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From capacity building to technological transformation
Julian Pineres R. McS IIA, SPRU, University of Sussex
PhD (c), CENTRIM, University of Brighton
11/25/10
Políticas de CTI e instrumentos de Transferencia Tecnológica hacia las PYMECURSO DE SISTEMAS DE INOVACCIÓN Y POLÍTICAS PÚBLICAS
2
OUTLINE
1. Technological opportunities: problems of availability and accessibility
2. Insights behind firms’ technological learning and transformation
3. A view of capacity building and technological transformation
4. Technological trajectories and regimens: one fit all?5. Concluding remarks
11/25/10
3
1. Technological opportunities: problems of availability and accessibility
11/25/10
Learning dynamics in organizations: The importance to understand how organizations learn in a given TS
Universities
Knowledge sources and labour supply
Public bodies for the promotion of
S&T + I
FocalFirms
Research result
Financial flows
Staff
Fina
ncial
flow
s
Consulting and sciencitifc staff
Financial flow
s
Technological suppliersResearch centres and
specialise service business (Technical and managerial)
Inve
stm
ents
on
spec
iali
se K
&R
Fin
anci
al f
low
s
1
4 2
Venture Capital
Large firms - MNs
Financial flows
ReturnsPlus - value
StaffFinancial flows
Research results
Resea
rch
resu
lts
Staff
Consu
lting
and
scien
tific
staff
Con
sult
ing
and
scie
ntif
ic s
taff
Source: Adapted from Orsenigo, 2004
Technological opportunities: knowledge production and diffusion in a given TS
Knowledge from who Knowledge diffusion mechanism Type of knowledge essentially produced
Governance mechanism
University based- knowledge Labour mobilityPublished papersLicensesSpecialised formal trainingDirect Interventions (consultancy?)Joint / contract R&DSpin -off
Non – market research based knowledge
Networks
Technological and Research centre based - knowledge
LicensesSpecialised non -formal trainingDirect Interventions (consultancy)Joint / contract R&DSpin -off
Non – market research based knowledge
Commercial applied knowledge
Market (through third parties)Networks
Consultancy groups based-knowledge
Specialised formal trainingContract assistant for technical and managerial implementationsBlue print and operating instructions
Commercial applied knowledge
Market
Technological suppliers based- knowledge
Embodied technology and designBlue print and operating instructions
Commercial applied knowledge
Market
Large firm based-knowledge Labour mobilityLicenses
Non market applied Knowledge
HierarchiesNetworks
Supplier costumer relation based - knowledge
Commercial interactionEmbodied technology and designBlue print and operating instructions
Non market applied knowledge
Hierarchies
Sources: the author
Industry and Innovation: market and technology
Ix Industry-specific knowledge: Routines and
managerial specific knowledge) T x
Mx
Learning schemes -Imitation-Spin off from large firms-Spin off from Universities-Labour mobilization dynamics
T x1
Mx 1
Learning schemes (Tx1 - Mx1)-Training-Technological acquisition-Labour mobilization dynamics-Technical implementation-E&D – R&D
Technical specific knowledge
Market specific knowledge
7
A learning and capabilities perspective on Innovation studies
11/25/10
Studies on innovation have emphasized that:
Learning and innovation differ substantially across industries and size of firms.
The process is as important as the outcome to promote innovation
External knowledge sourcing in general and collaboration in particular is essential to upgrade technological capabilities.
One of the fundamental difference among firms within industries with regards to innovativeness is the firm innovation behaviour
Searching attitude Perception of the technological alternatives and logical future developments Sources of information, knowledge and resources for technological change Expectations about returns of R&D Appropriability conditions
8
Reasons to understand technological accessibility
It is important to understand the learning dynamics when outside and inside knowledge interact
It is important to understand the mechanisms that firms use to promote technological change.
It is important to understand which capacities the organizations needs and have in a given technological context
Which mechanisms are better used for each stage of capacity building
Why?
Its important to allocate resources accurately
Its is important to increase the probabilities in which the effectiveness of technological transformation happen in organizations
10/12/10
9
2. Insights behind firms’ technological learning and transformation
11/25/10
10
Defining the complexity of learning in organizations: key issues and main arguments
Degree of knowledge explicitness– Codified and tacit knowledge (e.g. Nonaka, 1991; Zander and Kogut, 1995) – Knowledge ambiguity (e.g. Szulanski, 1996; Simonin, 1999)
Knowledge orientation process– Single and double loop learning (Argyris, C, 1974; 1976) – Exploitation and exploration (March, 1991)
Knowledge integration from external sources: inter-organizational learning– Governance and Trust (Mayer et al, 1995; Nooteboom et al, 1997; Roussau et al, 1998) – knowledge acquisition and knowledge accessing (e.g. Grant, 1996)– Methods for learning external knowledge, passive, active, interactive (Lane and
Lutbakin, 1998) – Learning from a partner, Learning about the partner, Learning with the partner, (inkpen
and Tsang, 2007; Inkpen and Currall, 2004)
10/12/10 The interrelated dynamics of intra-and inter-organizational learning processes in the context of co-funded R&D alliances
11
Defining the complexity of learning in organizations: key issues and main arguments
Level of learning and knowledge integration process: from the individual to the organization– Information distribution, interpretation and organizational memory (Hubert, 1991) – Preparation, acquisition, assimilation and improvement (Kim, 1997) – 41 framework: a.intuiting, interpreting, b. interpreting, integrating, c. integrating, institutionalizing
(Crossan et al, 1999)
Deliberative and non-deliberative learning– Learning by doing (e.g. Epple, Argote and Devadas, 1991)– Intent to learn (Chen et al, 2003; Tsang, 2002 )– learning strategy (Mintsberg, 1990; Inkpen and Tsang, 2007)– Wiliness and ability to learn (Lin et al, 2009)
Learning and degree of change: driver or enabler?– Capabilities transformation: retirement, refreshment, replication, redeployment, recombination and
renewal (Helfat and Peteraf , 2003) – Technical fitness (Teece, 2007) – Modification of routines (e.g.Feldman and Pentland, 2003; Feldman, 2000)
10/12/10 The interrelated dynamics of intra-and inter-organizational learning processes in the context of co-funded R&D alliances
12
3. A view of capacity building and technological transformation
11/25/10
11/25/10 13
Modes of knowledge sourcing
Knowledge orientation process
Type of component Knowledge
Features of knowledge based production: the framework foundations
Learning dynamics in organizations: The importance to understand how organizations learn
11/25/10 14
It refers to the efforts that organizations make to enable a learning process. It might be considered as learning process interface.
They are collective activities through which the organization systematically generates and modifies its operating routines in pursuit of improved effectiveness. (Zollo and Winter (2002).
A similar concept was defined by Nelson and Winter (1982), they identified the learning schemes as ‘search routines’.
Generic examples:
Learning schemes (construct of learning)
Specialized training
Engineered andscientific expertise
Equipment and license acquisition:
Technical and Managerial implementation process
R&D and E&D
1511/25/10
‘Learning schemes’ can also be defined as the underlying mechanisms for capacity building (Narayanan et al, 2009).
Learning dynamics in organizations: The importance to understand how organizations learn
R&D and E&D
Specialized training
Engineered and scientific expertise
Equipment and license acquisitionsTechnical and Managerial implementation process
Lear
ning
sch
emes
1
Interactive
Influence Modes of knowledge sourcing
2
Passive
Active
Governance Complementarities
3
Reflection
Assimilation
Integration
Learning-knowledge process 4
scop
e
KnowledgeResourcesCapabilitiesRoutines
Outcome
Effici
ency
Effica
cy
Inno
vativ
enes
s
Strategy StructureIndividual agency
Source: the author
Explicatory factors
5
Effectiveness
16
From learning to capacity building
11/25/10
Modes of knowledge sourcing
Passive Active Interactive
Knowledge orientatio
n proce
ss
Explorati
ve Inventive capacity (IC) Absorptive capacity (AC)
Exploitati
ve Formative capacity (FC) Transformative capacity (TC) Connective capacity (CC)
Source: the author adapted from Lichtenthaler and Lichtenthaler, 2009 and Lane and Lubatkin, 1998
Organizations over their lifetime develop different levels of capacities according to the effective use of a variety of “learning schemes”
Capacity it might be defined as the firm’s ability to effectively combine its internal knowledge with the external one to enhance and/or modify their operation routines. The external knowledge enter to the organization accordingly to its attitude to it.
Dimensions of the technological transformation: effectiveness and consistency
15
Learning scheme Expected Scope Expected Outcome Capacity level
•Engineering expertise•Internal practice Training
Enhancing the knowledge in practice of doing something (learning by doing)
Efficiency Formative Capacity
•External training•Hired engineered or professional expertise•Consultancy for planning the tech. orientation•Technical and managerial Implementation•Product design modifications•Equipment acquisition
Enhancing of capabilities. There are changes whether on the existing knowledge or resources
Efficacy(productivity – cost efficiency – value added)
Transformative capacity
•Collaborative Technical and managerial implementation• Collaborative product design modifications•The collaborative use of equipment and laboratories
Connective capacity
•internal scientific expertise• Highly specialized equipment • licenses acquisition •Hired scientific expertise•Contract research with Universities or research centres•E&D / R&D
Movement towards other capabilities and routines
Innovativeness Inventive capacity
•Collaborative E&D / R&D•Collaborative acquisition of highly specialized equipment• Collaborative acquisition of licences
Movement towards other capabilities and routines
Innovativeness Absorptive capacity
Source: the author
1811/25/10
Towards enhancing the core competence: Formative capacitiesTowards Market Opportunity driven: Transformative and connective capacityTowards strategic focus: inventive capacityTowards innovative oriented: absorptive capacity
Direction of the technological transformation
Strategic focus
Innovative oriented
Core competence
Market opportunity driven
Market diversity
Tech
nolo
gica
l he
tero
gene
ity
Rela
ted
Div
erge
nce
Related Divergence *Dashed lines represent possible trajectories
???
19
From learning to capacity building and technological transformation
11/25/10Source: the author
Learning schemes
Years
•Engineering expertise•Internal practice Training
•External training•Hired engineered or professional expertise•Consultancy for planning the tech. orientation•Technical and managerial Implementation•Equipment acquisitionIn
crea
se in
the
tech
nolo
gica
l lea
rnin
g eff
orts
Core competence
Market opportunity driven
Absorptive capacity
•internal scientific expertise• Highly specialized equipment • licenses acquisition •Hired scientific expertise•Contract research with Universities or research centres•E&D / R&D
Strategic focus
•Collaborative E&D / R&D•Collaborative acquisition of highly specialized equipment• Collaborative acquisition of licences
Innovative oriented
Realize capacity
Potential capacity
Realize capacity
Realize capacity
Realize capacity
Potential capacity
Potential capacity
Connective capacity•Collaborative Technical and managerial implementation•Collaborative product design modifications•The collaborative use of equipment and laboratories
Formative Capacity
Transformative capacity
Inventive capacity
T0To + i
T1
T1’
T1 + i
T2 T2 + i
T3 T3 + in
Explicatory features (multilevel framework)Individual related feature1. AgencyOrganization related feature2. Structure3. StrategyLearning scheme related feature4. Governance5. Complementarities
Dimensions of technological transformation1. Direction. Technological heterogeneity and market diversity2. Consistency of the technological learning trajectory3. The pace and rate of the transition process4. Effectiveness of the technological learning trajectory (knowledge assimilation
and transformation)
20
3. Technological trajectories and regimens: one fit all?
11/25/10
21
SYSTEMIC RATIONALITIES FROM A NON-SYSTEMIC APPROACH
MAKE SENSE OF THE STAGE OF THE SCIENCE AND TECHNOLOGICAL DEVELOPMENT OF AN SPECIFIC TECHNOLOGICAL AREA….. Technological opportunities Research institutes and Universities capacities
MAKE SENSE OF THE EXTENT OF THE DEGREE OF TURBULANCE OF THE INDUSTRY…. Different technological regimes pursue different paths to innovation Technological trajectory Firms’ capacities
MAKE SENSE OF THE INSTITUTIONAL CONDITIONS…. Mitigating failures of the innovation system
11/25/10
22
SYSTEMIC RATIONALITIES FROM A NON-SYSTEMIC APPROACH
COMPLEMENTARY CAPACITIES AND ROLE OF
The Universities….
The Research Centres…..
The public bodies…..
11/25/10
An understanding of the subject is as important as the understanding of the object for change……
Technological landscape: appropriability conditions opportunities, agents capacities and their interactions
11/25/10
Which are the conditions of the technological system when it is at its initial stage of development?
•Low level of technological opportunities
•Uncertain direction of the technological trajectory
•Overlapping functions (TS functions)
•Low levels of learning capacities
•High degree of turbulence (entrances and deaths)
•Low concentration / dispersion
•Price driven competence
2411/25/10
Concluding remarks: some reflections to discuss
Within the Colombian context many technological systems (TS) are in a initial stages of development. Therefore those TS lagged behind from the technological frontier. S&T and Innovation systems should be technological oriented? (industry?)
Under the previous circumstances actors are at different levels of capacities. This level of diversity implies some kind of flexibility from the policy perspective and understanding of different type of management practices.
Which kind of incentives should be undertaken under this conditions? which are the expected outcomes and scopes? Incentives for capacity building? (to whom? firms, universities, research centres?). E.g Collaborative programs may successfully leverage some firms technological transformation? (behaviour) in some industries but not that of others.
This perspective also suggests that firms within a giving industry are at different development stages having also different levels of capacities. Which capacities should be addressed from a public body? Who should support the initial stages of capacity building (e.g. Formative and transformative capacities).
From a policy perspective this approach suggests that innovation support programs should differentiate also the expected outcome and scope from agent to agent while there are certain level of standard capacities?. The contribution of a giving actor is different within the system, however from an strategic point of view a public body should take into account a systemic perspective.