happening among firms belonging to the most
advanced countries, the articulation between North and South
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does not seem to have experienced a major change. The motives
and forms of articulation remain practically unaltered. The few
exceptions in this picture seems to be confined to the East
Asian NICs.
Among other main conclusions stressed in this paper
regarding the sharp contrast between advanced countries and LDCs
involvement in cooperative arrangements are:
- more than 95% of the strategic technology partnerships
recorded in the period 1980/89 involve advanced economies, while
only 4.3% involve firms from LDCs countries;
- while 72% of the strategic collaborative arrangements
involving advanced countries concentrate on those new generic
technologies, the most significant sectors where arrangements
involving LDCs occur are those characterized as of low or medium
technology content;
- while for the group of advanced countries joint R&D
agreements consist in the largest category of partnering, with a
share of more than 40%, partnerships with companies from
developing countries are to a large extent organized through
joint ventures;
- over 50% of the alliances between companies from the
developed economies are strongly oriented towards R&D, however
only less than 13% of the agreements involving LDCs are R&D-
oriented;
- considering those agreements for which technology-
transfer is a major objective, nearly 90% of the total
registered in the 1980s are made between the companies from the
advanced economies. While this share increased throughout the
decade, the share of LDCs fell from 5.3% in the first half of
80s to 4.8% in the second half.
This situation offers important reasons for reflection.
Developing countries are participating only marginally in the
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transfer.
As this paper has attempted to show, networking has become
more rapid access to the new technologies associated with the
information and communication paradigm. Firms pursuing a "go it
a competitive disadvantage in the international arena.
The paper has pointed out that it is not yet really
networking will remain and which are transitory; and how it will
affect industrial concentration, reinforcing monopolies and
networks throughout the 1990s.
However, as argued in chapter 1, (a) the new R&D-motivated
possibilities of major technological advances; and (b) there are
reasons to believe that networking will grow still more
product and process development. Therefore, returning to the
title of this paper, there is reasonable evidence that the
to most Third World countries seem very high, while the
opportunities seem very distant.
a deeper investigation about the real level of involvement of
LDCs in collaborative ventures, the constraints, as well as the
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4. POLICY IMPLICATIONS
The present threats faced by Third World countries point to
the urgent need to strengthen their indigenous science and
technology system as well as to improve their capability to
absorb external contributions. Of course, the reinforcement of
the scientific and technical competence of LDCs cannot be
expected to result from market forces alone (such as, for
instance, the activities and interests of multinational
companies).
The need for agencies playing the role of match-maker,
renovating or breaking up old relationships and establishing new
ones and the importance of the adoption of consistent policies -
aiming to build up scientific and technical infrastructure, to
form and train skilled personnel, to shape the overall structure
of production and to enlarge the absorptive capacity of the
economy - were particularly stressed in the paper.
Obviously, it would be a mistake to believe that technology
and industrial policies alone, however well-conceived and
executed, could free market economies from their present
difficulties. In the same way, the paper has stressed that,
however good other parts of the system are, the basis for the
development and accumulation of technologies, of course, lies in
the firm. Therefore, the emphasis to the importance of these
R&D-motivated collaborative arrangements, which lies in
enlarging the path for such accumulation, by enabling firms to
make their own technology accumulation and by facilitating
access to the sources of new technology.
Recent contributions to economic theory and policy making
have also suggested the adoption of an evolutionary and systems
approach to policy making and have provided empirical and
theoretical justifications for a government strategy of
networking. The main argument here is that the recent changes in
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technological competitiveness associated with the new TEP have
demanded a correspondent change in policy making.
According to this view, old policy frameworks appear
inadequate to deal with the new reality. Above all, it has been
stressed that S&T policy should not be limited to R&D support of
individual firms or projects. Instead, the main objective of
government policy for S&T should concentrate on: the early
identification of important future technological opportunities;
rapidly diffusing new technologies; enhancing the rate at which
information flows through the system; and on increasing the
connectivity of the different constituent parts of the S&T
system to accelerate the learning process.
Although it should be expected that the required policy
changes would implicitly rely on a long run commitment to
consistent scientific and technological development, there are
important measures to be taken in the short run. Among others,
the following points are suggested:
- government agencies should reconsider their mode of
intervention and pursue policies aiming at exploiting more
effectively the positive inter-institutional and inter-sectoral
linkages of innovation. In particular, government financing
institutions should shift their focus from predominantly
financing individual projects and firms, as they have done in
the past, to financing inter-firm technical collaboration and
joint R&D projects involving firms and research institutions;
26
- local cooperation could also be promoted by government
enterprises using their purchasing power, by stimulating
26
Of course international experiences vary greatly regarding each national environment and also
regarding: (a) type of institutions in charge with promoting innovation networks; (b)
instruments and mechanisms used to stimulate collaboration; (c) areas subject of collaborative
programmes. In addition, the level of difficulty in promoting innovation networks, as well as
the level of success of each particular initiative also vary greatly. As stressed in section
1.4, only in Japan, a number of consortia, forums and joint research centres have been
established. Each of those have distinct characteristics and modus operandi. For a in depth
analysis of a recent collaborative research programme involving the establishment of a joint
research facility in Japan see, for instance, Lastres (1992).
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scientific and technical collaboration among their suppliers and
other contractors;
27
- technical cooperation with suppliers and customers should
become priority policy areas not only to improve quality, but
also production, process engineering and R&D. In particular,
cooperation between potential users in traditional sectors (such
as steel, the agro-industrial complex, paper and pulp) and
developers/producers of new generic technologies should be
pursued.
27
Examples of initiatives of that kind promoted by companies such as Petrobrás, Telebrás and
Eletrobrás were given during the Workshop "Condicionantes Internacionais da Competitividade"
(29.04.93), when the first version of this paper was discussed.
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APPENDIX
TABLE A.1
ADVANTAGES AND DISADVANTAGES OF STRATEGIC ALLIANCES
------------------------------------------------------------------------------------------------------
-----
CATEGORY ADVANTAGES DISADVANTAGES
Research grant Creative
Avant gard
Public image
Unfocused
Low proprietorship
Transfer of technology
Removed from manufacture expertise
Requires large sums of money
R&D contract Focused
Less costly
Access to key development expertise
Transfer of technology
Dissociates development expertise from
manufacture expertise
Licensing Speedy entry & technology access
Reduced financial exposure
Royalties against development cost
Vulnerability to disloyalty
Equity investment Greater control while retaining the
active involvement of the founders
Proximity to key expertise
Formal linkage, not strategy, stipulates
property
Termination of involvement depends on
performance of stocks
Venture nurturing Management of risk as to market and
technological alternatives
Possibility of synergies between
different ventures
Danger of dissipation of management effort
Costly
Joint venture Cross fertilization of
complementary expertise
Management and legal overhead
Agreement on extensive commitment
Coordination of time horizons
Joint R&D project Cross fertilization of
complementary expertise
Minimization of risks and costs
Member companies try to maximize the inflow
and minimize their information outflow
Joint R&D centre Great mobilization of financial, human
and technical resources
Cross fertilization of
complementary expertise
Access to specialized equipment
Minimization of risks and costs
Gathering, centralizing and distributing
specialized information
Organization and management
Intellectual property rights
Transfer of technology
Member companies try to maximize the inflow
and minimize their information outflow
------------------------------------------------------------------------------------------------------
-----
Source: Adapted from Olleros & Macdonald (1988).
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TABLE A.2
FIFTEEN TOP COMPANIES WITH MOST STRATEGIC ALLIANCES IN THE 1980s
------------------------------------------------------------------------------------------------------
-----
COMPANIES COUNTRY SECTOR NO OF LINKS
Mitsubishi Group Japan conglomerates 335
Siemens A.G. Germany electronics 316
Dai-Ichi Kangyo (DKB) Group Japan conglomerates 291
Sumitomo Group Japan conglomerates 268
Philips Netherlands electronics 229
Mitsui Group Japan conglomerates 215
Daimler-Benz A.G. Germany automotive 182
IBM USA electronics 179
Thompson France electronics 165
Hitachi Ltd Japan conglomerates 160
Toshiba Corp. Japan electronics 157
Olivetti Spa Italy electronics 154
Fuyo Group Japan conglomerates 151
General Electric Co. USA electronics 151
AT&T USA electronics 139
------------------------------------------------------------------------------------------------------
------
Source: MERIT - CATI data bank
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IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
VON HIPPEL, E. (1988) The Sources of Innovation. Oxford, Oxford
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ESTUDO DA OMPETITIVIDADE DA I BRASILEIRA
LIST OF TABLES AND FIGURES
Table 1: Categories of Networks which are Relevant for
Table 2: Motives Found in the Literature for the New
Cooperative R&D Agreements ................... 20
Technology ................................... 23
Table A.1: Advantages and Disadvantages of Strategic
Table A.2: Fifteen Top Companies with Most Strategic
Alliances in the 1980s ....................... 46
Agreements - 1970-1989 ........................ 15
Figure 2: Technology Cooperation Agreements According
Figure 3: Modes of Technology Cooperation Agreements -
1980-1989 ..................................... 17
Economic Blocks - 1980-1989 ................... 18
Figure 5: Cooperation Intensity and Size of Firms -
Figure 6: Motives for Strategic Alliances - 1980/1989 ... 21
Figure 7: Comparison of the International Distribution
Firm Technology Transfer Agreements - 1980-1989 35
57
ESTUDO DA COMPETITIVIDADE DA INDÚSTRIA BRASILEIRA
IE/UNICAMP - IEI/UFRJ - FDC - FUNCEX
ABBREVIATIONS
CATI - Cooperative Agreements and Technology Indicators of
MERIT
EC - European Community
EFTA - European Free Trade Association
IBM - International Business Machinery (USA)
ICT - Information and Communication Technology
IT - Information Technology
LDCs - Less Developed Countries
MERIT - Maastricht Economic Research Institute on Innovation and
Technology, University of Limburg, The Netherlands
MITI - Ministry of International Trade and Industry (Japan)
NASA - National Aeronautics and Space Administration (USA)
NICs - Newly Industrialized Countries
NSI - National Systems of Innovation
OECD - Organization for Economic Cooperation and Development
R&D - Research and Development
S&T - Science and Technology
TEP - Techno-Economic Paradigm
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