Professional Documents
Culture Documents
International Journal of Technology Management & Sustainable Development | Volume Seven Number One
Articles
3–17 Assessing a rural innovation system: Low-input rice in Central China
J. David Reece International Journal of
19–38 Determinants of the adoption of technological innovations by logistics
39–58
service providers in China
Chieh-Yu Lin
Innovation and entrepreneurship in Brazilian universities
Mariza Almeida
Technology
59–70 Knowledge proximity and technological relatedness in offshore oil
and gas and offshore wind technology in the United Kingdom
Zahid A. Memon and Roshan S. Rashdi Management
& Sustainable
71–89 Partenariat public-privé en Tunisie: Les conditions de succès et d’échec
Amira Bouhamed and Jamil Chaabouni
Event Report
91–93 Global student innovators workshop: Opening the way for product
95–98
inspiration and sustainability
Caroline Cottrill and Tony Houghton
Book Reviews
Reviews by James Smith and Julius Mugwagwa
Development
ISSN 1474-2748
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Abstract Keywords
Following China’s ‘Green Revolution’, public policy now aims to maintain high Sustainable
yields while reducing the amounts of water and agro-chemicals used by agricul- agriculture
ture and so to lower costs and minimise environmental damage. This goal is research policy
pursued by supporting biotechnology-based research to develop new crops with biotechnology
the required characteristics, but the innovation systems framework suggests that hybrid rice
a range of non-research actors are also essential for these efforts to lead to practi- insect resistance
cal changes. This article therefore examines what the new policy direction means genetic modification
for university-based researchers, whether such research is set within an institu- public-private
tional context of the kind necessary for effective innovation, and whether the partnership
various actors involved shared the goals of the new policy. It reports that the university-industry
study area possesses all the elements needed for an effective innovation system; collaboration
but that the various actors in place lack the agreement on objectives that is
required for effective innovation.
Introduction
In the wake of China’s ‘Green Revolution’, the goals of public policy towards
agricultural research have changed. Yields high enough to feed China’s
large population have been achieved (IRRI 2005) but only through the
use of very high levels of agro-chemical inputs (FAO 2005). Research
policy has responded to the high environmental and other costs resulting
from this style of agriculture, and rather than pursuing further yield
increases, it now aims to find ways to maintain these yields while reducing
the amounts of water and agro-chemicals used by agriculture. These goals
are mainly being pursued by means of agricultural biotechnology, with
substantial investments in applied genomics and genetic modification
(Wang, Xue, and Li 2005; Huang, Wang et al. 2001).
Will this new policy lead to practical change? There is a general con-
sensus amongst observers of technical change that effective innovation
requires contributions from a range of diverse actors and institutions, not
just researchers and their organisations (Hall et al. 2001; Sumberg 2005;
Spielman 2006). In this case, action is needed from researchers (develop-
ing new technologies); from farmers (making use of those new technolo-
gies) and also from organisations able to provide the new technologies to
4 J. David Reece
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1977 been divided into a seed company and a regulator. About 160 com-
panies compete with each other to sell rice seed in this province, with the
regulator ensuring that competition is fair as well as disseminating techni-
cal information to farmers.
The transition to a more sustainable form of agriculture is likely to
require complementary actions from these different kinds of actor.
However, the evidence presented in this article suggests that the percep-
tions and priorities of these stakeholders are markedly different from those
underlying research policy, and therefore raises serious doubts as to
whether the researcher and other stakeholders jointly possess the coher-
ence of objectives required for an innovation system to function.
Hybrid rice
The development of hybrid rice enabled China’s farmers to increase yields
by up to 20 per cent and so helped to avert the risk of famine. Now,
hybrid seed is produced when a female parent is fertilised by pollen from a
plant of another line or variety, and so it is vital that the female parent
does not produce viable pollen (otherwise it will simply fertilise itself).
Such lines are rare, and because their male sterility is produced by abnor-
malities in the DNA of their cytoplasm they are known as cytoplasmic
male-sterile (CMS) lines. The hybrid rice that was first introduced to
Chinese agriculture relied on Wild Abortive (WA) CMS lines, but these pro-
duced grain of lower quality than conventional high-yielding varieties.
A team led by Professor Zhu Yingguo began research on hybrid rice in the
1970s (at the time when it was first cultivated on a large scale) and
discovered a new form of CMS in a wild rice line from the University’s
collection. This discovery made possible the production of a different kind
of rice hybrid, which was named Hong Lian (HL), the Chinese words for
Red Lotus.
While the HL rice hybrid was initially of purely academic interest (and
so an appropriate object of study for a university whose primary mission
was the conduct of basic research), in the 1980s the goals of research
policy changed, giving more emphasis to rice quality as well as the quan-
tity produced. And HL offered higher grain quality than the more widely-
used WA hybrid rice, meaning that farmers could charge higher prices for
their harvests. It also offered yields that were 5 per cent higher than those
possible using WA hybrid rice (interview with Professors Zhu and Yang).
The development of an HL hybrid that could be cultivated on a large scale
was therefore financed by the Ministry of Science and Technology (MoST),
and this was achieved in 1997 when Honglianyou 6 (Red Lotus number
6) was first produced. This line, which MoST described as resulting from a
cross between ‘Hainan Hongmang wild rice and regular hybrid rice’, then
underwent extensive testing before the certificate permitting its commer-
cial cultivation was awarded by the Hubei Provincial Agricultural Crop
Species Assessment Committee (MoST 2002).
Commercial cultivation began in 2001. Initially, the university directly
provided seeds to farmers, but did not have the capital and other resources
required to produce seeds on a large scale, and was not assisted by the gov-
ernment. Large-scale production only became possible after the university
formed a partnership with the private sector to market Red Lotus number 6.
This partnership began when the university’s College of Life Sciences
formed a college-business committee and held an open day to show off its
technologies to prospective business partners. An entrepreneur met
Professor Zhu at this open day, and they agreed to form a new company.
Ownership of the new company was divided between the university
and a group of anonymous investors: even Professor He (interview), who
at the time was the Dean of the College of Life Sciences, did not know the
source of this capital. The university received a 30 per cent stake in the
company in return for the Honglianyou 6 technology, since Chinese law
specifies that in such cases the value of the ‘technical investment’ is
limited to 30 per cent. The company is run by a professional management
team, and the university does not interfere in its development, although some
academics serve on its board and provide it with technical consultancy
services. With adequate capital and an excellent product, the company
developed rapidly, particularly because it was able to use the university’s
reputation to promote its product. In return, it provides additional funds
for the university (used to support further research, including the develop-
ment of new products for the company) as well as professional fees for the
individual academics who provide it with services.
Even as HL CMS rice was being used to develop and commercialise the
Red Lotus number 6 hybrid, fundamental research on it continued, now
aided by the molecular tools that have become available since the early
1990s. Professor Zhu and his colleagues established that HL male sterility
6 J. David Reece
TMSD-7_1-01-Reece.qxp 5/16/08 7:14 PM Page 7
resulted from the presence of a specific sequence in the mitochondrial DNA, 1 No record was kept
a sequence unique to HL-sterile cytoplasm that they described as a ‘new of the precise identity
of the o. officinalis
chimeric gene’ (p744) and named orfH79 (Yi et al. 2002). Knowledge of this accession used, nor
sequence enabled them to develop a range of molecular marker systems (first of where it had been
collected.
RAPD, then SSR, now SNP) to predict the presence of HL male sterility. They
then used these markers to screen germplasm collections to identify new
materials, with other desirable traits, that also possessed HL male sterility
and so could be used to breed a new generation of hybrids. The traits that
were of greatest interest included stable disease resistance, particularly to
Blast. At the same time, increased yield continued to be a priority and so
efforts were made to find suitable germplasm exhibiting traits that would
make this possible: these included strong stems and root systems (to reduce
lodging) as well as enhanced capacity for photosynthesis.
New breeding materials identified in this way, together with new mole-
cular tools for breeding (molecular markers), were used to develop the
next generation of their product, Red Lotus number 8. The traits that were
chosen for this new product reflect the priorities of Professor Zhu and his
colleagues, priorities chosen in response to signals from MoST and MoA
about the changing needs of Chinese agriculture. This hybrid thus com-
bines high yield with improved quality for the consumer. It reaches matu-
rity about seven days earlier than other rice hybrids, a trait resulting from
gamma-ray induced mutation, and it displays some resistance to Blast,
although no efforts were made to give it resistance to the Brown Plant-
Hopper, an omission that is surprising in view of the university’s expertise
in managing resistance to this pest (see below).
8 J. David Reece
TMSD-7_1-01-Reece.qxp 5/16/08 7:14 PM Page 9
and mappings to identify the genes that might be interesting and we also
have transformation technology and genes for transformation. So that is a
middle range, we have three people, one person working on germplasm,
another on molecular markers, a third on transformation technology’.
HAU thus searches seed collections for desirable genes and does so
mainly by examining their DNA rather than by studying complete plants.
This approach has become feasible over the last decade and makes possible
the discovery of ‘recessive’ genes. It is forcefully advocated by (Tanksley and
McCouch 1997) Tanksley and McCouch (1997: 1063), who assert that
‘there is tremendous genetic potential locked up in seed banks that can be
released only by shifting the paradigm from searching for phenotypes to
searching for superior genes with the aid of molecular linkage maps’.
‘So there we have breeders. We have a breeder who is breeding, actu-
ally field breeding. He has a background in conventional breeding, comes
to grasp the technology together with the whole team’. The breeder had
already developed high-yielding hybrids that had been commercialised by
private-sector seed companies. He described projects that aimed to improve
rice quality and to introgress genes for resistance to the diseases blast, rust
and bacterial leaf blight (BLB) from wild relatives of rice.
A series of such projects involved work with the parents of Shanyou 63,
an elite hybrid prized for its high yield and broad adaptability. The team
used MAS to introduce a pair of genes for BLB resistance into Minghui 63,
its restorer line (Chen et al. 2000). Working jointly with IRRI over the same
period, they used genetic modification to introduce a Chinese-created BT
gene into Minghui 63 to improve its resistance to insect pests. They then
verified that both the transformed Minghui 63 and Shanyou 63 derived
from it, showed high resistance to yellow stem borer and to leaf-folder
without reduced yield (Tu et al. 2000). These two new forms of Minghui 63
were then crossed, and the progeny examined at both a whole-plant and at
a molecular level to select derived lines that combined resistance to insects
and to BLB (Jiang et al. 2004). Meanwhile, work proceeded on Zhenshan 97,
the other parent of Shanyou 63. An allele from Minghui 63 changed its
amylose content and so improved its cooking and eating quality. MAS was
then used to introgress two genes for blast resistance.
Resistance to the brown plant-hopper (the most serious insect pest of
rice) was then incorporated into both parents, starting with germplasm that
had previously been discovered at Wuhan University (see above). Wuhan
University supplied introgression lines, together with a fine genetic map
showing the relevant loci, and so HAU was able to make use of MAS. HAU is
now conducting a series of back-crosses to develop stable parental lines and
so produce hybrid rice that incorporates this trait. This work is time con-
suming and also requires considerable skills in breeding and selection, since
durable resistance must be combined with desirable agronomic characteris-
tics, and even when the work has been completed, it will be necessary to test
the new hybrid’s field performance and obtain a certificate of good quality
from the provincial seed bureau before commercial production can begin.
10 J. David Reece
TMSD-7_1-01-Reece.qxp 5/16/08 7:14 PM Page 11
2 For wheat in The research agenda at HAU, with its ecological focus, thus reflects the
northern China, for concerns of the government rather than those of other stakeholders. There
example, it would be
optimal to apply is little or no evidence that these concerns are shared by farmers or the
20 kg/ha of seed industry. The widespread over-use of agro-chemicals suggests that
nitrogenous fertiliser
at 160 days, but there is very little farmers demand for new crop varieties that would
actual application require lower levels of inputs than at present.2 The university’s germplasm
rates are 150 kg/ha
(Chen et al. 2006). specialist also doubted whether there would be much farmer interest in
And for rice, Peng the new varieties that he was working to develop: ‘but for the farmer,
et al (2006)
conducted
maybe they have a low thinking, so they just want to have a high yield,
experiments in and maybe have a good resistance to the disease . . . is OK’.
farmers’ fields in four Similarly, the main interest of the seed industry seemed to be in traits
major rice-growing
provinces in China such as high yield, high rates of photosynthesis and rapid growth to matu-
and found that while rity. A leading seed company (formerly part of the provincial extension
farmers were applying
180-240 kg/ha of service) was paying substantial sums of money for the development of new
nitrogenous fertiliser, rice hybrids with characteristics such as these.3 The company’s general
maximum yield was
achieved mostly at the manager, who is also a director of the China Seed Trade Association and
significantly lower so expresses views that are likely to be widely held within the industry,
level of 60-120 kg/ha.
And fertiliser (over)
thus stated in interview that all farmers needed high-yielding hybrid rice,
use varies between even those with poor land. ‘You’re a farmer, . . . you have to make your soil
regions, with more nutritious for plants, right, so the farmer has to improve the quality
inadequate amounts
applied to 40 per cent of the soil to be valuable . . . to be farmed. If you just depend on the natural
of agricultural land soil without any improvements, of course, the yield will be very, very low’.
and excessive
amounts applied to He is critical of the advocates of low-input agriculture: ‘ecosystem preser-
the remaining 60 per vation is a kind of fashionable term [but] that can only work in America or
cent (Zhang 2004).
European countries. They have less population [pressure]’.
3 Interestingly, these
payments were being
Although their priorities differ from those of HAU, both farmers and the
made to individual seed industry appear to be very interested in the BT rice (genetically modified)
breeders working for that the former has developed. This rice has passed a range of laboratory and
a number of
universities (including field trials, but permission to commercialise it has not yet been granted.4 Late
University B), and in 2004, however, Newsweek magazine claimed that a ‘local’ company had
amounted to annual
amounts of got hold of some of this seed and begun selling it, so that at that time it
US$20,000 to each was being grown on more than 100 ha (Simons 2004).5 This disclosure
breeder during the
development phase, in prompted an investigation by the campaigning group Greenpeace, which
addition to royalties later claimed that 950–1,200 tons of genetically modified rice entered the
on sales of successful
products.
food chain in 2004 and that ‘up to’ 29 tons of genetically modified rice seed
would be sold in Hubei in 2005 (Greenpeace 2006). While these estimates
4 Field trials of
genetically modified may well have been inflated for political effect, they do serve to indicate that a
organisms must be substantial market would exist for this seed if its commercialisation were per-
licensed by the
Biosafety Office in the mitted. And it did seem that commercialisation was about to be permitted.
Ministry of Persistent reports indicated that the December 2004 meeting of the Biosafety
Agriculture.
Decisions to permit
Committee would recommend or had already recommended granting permis-
commercialisation sion (Lei 2004; Robertson 2005), although the proceedings of that meeting
should be taken by an have not officially been disclosed (Keeley 2006). These developments created
Inter-Ministerial
Committee with a climate captured by Chen Zhang Liang, president of China Agricultural
representatives from University, who reportedly promised the private sector high returns on invest-
the Ministry of
Agriculture, the State ment in GM rice (China Business Weekly 2005).
12 J. David Reece
TMSD-7_1-01-Reece.qxp 5/16/08 7:14 PM Page 13
The decision to permit the commercial cultivation of genetically engi- Development and
neered rice can only be taken at the very highest political level (Keeley Reform Commission,
the Ministry of
2006). However, demand for the other environmentally-friendly products Science and
of HAU’s research could be created by policy action at a local level, since Technology, the
Ministry of
the Provincial Seed Bureau is well placed to change the priorities of farmers Commerce, the
and of seed companies. This agency is responsible for regulating the seed Ministry of Health,
the General
market and disseminating practical information to farmers. Rice seed may Administration of
only be offered for sale once the Bureau has tested it and issued a certifi- Quality Supervision,
Inspection and
cate that it is of satisfactory quality. Furthermore, the Bureau advises Quarantine, and the
farmers which (certified) seeds are ‘best’, and how they should be grown. State Environmental
However, the criteria that it uses when deciding whether to grant a certifi- Protection
Administration
cate do not relate to the ecological impact of cultivating the variety in (Keeley 2006).
question but rather concern the quality of the seed (moisture content; rate 5 The article named
of germination; accuracy of labelling) and the yields that it provides for the Professor Zhang as
the source of this
farmer. Similar criteria inform the selection of the ‘best’ varieties for pro- information, although
motion to farmers throughout the province, while little or no considera- he has made it clear
that he was
tion is given to the environmental concerns of the central government. misquoted.
Faced with this apparent lack of interest in practical application of
6 The first of these
its research results, as well as the expectation that a large and profitable failed partnerships
market for its genetically engineered rice was about to open, HAU responded had been with a
company selling
by forming its own seed company at the end of 2004. This initiative was ‘health’ drinks, the
informed by the vision of a seed company unlike any then existing in second with a real
estate company.
China, of a Chinese Monsanto. Implementing such a grandiose vision
required significant finance, and so HAU turned to the private sector for
the necessary capital. Since China’s seed companies (like seed companies
in most of the world) are generally poorly capitalised, the university had to
look for partners operating in other sectors and so with limited under-
standing of agriculture. The relationships that resulted proved problem-
atic, mainly as a result of the gulf between the two sides of the partnership.
In the first year of the company’s operation, two successive partnerships
collapsed and a third was formed.6
Describing these relationships, which Professor Zhang termed ‘a mar-
riage between science and capital’, he explained that ‘we have different
ways, different views of development and different interests’. The commer-
cial partners did not share the university’s knowledge or its vision for the
future of the enterprise. As a result of this difference, ‘it’s very difficult to
reach a common understanding, although we talk and then it seems we
have common understanding, but in reality, when it comes into practice, it
seems we don’t have common understanding’.
In particular, each of the commercial partners wanted an unrealisti-
cally quick return on its investment: ‘they don’t have the patience to wait
several years to get the seed; they want the money before they put down
any money’. Financial returns were far less important to the university,
since its work was supported by the government. This meant that its staff
would not lose anything if the seed company failed to make a profit,
although ‘if the capital makes money, then they may get some money for
Conclusions
This article has confirmed that the universities studied were undertaking
research that was consistent with China’s new policy for agricultural
innovation, although the goals of this policy were perhaps at variance with
the ‘mission’ of one of the universities, which was defined in terms of a
commitment to fundamental research. More broadly, it examined other
actors that play a part in the process of agricultural innovation and so
assessed whether the province studied possesses an innovation system
capable of implementing the new policy. Two points are immediately
apparent: the province studied possesses all the elements needed for an
effective innovation system; but the various actors in place lack the agree-
ment on objectives that is required for effective innovation.
With regard to the first point, we note the presence of publicly-funded
universities performing applicable research and enjoying commercial
relationships with seed companies and venture capitalists. An effective regu-
latory regime is in place, with defined standards for seed quality and charac-
teristics being rigorously enforced. However, the division of labour that is
implicit in the differing missions of these actors is somewhat puzzling. As we
saw, Wuhan University is supposed to undertake ‘basic’ research; HAU is
supposed to apply the results of such research and develop new crops, which
can then be mass-produced and marketed by the seed industry. However, the
example of BPH resistance showed that the skills required to undertake
‘basic’ research (in this case the ability to maintain a viable insect popula-
tion) were also essential for breeding crops with this trait, so that such plant-
breeding might have been performed more effectively at Wuhan University
than in other institutes. Equally, the ‘applied’ work on a new form of hybrid
rice led directly to fundamental research on the molecular basis of HL male
sterility, which in turn provided tools to facilitate the development of new
rice hybrids. Turning to the work of HAU, the projects discussed involve
genetic modification and so commercialisation of the crops that they are
developing is not at present permitted. In the meantime, their main impact
has been the large number of publications in high impact factor journals
that they have produced, a measure that is usually more appropriate for
assessing ‘basic’ scientific research. These experiences suggest that ‘basic’
and ‘applied’ research are so closely related that attempts to separate them
at an institutional level are unlikely to prove helpful.
The division between research (in universities) and industry could also
prove problematic, since it limits the ability of industry to recognise new
technological opportunities to respond to market demands. This weakness
was a feature of each of the three models of university-industry collabora-
tion that were encountered. Wuhan University had first developed and
commercialised a new product, and then formed a company around it.
14 J. David Reece
TMSD-7_1-01-Reece.qxp 5/16/08 7:14 PM Page 15
Acknowledgements
This research was part of the work of the ESRC Genomics Network. I would like to
thank my Chinese hosts for their gracious hospitality and my informants and inter-
viewees for giving away their time so generously. I am especially grateful to Professor
Zhang Qifa for his considered and thought-provoking comments on an earlier
version of this article and to Gao Lili for help and support throughout the research
process. All responsibility for the content of this article must rest with the author.
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Suggested citation
Reece, D. (2008), ‘Assessing a rural innovation system: Low-input rice in Central
China’, International Journal of Technology Management and Sustainable Development
7: 1, pp. 3–17, doi: 10.1386/ijtm.7.1.3/1
Contributor details
Dr. David Reece is a Trustee of Devon’s Development Education Centre. Contact:
The Global Centre, 17 St David’s Hill, Exeter, Devon, EX4 3RG, UK.
E-mail: faithful_frodo@yahoo.co.uk
Abstract Keywords
The growth of China’s economy hinges to a large extent on the ability of the logis- technological
tics industry to operate more efficiently and effectively in the global supply chain innovation
system. China’s logistics service providers should pay attention to adopt more technology adoption
efficient logistics technologies to provide better services for their customers. This supply chain
article studies the factors influencing the adoption of technological innovations by performance
logistics service providers in China and investigates the influences of adopting logistics service
new technologies on supply chain performance. A questionnaire survey is con- providers
ducted to study the adoption of technological innovations by China’s logistics China
industry. Technological innovations are classified into data acquisition technolo-
gies, information technologies, warehousing technologies, and transportation
technologies. The influencing factors include technological, organizational, and
environmental characteristics. We find that the adoption of technological innova-
tions is significantly influenced by technological, organizational and environmen-
tal characteristics and that adopting new technologies will increase supply chain
performance for the logistics industry in China.
Introduction
More than two decades of economic reform and transition to market
economy has brought China unprecedented economic growth. With the
fast growth in China’s economy and China’s accession to World Trade
Organization (WTO), the demand for logistics services has been growing
significantly in China, and the logistics industry in China is set to take off.
The total logistics value has grown by 29.9 per cent year-on-year (China
Distribution and Trading, 2005). New modern facilities such as logistics
parks, distribution centers and warehouses are being built at a record
setting pace. Many logistics companies have invested extensively in infor-
mation and logistics technologies. As China continues to develop into a
global manufacturing factory, its logistics industry will play an important
role in the global supply chain. One key to effective supply chain is to make
the logistics function more efficiently (Bowersox, Closs and Cooper, 2002).
The globalization of supply chain has prompted many firms to develop
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Information technologies
Information technologies are the devices or infrastructures to make com-
munications of business information among several organizations more
efficiently. Many logistics managers see the information technology as a
major source of improved productivity and competitiveness. Information
technologies may increase organizational productivity, flexibility and com-
petitiveness as well as stimulate the development of inter-organizational
networks. The information technologies that are commonly used in logis-
tics industry include electronic data interchange (EDI), the Internet, value
added network (VAN), point of sales (POS), electronic ordering system
(EOS), logistics information system, computer telephony integration and
enterprise information portals. Electronic data interchange is identified as
inter-company computer-to-computer exchange of business documents in
standard formats. Recently, extensible markup language (XML) provides a
more efficient way for data exchange.
Warehousing technologies
A warehouse is typically viewed as a place to store inventory. However, in
many logistical systems, the role of the warehouse is more properly viewed
as a switching facility as contrasted to a storage facility. Warehousing
plays an important role in a logistical system. The design of a warehouse
management system should address physical facility characteristics and
product movement. The warehousing technologies that are commonly
used in logistics industry include automated storage and retrieval system
(AS/RS), automatic sorting system, computer-aided picking system and
thermostat warehouse. The automated storage and retrieval system is a
Transportation technologies
Transportation is one of the most visible elements of logistics operations.
Transportation functionality provides the major function of product move-
ment. The major objective of a transportation management system is to
move product from an origin location to a prescribed destination while
minimizing costs and damage expenses. The movement, at the same time,
must take place in a manner that meets customer demands regarding
delivery performance and shipment information availability. The trans-
portation technologies that are commonly used in logistics industry
include transportation information system, global positioning system
(GPS), geographical information system (GIS), radio-frequency communi-
cation system and transportation data recorder. The transportation infor-
mation system and geographical information system can help logistics
managers planning, managing and controlling transportation issues. The
global positioning system and radio-frequency communication system can
track and guide drivers during the transportation of products.
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order fill rates, order cycle time, delivery time, customer requirements met,
number of faults and flexibility.
Determinants of innovation
There is a large body of research done on the determinants of innovation
(Kimberly and Evanisko, 1981; Amabile, 1988; Tornatzky and Fleischer,
1990; Damanpour, 1991; Wolfe, 1994; Tidd et al, 1997). Kimberly and
Evanisko (1981) suggest that the individual factor, organizational factor
and contextual factor would influence the adoption by hospitals of techno-
logical innovation. Variables affecting technology adoption are classified
into individual, task-related, innovation-related, organizational and envi-
ronmental characteristics. Tornatzky and Fleischer (1990) suggest that
the adoption and implementation of technological innovation would be
affected by the technological context, organizational context and the
external environmental context. Patterson, Grimm and Corsi (2003) indi-
cate that technology adoption is affected by organizational size, structure
and performance, supply chain strategy, transaction climate, supply chain
member pressure and environmental uncertainty. Scupola (2003) use
technological, organizational and environmental characteristics to explain
the adoption of Internet commerce. This article will investigate the influ-
ence of technological, organizational and environmental factors on the
adoption of technological innovations by China’s logistics service
providers. Although the individual factor might affect adopting technolog-
ical innovations by logistics service providers, this article will not investi-
gate each individual’s influence on the company’s innovation.
Technological characteristics
Technologies can be viewed as one kind of knowledge (Grant, 1996). Tsai
and Ghoshal (1998) found that an organization will have higher innova-
tive capability when knowledge can be distributed easily within the orga-
nization. The transferability of knowledge or technology will influence
technological innovation; technological innovation can be advanced when
the technology has higher transferability. The transferability of technology
is determined by the explicitness of technology. It is more easy to transfer
or share technological knowledge with higher explicitness (Grant, 1996;
Teece, 1996). In addition to the explicitness of the technology, how the
technology fits with the technologies that a firm already possesses will also
be another important technological characteristic (Tornatzky and
Fleischer, 1990; Chau and Tam, 1997). Teece (1996) found that techno-
logical innovation usually follows a technological paradigm. The cumula-
tive nature of technologies will influence the innovation in technologies.
Grant (1996) and Simonin (1999) also concluded that an organization
with rich experiences in the application or adoption of related technologies
will have higher ability in technological innovation. Therefore, we would
expect that explicitness and accumulation of logistics technology might
influence technological innovation.
Hypothesis H2a: The more explicit the technology, the more the likelihood
that China’s logistics service providers will adopt innovation in logistics technol-
ogy.
Hypothesis H2b: The more the accumulation of technology, the more likely
that China’s logistics service providers will adopt innovation in logistics technol-
ogy.
Organizational characteristics
Much of the research about organizational behavior has argued that
certain features of organizations themselves, including structures, cli-
mates, and cultures of organizations, will influence the adoption of inno-
vation (Kimberly and Evanisko, 1981; Tornatzky and Fleischer, 1990;
Russell and Hoag, 2004). Amabile (1988) finds that management skills,
organizational encouragement for innovation and support of innovation
resources would help the improvement of organizational innovation.
Tornatzky and Fleischer (1990) suggest that informal linkages and com-
munication among employees, the quality of human resources, leadership
behavior of top management and the amount of internal slack resources
would significantly influence the adoption of technological innovations. A
firm with higher quality of human resources, such as better education or
training, will have higher ability in technological innovation. Therefore,
we would expect that organizational encouragement and quality of
human resources might influence technological innovation.
Hypothesis H3a: The more the organizational encouragement, the more the
likelihood that China’s logistics service providers will adopt innovation in logis-
tics technology.
Hypothesis H3b: The higher the quality of human resources, the more the
likelihood that China’s logistics service providers will adopt innovation in logis-
tics technology.
Environmental characteristics
In addition to technological and organizational characteristics, the exter-
nal environment in which a firm conducts its business will also influence
the innovative capability (King and Anderson, 1995). Miles and Snow
(1978) found that organizations would pay more attention on innovation
when they face environments that are vulnerable to instability and chaos.
Kimberly and Evanisko (1981) concluded that environmental complexity
and uncertainty would influence organizational innovation in the case of
hospitals. Damanpour (1991) found that environments with high uncer-
tainties would have a positive influence on the relationship between orga-
nizational structures and organizational innovation. Zhu and Weyant
(2003) suggest that demand uncertainty tends to increase a firm’s incen-
tive to adopt new technologies. Provision of government support is
another important environmental aspect that bears on technological
innovation. The government can both encourage and discourage the
adoption of innovation in the administration of regulatory mechanisms
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Methodology
Research framework
Based on the above discussions, the research framework is organised
around the four main hypotheses, as shown in Figure 1. This research
framework will be verified from a questionnaire survey in China’s logistics
industry. The questionnaire contains six parts: company’s information,
technological context, organizational context, environmental context, the
adoption of technological innovations and supply chain performance.
There are 61 items in the questionnaire. Besides, the company’s informa-
tion, the other items were measured using the five-point Likert scales
anchored by ‘strongly disagree’ and ‘strongly agree’. The willingness to
innovate or acquire new technologies and the utilization of innovative tech-
nologies are used as measurements of adoption of technological innovation.
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Factor loadings
Items Factor 1 Factor 2
Explicitness of technology (Factor 1)
It is easy to find books or other resources about
the technology. 0.818 0.125
It is easy to understand the technology. 0.783 0.142
It is easy to learn the application of the
technology from the books. 0.762 0.163
It does not need too many experiences to learn
the technology. 0.714 0.193
Accumulation of technology (Factor 2)
Our company has implemented many related
technologies. 0.109 0.821
It is necessary to have experiences in using
related technologies. 0.141 0.774
It is easy to integrate that technology with
company’s current logistics system. 0.152 0.712
Eigen value 4.175 2.819
Variance explained 36.133 % 32.496 %
Accumulated variance explained 36.133 % 68.629 %
Table 6 shows the correlations among these factors and the innovation
in logistics technologies. The correlation matrix gives us initial evidences
of our hypotheses: technological, organizational and environmental are
associated positively with the adoption of technological innovations, and
the supply chain performance is positively associated with the adoption of
technological innovations. Moreover, the technological, organizational
and environmental factors are not highly correlated.
Factor loadings
Items Factor 1 Factor 2
Organizational encouragement (Factor 1)
Company’s leaders encourage employees to
learn new information. 0.832 0.131
Our company provides supports for employees
to learn new information. 0.816 0.099
Company’s leaders can help employees when
they face new problems. 0.776 0.103
Our Company provides rewards for innovative
employees. 0.735 0.129
Quality of human resources (Factor 2)
Employees possess abilities to use technologies to
solve problems. 0.100 0.813
Employees can learn new technologies easily. 0.134 0.788
Employees usually provide new ideas for
companies. 0.115 0.746
Employees can share knowledge with each
others. 0.197 0.701
Eigen value 4.231 2.987
Variance explained 36.309 % 32.715 %
Accumulated variance explained 36.309 % 69.024 %
Factor loadings
Items Factor 1 Factor 2
Governmental support (Factor 1)
Government helps training manpower with
logistics skills. 0.838 0.091
Government encourages companies to propose
projects of logistics technologies. 0.802 0.083
Government relieves the regulation for the
logistics industry. 0.776 0.071
Government provides financial support for the
development of logistics technologies. 0.711 0.096
Environmental uncertainty (Factor 2)
Competitors usually provide new logistics
services. 0.113 0.819
Customers’ requirements are diversified. 0.103 0.794
The advance in new logistics technologies
is quickly. 0.102 0.768
Customers’ requirements vary quickly. 0.093 0.708
Eigen value 4.204 2.901
Variance explained 36.243 % 32.579 %
Accumulated variance explained 36.243 % 68.822 %
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history, number of employee and capital size as control variables in the regres-
sion analysis. Table 8 shows the results of regression analysis.
Table 8 shows that the capital size of logistics service providers may have
positive influences on the adoption of innovative logistics technologies. This
implies that logistics service providers with a larger scale may have more
willingness to adopt innovative logistics technologies. However, the positive
effects are not significant. It can also be found that the technological, orga-
nizational and environmental contexts have positive influences on the adop-
tion of technological innovations by China logistics service providers.
Explicitness of technology, accumulation of technology, organizational
encouragement, quality of human resources and governmental support all
have significant influences on the adoption of technological innovations.
This means that the hypotheses H2a, H2b, H3a, H3b and H4b are not rejected,
but the hypothesis H4a is rejected. Therefore, we can conclude that for
China’s logistics service providers, higher explicitness of technology can help
the transfer of technological knowledge within the organization and, there-
fore, raise the willingness to adopt technological innovations. Logistics com-
panies with rich experiences in the application or adoption of related logistics
technologies will have higher willingness to adopt technological innovations.
Organizational encouragement can give employees motivation and support
to adopt technological innovation. High quality of human resources means
that employees are capable of innovation in technologies. Governmental
support can encourage and guide logistics service providers to innovate in-
logistics technologies. The government can draw up public policies to
encourage private sector performance improvements through trade and
inter-modal policies, infrastructure investment and development, creative
financing arrangements, tax incentives, safety regulation, public/private
partnerships and special programs and projects (Morash and Lynch, 2002).
Although environmental uncertainty does not have significant influ-
ence on the adoption of technological innovations, the positive effect
reveals that China’s logistics service providers still want to adopt innova-
tive logistics technologies to overcome the challenges of environmental
uncertainties. Moreover, because most logistics companies in China are
small and medium in size and have their strength in providing flexible ser-
vices to customers’ varying requirements, environmental uncertainty is to
some extent common to them. This appears to be the reason why environ-
mental uncertainty does not feature as a significant influence on the
adoption of technological innovations by China’s logistics industry.
Conclusions
With the Chinese government actively engaged in formulating policies to
promote China’s participation in the global economy, China has become
an important investment destination for a growing number of multina-
tional corporations which are located in China to take advantage of low
labour costs and the potentially huge market that China offers. However,
many foreign investors have faced several logistics problems with respect
to the transportation of materials or products and the flow of information.
The logistics cost in China is still high compared to many developed coun-
tries. Hence the logistics bottleneck on the growth of inward investment in
China, and hence, the Government’s concern to promote the development
of the logistics industry.
Many logistics companies in China have started adopting innovative
logistics technologies with the view to enhancing their services. Advanced
technologies and innovations play a critical role in expediting the growth
of the logistics industry in China. However, there is a lack of empirical
research on the adoption of logistics technologies in China. This article
has attempted to fill the knowledge gap by investigating the determinants
of technological innovations in China’s logistics industry. It is found that most
of China’s logistics service providers in China tend to rely on information
34 Chieh-Yu Lin
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Contributor details
Chieh-Yu Lin is Associate Professor, Department of International Business, Chang
Jung Christian University, Taiwan. Contact: 396, Sec 1, Chang Jung Rd, Kway Jen,
Tainan 71101, Taiwan, Republic of China.
E-mail: jylin@mail.cju.edu.tw
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Abstract Keywords
This article is concerned with the analysis of university-based initiatives in triple helix
Brazil, emphasising activities directed at enhancing innovation and entrepreneur- entrepreneurial
ship. The Triple Helix thesis is utilised here to probe the nature of the changes university
taking place in Brazilian universities, reflecting the characteristics of the changes innovation
taking place in the wider economy. The article begins by reviewing some of the Brazil
modifications introduced in the Brazilian innovation system and by explaining
how universities have been incorporating entrepreneurial activities. Three univer-
sity case studies are presented in order to identify different models of entrepre-
neurship and innovation activities. The article shows that different structures
have arisen in universities in order to stimulate innovation and entrepreneurial
activities. Government support for these initiatives has been increasing at the
federal, regional and local levels.
Introduction
In the configuration of a new economic model, known as ‘the learning
economy’, where knowledge is understood to be the key driver of growth
and wealth, issues relating to change and learning assume a progressively
more important role, making skill-building and innovation fundamental
to economic health and well-being. At the same time, a general perception
has taken hold in the world that technological factors are important to
competitiveness and economic growth.
In the modern knowledge economy, growth depends extensively on the
presence or the formation of a network, which provides a favourable envi-
ronment for innovation based on the development indigenous capabilities.
Even though firm-specific factors are important determinants of innova-
tion activity, technological opportunities and a favourable entrepreneurial
environment also have a positive effect.
The evolution of the relationships among the institutions from the
three separate spheres, namely, university, industry and government,
shows different patterns according to the level of development and to the
historical and institutional traditions of individual countries (Senker
2003). In the international context, developing countries in general are
observed striving to see their economies evolve from one based on low
1 The R&D sector was technology use aimed at resource exploitation to a position associated
excluded from the with high technology-based economic growth. The desire to free economies
data cited above,
given that in Brazil, from their dependence on natural resources and other limiting factors that
basic, applied and inhibit growth is at the heart of this transformation. No less important for
experimental/
developmental developing countries is the need to identify and address the range of factors
research is generally which are of fundamental significance for technology-based growth.
conducted by public
institutions. Many of For the past two decades, Brazil has been undergoing a transition from
these produce services a top-down innovation system to an innovation system which operates at
specialized in
intensive knowledge
various levels: municipal, regional, national and multi-national. In this
generation, new innovation structure, initiatives arise from diverse actors, hitherto
particularly in the inactive in the field, most especially universities and industrial associa-
fields of energy,
agriculture, medicine tions. Universities not only play their traditional roles, but also take on
and information and some of the roles of other institutional spheres – industry and government,
communications
technology. They tend in particular – in helping to put knowledge to use, both by establishing
to work for both the organisational mechanisms to transfer knowledge and technology and by
government and the
private sector through playing a strategic role in regional innovation (Etzkowitz and Mello 2004).
contracts which sport The first academic revolution, the incorporation of research as a broad
confidentiality
clauses.
university mission, took place in Brazil in the 1970s, expanding the tradi-
tional support role of the university in society to one directly linked to
national priorities. Although this transformation took place under a mili-
tary regime, the universities were left with some autonomy that enabled
them to provide a space for the nurturing and articulation of new initia-
tives aimed at transferring knowledge produced at the universities to
industry. These initiatives were originally implemented outside of the uni-
versities’ formal structure. They were not the result of academia incorpo-
rating economic and social development as a mission, for such a mission
would have made universities fragile and vulnerable without support from
the other institutional spheres of the Triple Helix. Recently, however, funding
agencies such as CNPq (National Research Council), Finep (Projects and
Studies Financing Agency) and others at regional and municipal levels
have been increasing the support for university-based knowledge transfer
programmes.
The results of the ‘Research into Technological Innovation in Brazil
(PINTEC)’ published by the Brazilian Agency for Geography and Statistics
(IBGE), revealed that, between the years 2003 and 2005, only 33.4 per cent
of the country’s industrial firms renewed their technology base. High-tech
intensive companies, such as those involved in telecommunications and
computing, had higher rates of innovation: 45.9 per cent and 57.6 per cent,
respectively. These numbers reveal a low level of dynamism in the compa-
nies in question, because product innovation occurs at an annual rate of
6.5 per cent in the industrial sector, 8.4 per cent in telecommunications
and 15.5 per cent in the computer industry.1
With R&D activities being concentrated in public institutions such as
universities, the interface between these institutions and companies
obviously becomes of prime importance. Here, we find activities which can
be considered to be examples of Triple Helix interactions as well as the
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Activities linked to
Level entrepreneurship Percentage
Undergraduate Departments with One department: 27%
courses dealing with Several departments: 64%
Entrepreneurship All departments: 9%
Activities Lectures: 30%
Optional or complementary
classes: 20%
Activities integrated into the
curriculum: 50%
Graduate Departments with One department: 14%
courses dealing with Several departments: 57%
Entrepreneurship All departments: 29%
36% still have no courses
Source: Andifes (2006).
Table 2: Entrepreneurship activities at federal universities.
42 Mariza Almeida
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Different approaches were used for eliciting data for the study, including
recourse to published and unpublished sources, semi-structured interviews
with professors and/or university directors, and participation in events
where university representatives presented information regarding their
institutions and programmes.2
44 Mariza Almeida
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research institutes have been undertaken, emphasising different perspec- 3 Mello, J.M.C. and
tives. Zouaim and Sousa (2005) have analysed the effects of management Almeida, M.
Interview with: 1)
changes at the Instituto de Pesquisas em Energia Nuclear em São Paulo Maurício Guedes,
(IPEN) and Mello and Renault (2006) have described the bottom-up initia- Director of Federal
University of Rio de
tives taking place in civil society which have created the so-called commu- Janeiro Science Park,
nity universities which seek to develop the surrounding communities and on December 12,
2001; Ricardo
regions, particularly in the country’s southern states. Etzkowitz, Mello and Pereira, COPPETEC,
Almeida (2005) have analysed the creation and development of the incu- Federal University of
Rio de Janeiro, on
bator movement. Finally, Lahorgue, Mello and Santos (2005) have January 7, 2003.
researched technology transfer offices. These people were
members of the NIT
at the Federal
Brazilian political change and new proposals for University of Rio de
technology transfer Janeiro.
The military government that took power in 1964 continued to apply the
same science and technology (S&T) policies adopted after the Second World
War. These were directed towards national security, technological autonomy
and the development of institutional infrastructure and human resources
for universities and state-owned companies.
Some good results were obtained in developing indigenous technologies
in fields such as energy (off-shore technologies), telecommunications,
information and aviation. However, the technological autonomy project
was mainly directed towards state industries in strategic sectors. The
private sector, as a whole, was left outside this project and did not benefit
from technology transfers from universities and public laboratories. Short
of R&D policy of their own, the companies of this sector were generally
reduced to acquiring mature technologies from sources outside the
country (Coutinho and Ferraz 1995).
The need for the role of government in technological development
began to be felt in the mid-1970s, when CNPq, an agency created to support
academic research, was expanded to include technology (although it
retained its original name). Another important issue that dominated S&T
policy in the 1980s was university–industry relationships. The main point
debated in this respect was how to create new policies and new mecha-
nisms to improve the transfer of knowledge from universities to industry.
CNPq, normally more interested in supporting academic science, began to
take actions focused on technological innovation programmes beginning
with the creation of a technological innovation office in 1980. As a first
step, twelve Technological Innovation Centers (NITs) were set up in
research institutes and universities across the country. The NITs’ goals
were to promote innovation in universities and research institutes, encour-
age knowledge transfer to industry and conduct technological forecast-
ing.3 The NIT programme was closed at the end of the 1980s, in part due
to the severe economic crises affecting Brazil at that time (Medeiros, Stal
and Souza Neto 1987). A second programme, however, the ‘Program for
the Establishment of Science Parks’, was introduced in the mid-80s by
CNPq under the direction of the Technological Innovation Office. Difficulties
46 Mariza Almeida
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48 Mariza Almeida
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postgraduate programmes divided into 26 masters’ degree and 24 doctorate 7 Research reputation
degree courses. as measured by
researchers’
Table 4 below presents, in chronological order, the internal and exter- publications
nal factors which favourably impacted PUC to introduce entrepreneurial (Guarannys 2003)
activities.
Until the 1990s, PUC-Rio was mainly a basic education and research
university with financial support from Finep for its science and engineer-
ing programmes since the 1960s. The University had established several
laboratories and has a good reputation for research.7
The changes which led PUC-Rio to institute entrepreneurial activities
within its campus came about in the 1990s, as can be seen in Table 4.
These changes were the result of external pressures and internal leader-
ship which used an immediate crisis to visualise new opportunities. The
external pressures came in the form cuts in federal resources dedicated to
higher education. This led to financial instability for PUC-Rio that posed a
threat to its established institutional prestige. Faced with this problem, the
University sought alternative financing strategies to reduce its dependency
on the federal government. Consequently, PUC created its Technology
Transfer Office as a first attempt to create ties with industry (Guananys
2003; Aranha et al. 1998).
In 1995, Finep created the REENGE, which aimed at improving engi-
neering education with the aim to enhancing interaction between the pro-
ductive and research sectors. This created an opportunity for an internal
debate regarding engineering education in a post-industrial context of rapid
technological change and economic globalisation (Aranha et al. 1998).
Elective classes on entrepreneurship dealing with behaviour, simula-
tion and planning were offered to graduate students for the first time in
1997 as a consequence of Softex and Softstart Project. These classes were
pioneered by PUC-Rio’s Entrepreneurs Formation Program (EFP).
CET (Coordination of Entrepreneurship Teaching) is an agency of the
Genesis Institute for Innovation and Entrepreneur Action created in 2000 to
promote educational activities, research and extension in the area of entre-
preneurship. The entrepreneurship programme includes 14 classes: com-
mercial and social enterprises; venture capital; business plan; issues related
to the creation of technological, cultural and design firms; and creativity.
According to Guananys (2003), PUC-Rio’s establishment of an incuba-
tor also resulted in changes in laboratories and researchers, transforming
several groups into what can be described as quasi-companies. A series of
external pressures and internal debates combined to create new opportu-
nities; but what really turned PUC into one of the most successful cases as
an entrepreneurial university in Brazil is the internal consensus, particu-
larly among its Directors, that established entrepreneurship and develop-
ment as an integral component of the University’s mission. Consequently,
the focus on entrepreneurship covered all areas of the University’s pro-
grammes and a research environment was created to attend to the needs
of industry. Finally, institutional space was built for students, researchers
50 Mariza Almeida
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and professors to create companies based upon research conducted in 8 Renato Aquino Faria
incubators linked to the Genesis Institute. Nunes, Dean of
Federal University of
Itajubá. Presentation
Federal University of Itajubá at XVI Seminário
Nacional da
This case involves a university with an entrepreneurship project under devel- Anprotec. Salvador,
opment. The University’s Dean, who had been an incubator manager, pro- October, 20, 2006.
posed to transform the University’s isolated entrepreneurial activities into an 9 Almeida. M. interview
with Renato Aquino
institutionalised and cohesive university mission that introduced innovation Faria Nunes, Dean of
and entrepreneurship as a common element to all courses in the University.8 Federal University of
The Federal University of Itajubá, located in a small town in Minas Itajubá, on
September, 19, 2007.
Gerais state, was founded in 1931 as the Instituto Eletrotécnico e Mecânico
de Itajubá (IEMI). In 1968, the school, renamed as the Itajubá Federal
Engineering School (UNIFEI), started to expand its engineering under-
graduate courses. In 1994, the university began to offer masters courses
and in 1998, seven additional undergraduate courses were added. In
2002, UNIFEI became the Federal University of Itajubá.
UNIFEI offers eleven undergraduate, six MA and two PhD programmes,
with a total enrolment of 2,200 students. Table 5 presents, in chronological
order, the internal and external factors which have had an impact upon
UNIFEI, as well as the changes which have been wrought in terms of the
introduction of entrepreneurial activities.
UNIFEI became entrepreneurial in focus influenced partly by internal
factors and partly by the new pedagogical project designed during
2004–2008. Other than reinforcing its research and teaching activities,
UNIFEI also sought greater participation in local development projects and
on the international scene. The new pedagogical project considers local
development activities as a socially responsible part of the University’s
extension mission.
UNIFEI’s entrepreneur and entrepreneurship training programme cuts
across all departments, encouraging innovation and generating new
enterprises (both within and outside of its incubators).
One of the first activities of the ‘entrepreneurial university’ project was
transfer of the management of the university restaurant and snack bar to
the students’ organisation in February, 2005. The Dean proposed this
challenge and it was immediately accepted by the students, who had already
presented a business plan working out the costs of the restaurant, the
financial viability of the business, meal prices and so forth. In the Dean’s
opinion, the restaurant has thus become a management lab for the stu-
dents from business and industrial engineering courses.9
Another objective of the programme is the dissemination of entrepreneur-
ial culture through the university environment by promoting discussions,
business plan competitions and by recommending that entrepreneurship
courses be open to students from across the University.
There are three incubators at the University. One is dedicated to the
support of technological firms. The second, which was established upon
agreement with the local government, incubates firms in traditional
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the growing interest in entrepreneurship in the context of an expanding 10 Ronaldo Tadeu Pena,
university system in Brazil. Dean of Federal
University of Minas
Gerais, presentation
Federal University of Minas Gerais (UFMG) at XVII Seminário
Nacional da
The Federal University of Minas Gerais (UFMG), situated in Belo Horizonte, Anprotec, Belo
offers 44 undergraduate programmes, currently catering for over 35,000 Horizonte, October,
18, 2007.
students. It has also about 6,000 students enrolled in masters and PhD
11 Ibid.
programmes.10 Unlike in the two cases discussed above, at UFMG, entre-
preneurial activities have not been implemented in a top-down fashion. 12 http://www.inova.
ufmg.br/portal/
Entrepreneurship is an isolated activity here and depends on the activities modules/wfchannel/
of a handful of professors and colleges.11 In spite of this, some colleges index.php?pagenum=
62, accessed on June,
have been able to create successful spin-offs, such as the IT course, which 15, 2007.
some professors used to create the Akwan company. Google bought this
13 http://www.face.
firm which is now its laboratory in Latin America (Deutscher, Renault and ufmg.br/servicos/
Ziviani 2005). UFMG has promoted various internal entrepreneurial activ- sub_ser_cei_his.php,
accessed on June, 06,
ities in the University, and has also forged partnership with external insti- 2007.
tutions to do the same. Some examples are mentioned in Table 6 below. 14 Ronaldo Tadeu Pena,
The Computer Science course at UFMG was a pioneer in Brazil in intro- Dean of Federal
University of Minas
ducing entrepreneurship classes to undergraduate students in 1993. This Gerais, presentation
work was initiated by two professors at the University (Silva and Colenci at XVII Seminário
Jr 2002). Nacional da
Anprotec, Belo
In 2003, the CIM incubator and Inovatec decided to merge and Horizonte, October,
become a new incubator named Inova-UFMG. The unification of the two 18, 2007.
projects, which was led by the UFMG Dean, joined the better physical
structures of Inovatec with the incubation know-how of CIM.12 In 2006,
another incubator was established by the UFMG’s Business School.13
The absence of a centralised project at UFMG allowed considerable flex-
ibility in the creation of an entrepreneurial environment, albeit without
any commitment that the institution of formal academic programmes
would have warranted. As shown in Table 6, several initiatives have taken
place at UFMG over the years in order to promote entrepreneurship.
However, the University still lacks a unified policy geared towards imple-
menting these activities, which have for the most part resulted from iso-
lated and ad hoc initiatives.14
Discussion
The state of entrepreneurial activities within the Brazilian University system
raises two key issues. The first is university autonomy. This allowed activities
related to entrepreneurship to be conducted, new courses to be offered to
students, innovative companies to be created, incubators to be established,
local development networks to be contacted, and so forth, as a result of the
formation of local contacts and agreements. Incubators assumed a leader-
ship role in different areas, disseminating the concept of entrepreneurship
and – on a wider scale – interacting with and convincing institutions, uni-
versities, research centres and governments (federal, state and municipal) to
take part in the movement and support the incubators and entrepreneurial
Table 6: External and internal influences and their impact over UFMG. (continued)
54 Mariza Almeida
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activities inside the university system. The second issue relates to the expan-
sion of this process inside each university, while university autonomy is
maintained. This has often depended on the existence of internal consensus
that is crucial for welding isolated initiatives into a cohesive action proposal
that can be incorporated into the university’s mission.
Table 7 shows the different stages in the evolution of entrepreneurship
in the three universities discussed in this article and the similarities and
differences thereof. Developments at UNIFEI and UFMG are still inchoate
and it is not yet clear as to how they would respond subject to internal and
external pressure. Although the three universities are different in size and
legal mandate, we can see that at both PUC-Rio, the non-profit private
university, and UNIFEI, which is a federal university, an internal consen-
sus can be achieved for the adoption and development of entrepreneurship
Conclusion
This article has attempted to show the importance of internal and external
factors that influence the role of universities in economic development
through the development of entrepreneurial culture. There is, however, no
single road towards the development of entrepreneurial university. There
are many outstanding differences, even within the Brazilian environment,
between universities and institutions, such as the three cases discussed in
this article.
A major feature in the process of building an entrepreneurial univer-
sity is the complementary interaction between university, industry and
government (the three helices), which inevitably widens the original goals.
For example, the Softex programme originally sought to create new com-
panies, but in order to facilitate its goals, it needed to create a second
programme – Sofstart – which introduced the teaching of entrepreneur-
ship in different institutions. Likewise, other institutions came up with ini-
tiatives that increased the number of incubators in Brazil, specifically with
the aim to reduce social inequality by shifting the teaching of technologi-
cal entrepreneurship towards the realm of social intervention activities.
References
Aranha, J.C.A., Pimenta-Bueno, J.A., Carmo, L.C.S. and Silveira, M.A. (1998),
‘Entrepreneuship in the Engineering Curriculum: PUC-Rio’, International
Conference on Engineering Education, Annals, Rio de Janeiro.
Araújo, M.H., Lago. R.M, Oliveira, L.C.A., Cabral, P.R.M., Cheng, L.C. and Filion, L.J.
(2005), ‘O Estímulo ao Empreendedorismo nos Cursos de Química: formando
Químicos Empreendedores’, Quimica Nova, 28 (suppl), pp. S18–S25.
56 Mariza Almeida
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Suggested citation
Almeida, M. (2008), ‘Innovation and entrepreneurship in Brazilian universities’,
International Journal of Technology Management and Sustainable Development 7: 1,
pp. 39–58, doi: 10.1386/ijtm.7.1.39/1
Contributor details
Dr Mariza Almeida is Assistant Professor at the Augusto Motta University Centre
in Brazil. Contact: Avenida Paris, 41, Bonsucesso, Rio de Janeiro, RJ, Brazil, CEP
21041-020. Tel: 0055 2138 829752; Fax: 0055 2139 778943
E-mail: mariza@unisuam.edu.br; almeida.mariza@globo.com
58 Mariza Almeida
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Abstract Keywords
The United Kingdom (UK) has a strong base of offshore oil and gas (O&G) indus- core competence and
try and possesses enormous offshore wind power (over 40 per cent of the total in capabilities
Europe). The skills and technological resources of the O&G industry could possi- offshore O&G
bly be applied to develop offshore wind farms to generate electricity. In this installations
article, the core capabilities and competencies of offshore O&G industry are offshore wind farms
studied to see if they can supplement the emerging offshore wind industry, which diversification
is likely to be one of the future renewable energy sources for the United Kingdom. technological
The fact that the United Kingdom will turn out to be energy importing country in discontinuities
the future against its current position as energy exporting country, prompts the
need to explore avenues for alternative sources of energy. The authors perceive
this threat to offshore O&G sector as an opportunity for the offshore wind indus-
try, and investigate, through a survey of views, the proposition that the offshore
wind industry offers a future market opportunity for the offshore O&G industry
in the United Kingdom.
Introduction
The purpose of this article is to investigate the extent to which the offshore 1 Wind turbines
concentrate airflow
oil and gas (O&G) sector in the United Kingdom can diversify its operations energy to drive
to build renewable energy plants (offshore wind farms),1 in addition to pro- generators to produce
ducing fossil fuels – the main area of its operation. The article looks into the electrical energy.
core capabilities and core competencies of offshore O&G firms that can be
adapted to construct offshore wind farms to generate renewable energy
from offshore wind. The United Kingdom has an abundant resource of off-
shore wind, which could be exploited to produce electrical energy (DTI
2003). This goal can be achieved, inter alia, by establishing more wind
farms on commercial basis. This would call for, among other things, the
development of wind turbine manufacturing and related technologies.
Consideration of renewable options is inescapable in view of the decline
of the stock of oil, gas and coal deposits (ICEPT, 2003) and the growing
concern with climate change arising from the use of fossil fuels (DTI,
2002). After Canada, the United Kingdom has been the only net energy
exporting country of the world following the successful development of
North Sea O&G reserves (The UK Energy White paper 2003). But this sce-
nario is fast changing. By 2020, it is projected that the United Kingdom
will depend on imported energy for about 75 per cent of its total primary
energy needs (The UK Energy White paper 2003).
Diversification is one of the options for energy policy in the United
Kingdom (DTI’s Report on Diversification). Technological diversification
would allow certain skills in the offshore O&G sector to be transferred to
offshore wind industry for effective application. This sort of diversification
of the O&G sector into offshore renewable industry may possibly be a
response to the threat posed by the dwindling O&G reserves in the United
Kingdom. It is also necessary for the UK O&G sector to keep its skill base
from withering away and also to keep its operations in UK waters. The
experience of the UK offshore O&G industry spans over three decades (DTI,
2003). Its knowledge, technological capabilities and access to offshore
wind resource could provide a viable basis for offshore wind farm con-
struction in the United Kingdom, as this article shows.
Diversification
It is in the nature of firms in a competitive environment to evolve adapting
to changing market and resource conditions. In order to compete and
retain its market share, a firm must innovate, introducing changes in the
characteristics of the goods and services it supplies. Sometimes innovative
activities enable firms to extend their operations into more than one tech-
nology, that is, to be ‘technologically diversified’ (Breschi, Lissoni and
Malerba 2003). So, it can be inferred that it is actually innovation that
prompts a firm to diversify and broaden its base. It can also be argued that
2 DTI is responsible for chain co-ordination, manpower and equipment supply, procurement,
giving consent for the planning and logistics support.
wind projects in the
UK.
3 Interview with DTI Survey of data
personnel. A number Views expressed by different people from the renewable energy sector, the
of respondents also
referred to the O&G sector and the Department of Trade and Industry (DTI)2 – the three
competence of O&G major stakeholders – are analysed and discussed here. Data used in this
firms in the
construction of the
article were obtained through the administration of questionnaires, tele-
recently built North phone interviews and face to face meetings. The overall survey results are
Hoyle offshore wind found to be very satisfactory as far as amount and quality of information
farm in the UK. This
led to the transfer of are concerned.
certain skills from
O&G industry to the
North Hoyle offshore Transferable skills
wind project. Interestingly, views on transferable skills are similar across all stakehold-
ers. There is consensus that the offshore O&G industry has skills, facilities
and equipment that the wind industry requires. Some emphasised that the
experience of the offshore O&G industry in installing structures of all kinds
worldwide. The UK offshore industry has been at the forefront of this tech-
nology, particularly the engineering and management skills. Installation
of small structures such as wind farms would be a relatively straightfor-
ward project for the ‘techno-rich’ O&G industry.
The O&G industry has capability to undertake construction activities in
adverse conditions. It has also marine expertise as in cable laying, lifting
and installation; marine equipment like sub-ploughs; and knowledge of
marine legislation and control. All these are important for building the
support structures of offshore wind farms like that of Scroby Sands, United
Kingdom’s largest offshore wind farm inaugurated in March, 2005.
According to a business executive associated with an O&G supplier
company and involved in the engineering and management, the most
obvious areas where the offshore industry prior experience can be useful
are fabrication and installation. There have been many structures placed
offshore in all kinds of environments and in all sizes – from the very small
(wind turbine scale) to structures weighing thousands of tonnes. The
hardware required is available from a number of installation specialists.
Crane vessels exist in O&G operator companies that are capable of
installing single piece structures weighing from a couple of hundred up to
12,000 tonnes.
The skills in engineering and marine engineering are also usable.
Inspection and maintenance are areas for which the wind industry would
need support in the future. These skills and expertise do lie in the O&G
sector. Moreover, the operations and maintenance (O&M) expertise of the
O&G sector is potentially transferable. For instance, an existing O&G
product manufacturing company was involved in the North Hoyle off-
shore wind farm.3
As a Project Engineer in a renewable energy firm noted, the role of O&G
project management expertise could be significant when multi-million
4 Operator companies
are the oil companies,
which explore,
develop and produce
hydrocarbon
resources.
Figure 1: Transferable skills from O&G to offshore wind as per survey results.
contractual arrangements with weather risk and high vessel costs is some-
thing the wind industry is not yet familiar with. O&G companies also have
good experience in foundation construction and installation – particularly
for tripods in deeper water. For O&M, there is already a skill base, but for
transfer to happen, the skills of O&G technicians would need to be directed
by experienced wind turbine engineers.
The O&G skills suitable for offshore wind farm industry indicated by
various people covered in the survey are shown in Figure 1 below.
The Technical Manager of an offshore O&G operator4 company revealed
during the telephone interview that their company had involvement in
wind projects in Spain, especially in the area of tightening bolts/joints. He
considered the joint tightening know-how in O&G firms critical to the
wind turbines to withstand vibration/stress and maintain torque/tension
during turbulent weather. Also, knowledge and experience in bridge con-
struction, like assembling large structures, are transferable to the wind
farm construction, which means that civil engineering and construction
firms have scope of work in turbine construction and related activities.
Limitations
Not all respondents are agreed on the extent of effectiveness of O&G firms
in strengthening offshore wind-farm development, and hence on the scope
for diversification of O&G firms into the offshore wind industry. Different
viewpoints are expressed by respondents from O&G companies, renewable
industry (offshore wind farm) and DTI with respect to the limitations on
offshore diversification.
DTI’s position
The majority of respondents from DTI agreed with the idea of offshore
wind offering a sustainable opportunity to O&G firms to diversify into off-
shore wind business; but they also expressed concern about the economic
viability of such diversification.
These views are broadly reflective of the DTI Gap Analysis which high-
lights cost and market factors as constraints on the diversification of O&G
into offshore wind industry. Although the O&G industry has the skills and
expertise to be able to diversify into offshore wind, the exercise would not
be cost-effective. Moreover, offshore wind business is much more standard-
ised and based on much lower margins than O&G. Regarding the market
constraint, as mentioned elsewhere above in this article, offshore wind
would not be commercially viable without Government support. This situ-
ation would hardly make offshore wind business in the United Kingdom
an attractive proposition for O&G to diversify into. O&G is very profitable
business, whereas offshore wind has yet to demonstrate such profitability.
It would therefore make more economic sense for multinational oil com-
panies to continue to exploit hydrocarbon resources in other parts of the
world rather than diversifying into UK offshore wind that would give
them, if at all, very modest returns.
Discussion
The offshore O&G sector in United Kingdom constitutes a mature industry.
Offshore wind, on the other hand, is a growing industry. A major challenge
that the O&G sector has to contend with is the decreasing fossil fuel
reserves and the uncertain prospects for further explorations. It is as such
steadily heading towards stagnation and decline. In the circumstances, it
would need to take necessary steps to diversify its operational capabilities
and respond to the needs expressed in the emerging environmental market.
The competence of the O&G industry and its business and technologi-
cal environment appear to favour transition to offshore wind business. The
major incentive offered by transition is that the O&G sector would remain
in the forefront as a provider of renewable energy and thus avoid the risk
of stagnation and decline. It is apparent from the survey, however, that
even after recognizing offshore renewable sector as a potential area of
diversification, the O&G sector is rather reluctant to diversify into offshore
wind business. This could be due to the problem of technological uncertainty
transition and diversification would bring in train for O&G firms.
Conclusion
The survey conducted by the authors of this article has provided enough
evidence to suggest that offshore O&G industry skills are transferable to
offshore wind farm construction. But, given that the UK offshore wind
Acknowledgement
The authors acknowledge the help and guidance offered by Dr. Jim Watson of the
Science and technology Policy Research Unit (SPRU) at the University of Sussex,
United Kingdom.
References
Breschi, S., Lissoni, F. and Malerba, F. (2003), ‘Knowledge-Relatedness in Firm
Technological Diversification’, Research Policy Journal, 32: 1, pp. 69–87.
Carter, M. (2001), ‘UKCS: Half-Full or Half-Empty?’, http://www.boreasconsultants.
com/pdf/papers/bor_paper_007.pdf. Accessed 12 May 2004.
Corporate Responsibility Report (2000), By RWE Innogy, http://www.rweinnogy.
com/index.asp. Accessed 17 May 2004.
Cohen, W.M. and Levinthal, D.A. (1989), ‘Innovation and Learning: The Two
Faces of R&D’, The Economic Journal, 99, pp. 569–596.
———(1990), ‘Absorptive Capacity: A New Perspective on Learning and
Innovation’, Administrative Science Quarterly, 35, pp. 128–152.
Granstrand, O., Oskarsson, C., Sjoberg, N. and Sjolander, S. (1990), ‘Business
Strategies for development/Acquisition of New Technologies: A comparison of
Japan, Sweden and the US’, Department of Industrial Management and
Economics, Chalmers University of Technology, Goteborg, Sweden.
Suggested citation
Memon, Z.A. and Rashdi, R. (2008), ‘Knowledge proximity and technological
relatedness in offshore oil and gas and offshore wind technology in the United
Contributor details
Zahid A. Memon is Assistant Professor at Mehran University Institute of Science
and Technology Development (MUISTD), Jamshoro, Pakistan. Contact: Mehran
University Institute of Science and Technology Development (MUISTD), Jamshoro-
76062, Pakistan. Tel: +92 22 2772430-31; Fax: +92 22 2772432
E-mail: memon.zahid@muet.edu.pk; memonzahid2007@yahoo.com
Dr. Roshan S. Rashdi is Professor at Mehran University Institute of Science and
Technology Development (MUISTD), Jamshoro, Pakistan. Contact: Mehran
University Institute of Science and Technology Development (MUISTD), Jamshoro-
76062, Pakistan. Tel: +92 22 2772430-31; Fax: +92 22 2772432
E-mail: codirector.muistd@muet.edu.pk; pirrashdi@yahoo.com
Introduction
Depuis quelques décennies, la crise qui a affecté la légitimité de l’organisa-
tion publique, son rôle et son fonctionnement a été à l’origine de l’émer-
gence de la réflexion sur le new public management (Yaya 2005: 5). Né en
Grand Bretagne, depuis les années 80, sous le gouvernement de Margaret
Thatcher et dans bien d’autres pays de tradition anglo-saxonne, le new
public management est un mouvement de réforme du secteur public. Il
consiste à favoriser la transposition de modèles de gestion du secteur privé
Afin d’évaluer le succès du PPP, une revue des critères développés à cet
effet est présentée dans la première partie. Nous proposons, dans la deux-
ième partie, un aperçu théorique sur les conditions de réussite et d’échec
de ces partenariats. L’étude de la littérature débouche sur la proposition
d’un modèle conceptuel qui est testé sur la relation de sous-traitance entre
les institutions universitaires rattachées à l’université de Sfax (Tunisie) et
leurs prestataires (entreprises de services).
L’asymétrie d’information
La TA suppose une situation d’asymétrie d’information ce qui est le cas dans
la sous-traitance. En effet, les firmes sous-traitantes sont mieux informées
sur les conditions de la demande et des coûts que le donneur d’ordres. En
outre, la réalisation des projets publics ou la prestation des services publics
sont soumises à l’opportunisme éventuel des différents acteurs (Martimort
et Rochet 1999: 48).
Fabbe-Costes et Brulhart (1999: 37) suggèrent que cette situation
d’asymétrie d’information constitue une incitation à la méfiance. Par contre,
le partage d’informations permet d’anticiper, coordonner et planifier les
actions, de mesurer les résultats, de détecter les non-qualités et de mettre
en place un processus d’apprentissage partagé ou collectif pour stimuler le
changement dans le partenariat (Kanter 1994: 107).
L’asymétrie d’information est plus accentuée dans le PPP dans la
mesure où les partenaires poursuivent des logiques différentes dans le mana-
gement de leurs systèmes d’informations (degré de confidentialité [Huat
1980: 188], disponibilité des données, nature des informations [Nutt 2000:
81]). L’asymétrie d’information peut alors, entraver la réalisation des objec-
tifs des deux partenaires publics et privés et la satisfaction des bénéficiaires.
Méthodologie de la recherche
La recherche menée sur le terrain vise à tester les propositions théoriques
dans le cadre de la sous-traitance des services publics au sein des établisse-
ments universitaires. Il s’agit d’une recherche plutôt exploratoire menée
durant l’année 2004, auprès de 19 établissements de formation rattachés
à l’université de Sfax (Tunisie), ainsi qu’auprès de leurs fournisseurs (dix
entreprises de services).
Deux principales méthodes de collecte de données ont été retenues,
à savoir l’analyse documentaire et l’entrevue semi-dirigée. Les textes
réglementaires et les cahiers de charges ont été des sources pour l’analyse
du contexte de la relation. En outre, nous avons réalisé, au début de la
recherche, une première pré-enquête auprès d’un établissement grâce à
un entretien approfondi couvrant les différents aspects de l’externalisation
de certains services. Une deuxième pré-enquête a été menée, par la suite,
auprès d’une entreprise privée de services concernant ses activités sur
le marché public et en particulier, au sein des institutions universitaires.
Les informations collectées ont permis d’élaborer les questionnaires
(semi-directifs).
Le questionnaire destiné aux établissements comporte les parties suiv-
antes: les objectifs des institutions et des bénéficiaires, L’évaluation ex-ante,
l’évaluation ex-post, la confiance, l’asymétrie d’information et les conflits
d’intérêts. Le deuxième questionnaire destiné aux entreprises traite les
aspects suivants: les objectifs des entreprises de services, l’évaluation ex-
post, la confiance, l’asymétrie d’information et les conflits d’intérêts.
Dix-huit institutions universitaires ont accepté de participer à cette
recherche. La collecte de données a été effectuée auprès des responsables
de la gestion des contrats de sous-traitance. Ces derniers occupent diverses
fonctions: secrétaire général (7), responsable financier (7), administrateur
conseiller (2), secrétaire principal (1) ou chef de service personnel (1). Six
prestataires privés de services ont fourni des informations exploitables
pour l’étude. L’enquête a été menée auprès des gérants (5) et un respons-
able administratif.
La méthode de traitement des données est celle de l’analyse du
contenu. Cette méthode repose sur le postulat que la répétition d’éléments
de discours révèle les centres d’intérêt et les préoccupations des acteurs
(Thiétart 1999). En outre, la méthode du tri simple a été retenue afin
d’analyser les données quantitatives.
Résultats et discussion
Dans les institutions universitaires, le nettoyage et le gardiennage demeurent
les services les plus souvent sous-traités (17). La pratique de sous-traitance
a démarré depuis à peu près 20 ans. Cependant, elle a marqué récemment
une évolution qui nous a amené à l’étudier.
L’évaluation ex-post
Une fois l’accord conclu, un système de contrôle est instauré par l’étab-
lissement et son prestataire. Afin de vérifier l’impact de cette évaluation
post-contractuelle, les critères et les sources d’informations utilisés ont été
étudiés.
Les critères d’évaluation réfèrent aux aspects suivants: le déroulement
satisfaisant des prestations (88,9% pour les établissements et 83,3% pour
les entreprises); la présence des employés (94,1% pour les établissements et
83,3% pour les entreprises); la disponibilité des fournitures et des matéri-
aux (70,5% pour les établissements et 83,3% pour les entreprises) et la
satisfaction des bénéficiaires (60,6% pour les établissements).
Les institutions n’accordent pas la même importance au contrôle des
conditions de travail des employés. Un premier groupe d’interviewés
affirme que la satisfaction des employés (53%) ainsi que les problèmes
qu’ils rencontrent (47%) sont fréquemment suivis. Un second groupe
mentionne que ce suivi est rarement réalisé. Ainsi, le système existant
d’évaluation post-contractuelle de la relation s’intéresse principalement à
la qualité et aux coûts des services. Ce résultat rejoint celui trouvé par
Calvi et al. (2000: 12–13), dans le cadre d’une recherche réalisée auprès
des responsables achats dans des entreprises de divers secteurs d’activités.
Pendant cette phase, les institutions font appel à diverses sources d’in-
formation. La majorité des informations provient des constats de ceux
chargés de procéder au contrôle et appartenant à l’institution (100%), des
La confiance
Afin d’étudier le rôle de la confiance dans le succès du partenariat étab-
lissements universitaires-entreprises de services, l’analyse a été basée sur
la typologie proposée par Zaheer et al. (1998: 149) distinguant entre:
a. La confiance inter-organisationnelle: A ce niveau deux phénomènes
sont analysés: la durée de la sous-traitance dans les établissements et l’in-
tention des prestataires concernant le développement de leurs activités sur
le marché public. La durée de sous-traitance s’étale sur une année (une
institution), sur deux ans (9) ou sur trois ans (8). La majorité des institu-
tions optent pour le renouvellement des contrats de sous-traitance. Ce
choix est fondé sur trois critères classés comme suit:
du sous-traitant (41,2%) est la 3ème raison des désaccords entre les parties
contractantes.
Les failles de la réglementation tunisienne représentent la principale
cause de ces différends. Les défaillances sont liées à «l’inexistence d’organ-
ismes de suivi des entreprises, de leurs pratiques et de la validité des docu-
ments justificatifs qu’elles fournissent» (Responsable financier) et au choix
du fournisseur le moins-disant (Décret n° 2002-3158).
Pour les entreprises de services: Le conflit sur les délais de paiement est
le premier motif indiqué par la plupart des répondants (66,7%). Il est
souvent dû «à la dispersion de la responsabilité, de la prise de décision et de
l’information entre plusieurs acteurs, au sein des organisations publiques»
(Gérant/entreprise de services). Les conflits liés aux aspects sociaux con-
cernent principalement le personnel du partenaire public qui se décharge
de certaines de ses activités qui se voient effectuées par les employés de
l’entreprise (83.3%).
Ces conflits d’intérêts provoquent, d’abord, la dégradation de la qualité
et l’insatisfaction des bénéficiaires. Ils engendrent aussi, des coûts
d’agence trop élevés augmentant les coûts des services. En outre, ils
peuvent influencer négativement la santé financière de l’entreprise et sa
capacité à couvrir ses charges. En effet, les PME sous-traitantes qui déga-
gent de petits fonds de roulement sont souvent dans l’incapacité de gérer
des impayés (Trégan, 2004: 11).
Ces conflits peuvent s’amplifier jusqu’à bloquer la relation. Toutefois, le
règlement amiable demeure la modalité la plus souvent utilisée pour
résoudre ces problèmes (83,3% pour les institutions et 100% pour les
prestataires). Baudry (1994: 44) a constaté, dans son échantillon, que les
litiges sont toujours résolus à l’amiable. En dehors des clauses con-
tractuelles, des accords entre les établissements et leurs partenaires
peuvent constituer des arrangements de convenance en rapport avec les
relations de pouvoir. Chaque participant à la transaction trouve un intérêt
à la poursuite de la relation (Baudry 1993: 59).
Malgré les comportements opportunistes des prestataires, les acteurs
publics ne peuvent pas réagir puisque ces sous-traitants aboutissent à des
résultats plus satisfaisants en termes de qualité, coût et délai. Ils permet-
tent de remédier à la lourdeur dans la gestion publique des ressources
humaines. Selon Pochard (2000: 7), la gestion de la fonction publique est
à dominante bureaucratique et administrative. Le monde de l’entreprise
multiplie plutôt les efforts demandés au personnel. Même si certains con-
flits persistent, le sous-traitant accepte de maintenir une relation stable
avec ses clients publics pour ne pas subir les représailles du partenaire
public qui peut allonger les délais de paiement et/ou appliquer les pénalités
et les sanctions financières.
Certes, les conflits entravent, la réussite de ce PPP. Toutefois, dans la
plupart des cas, la relation est maintenue puisqu’elle permet de dépasser
les faiblesses de chaque partenaire. La coopération est parfois dictée par un
besoin (Derbel et Ben Ammar Mamlouk 2003).
Conclusion
Le PPP est l’une des alternatives qui marque la redéfinition du rôle de
l’Etat. L’objectif de ce travail de recherche est de cerner les différentes con-
ditions de succès et d’échec de cette relation. La revue de la littérature a
permis de dégager les critères d’évaluation du succès du PPP à savoir la
réalisation des objectifs des partenaires public et privé et des bénéficières.
Pour cerner les différentes conditions susceptibles d’influencer l’atteinte
de ces objectifs, deux corpus théoriques ont été mobilisés. Selon la théorie
des coûts de transaction, les évaluations ex-ante et ex-post et la confiance
représentent des mécanismes augmentant la probabilité de réussite du PPP.
La théorie de l’agence met plutôt l’accent sur l’asymétrie d’information et le
conflit d’intérêts entre les partenaires en tant que conditions d’échec du PPP.
La recherche empirique a été menée auprès de 18 institutions universi-
taires ainsi qu’auprès de leurs prestataires (6 entreprises). Les résultats
montrent que cette coopération n’aboutit pas toujours aux objectifs visés.
Plusieurs facteurs peuvent expliquer ce résultat. Les évaluations ex-ante
et ex-post et la confiance permettent de favoriser la réalisation de certains
objectifs du partenariat et d’entraver l’atteinte d’autres. Dans le même
ordre d’idées, l’asymétrie d’information et le conflit d’intérêts perturbent le
déroulement du PPP, sans toutefois rompre la relation qui reste, malgré
tout, profitable pour les différentes parties.
Cette situation paradoxale peut s’expliquer par le fait que les acteurs
respectent les prescriptions des organisations internationales et le nouveau
cadre de la gestion publique, mais en gardant la même philosophie de
gestion dans l’administration publique et dans l’entreprise privée.
Selon Gosse et al. (2002) la sous-traitance induit une forme d’organi-
sation paradoxale qui se définit par certains attributs des nouvelles formes
organisationnelles, tout en présentant des similitudes avec les caractéris-
tiques du taylorisme. La question qui se pose alors, comment les opérateurs
publics peuvent-ils adopter les prescriptions des institutions internationales
de façon à ne pas heurter la capacité de changement de l’organisation? Ceci
représente un défi au niveau de la théorie et de la pratique que d’autres
recherches devraient examiner.
Si les intérêts certes différents des parties en collaboration peuvent
inciter à l’opportunisme, des aménagements réglementaires conjugués avec
un renforcement du processus d’apprentissage récent relatif à la coopéra-
tion entre le public et le privé pourraient améliorer les chances de succès
partagé du PPP. A cet effet, une plus grande autonomie dans la gestion
publique combinée avec la mise en place de mécanismes d’imputabilité
serait d’un apport substantiel.
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incitations’, Revue d’économie industrielle, 86, pp. 51–69.
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Sociologie de travail, 1, pp. 43–61.
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pp. 175–193.
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caux logistiques: le cas des coopérations entre industriels agroalimentaires et
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coopération: interdépendance des acteurs et suprématie du système organisa-
tionnel’, La revue des sciences de gestion, Direction et gestion, 204, pp. 63–89.
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Favoreu, C. (2004), ‘Réflexion sur les fondements de la structure et du management
stratégique en milieu public’, www.stratégie.aims.com\montreal\favoreu.pdf.
accès le 25 September 2004.
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Suggested citation
Bouhamed, A. and Chaabouni, J. (2008), ‘Partenariat public-privé en Tunisie: Les
conditions de succès et d’échec’, International Journal of Technology Management
and Sustainable Development 7: 1, pp. 71–89, doi: 10.1386/ijtm.7.1.71/1
Contributor details
Amira Bouhamed is Researcher and Lecturer at the Faculty of Economics and
Management of Sfax in Tunisia. Contact: Chercheur, Faculté des Sciences
Economiques et de Gestion de Sfax, BP 1088, 3018 Sfax, Tunisie.
E-mail: Amira.Bouhamed@fsegs.rnu.tn
Jamil Chaabouni is Professor in Management Studies at the Faculty of Economics and
Management of Sfax in Tunisia. He leads a Reseach Unit on Management Studies. His
research interests include governance, strategy and organisational structure, organi-
sational change and information management. Contact: Professeur, Faculté des
Sciences Economiques et de Gestion de Sfax, BP 1088, 3018 Sfax, Tunisie.
E-mail: Jamil.Chaabouni@fsegs.rnu.tn
Event Report
International Journal of Technology Management and Sustainable Development
Volume 7 Number 1 © 2008 Intellect Ltd
Report. English language. doi: 10.1386/ijtm7.1.91/4
Introduction
A major responsibility of industry is not only to innovate but also to
understand and address evolving need profiles and technological trends in
the light of the global objectives of sustainability. How do school age chil-
dren view tomorrow’s world and to what extent are such views seriously
taken on board by corporate business in the innovation design process?
As a leading provider of communication solutions with a long track
record in research and development through partnership with Universities
and technology companies, British Telecom (BT) has recently taken the ini-
tiative to understand the needs and potentials of student innovators ranging
from 6 to 18 years of age. The initiative went global with the launch of the
first ‘Global Student Innovators BT Design Hothouse Challenge’ in December
2007. This initiative would allow BT to incorporate the views of those repre-
senting the mindset of the next-generation of customers into innovation
designs for communication services. It is significant that BT has one of the
largest technology research centres in the United Kingdom, which received
£727 million in R&D investment in 2005–2006. The Design Hothouse ini-
tiative also gives gifted school children the opportunity to be able to tap their
creative potentials at an early age.
The remainder of this brief aims to highlight the significance of BT’s
research and innovation programmes in the light of its recently launched
Global Student Innovators BT Design Hothouse Challenge.
The initiative
Prior to the Hothouse, about thirty schools in the United Kingdom and those
around the globe were invited to participate in the following challenge:
For example, what might be the next cool, ultra cheap mobile device?
How might we best include older members of the local community?
How might we use communications technology to reduce the carbon
footprint?
• Use the most effective communication and collaboration methods in
designing the technology. For example, a technology-rich school might
discover a free on-line collaborative working tool which they can use
with their partner schools, or a technology impoverished school might
enlist the support of the local Internet café, and a school might explore
how tin cans can enhance a WLAN.
After months of activities, eight winning teams and their global ‘twin’, from
countries such as India, United States and Uganda, were chosen by BT to
take part in the first Global Student Innovators Hothouse on 3 December
2007 in London.
The Hothouse featured selected students and BT people working
together in teams to develop and present the existing ideas, prototypes and
solutions taking into account originality of idea and the feasibility of their
ideas from business and technical perspectives.
The participants undertook an intensive hot-house product prototype
design activity with BT business and technology experts with the possibil-
ity of taking the idea through to delivery, that is, BT will support the devel-
opment of the idea. BT is already doing this with the free open source
BECTA compliant learning platform easiAPP, which was a result from pre-
vious Understanding the Young Customer work. The project Wiki is an
ongoing log of just how far these ideas have come – over 50 percent of pro-
jects are now real.
Hothouse outcomes
The judges voted Gorseland Primary School, Ipswich, first for their innov-
ative project ‘iCook’, http://www.icookbook.net/. Gorseland collaborated
with their twin school Kudawella, in the Hambantota district of Sri Lanka
to develop ‘iCook.’ This collaboration offered many possibilities to explore
and contrast healthy eating, global differences and to learn local people’s
recipes. Pershore High School, South Worcestershire came second (fabu-
lous variety of five ideas with a common theme) and Katha school, India,
third. Details of all the schools projects can be found on www.easicop.org
Conclusions
The workshop presented a learning experience that would help young stu-
dents shape their perception of corporate responsibility for innovation in
the light of future needs and prime them into being prospective innovators.
The workshop was also significant for BT, as champion of the initiative, in
terms of feeling the way forward into the future with respect to market
research and development trends, as school children are frequently the
entry point in households for new technology-based services or devices.
Suggested citation
Cottrill, C. and Houghton, T. (2008), ‘Global student innovators workshop: Opening
the way for product inspiration and sustainability’, International Journal of
Technology Management and Sustainable Development 7: 1, pp. 91–93, doi:
10.1386/ijtm.7.1.91/4
Contributor details
Caroline Cottrill is an internal communications manager and project leader in BT.
Contact: PP 3/3, Telephone House, Charter Square, Sheffield, South Yorkshire S1 1BA.
E-mail: caroline.cottrill@bt.com
Dr Tony Houghton is head of the Global Student Innovators BT Design Hothouse
Challenge. Contact: PP 3/3, Telephone House, Charter Square, Sheffield, South
Yorkshire S1 1BA.
E-mail: tony.houghton@bt.com
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Book Reviews
International Journal of Technology Management and Sustainable Development
Volume 7 Number 1 © 2008 Intellect Ltd
Reviews. English language. doi: 10.1386/ijtm7.1.95/5
Science and Citizens represents one of the first attempts to broadly ‘engage
with engagement’ in the context of science, technology and development.
This edited collection presents a series of case studies of engagement from
countries in both the North and South, including South Africa, China,
India, Brazil, Zimbabwe, Sierra Leone as well as countries such as the UK
and USA. The book attempts to segue a range of concerns regarding
science, for example, the role of indigenous knowledge, what we mean by
citizenship, how participation shapes policy and how risk is perceived and
what role this plays in decision-making. These debates, amongst others,
key into the heart of debates around the development, or construction, of
new knowledge in context.
The book focuses on case studies from many different contexts, and
while case studies are both Northern and Southern, developed and devel-
oping, I believe the importance of the book lies in the representation of the
South. There is a massive literature on how citizens engage with science in
the North where the discipline of science and technology studies has been
widely deployed. For various reasons the discipline has been much less
widely engaged in the South. One of the strengths of the book, then, is this
attempt to tissue together such diverse case studies and draw insights from
across both development studies and science and technology studies.
The book, primarily drawn out of work organised by the Institute of
Development Studies at Sussex, is organised and linked together into four
sections: ‘science and citizenship’ and ‘beyond risks: defining the terrain’
set the conceptual scene, whilst ‘citizens engaging with science’ and ‘par-
ticipation and the politics of engagement’ encompass around a dozen case
studies that represent a variety of technologies, contexts and continents.
The editorial team are particularly noteworthy, Melissa Leach and Ian
Scoones have a long history of looking at the role knowledge plays in
shaping development, and implicit in that is, understanding how knowl-
edge is produced, negotiated and contested. The final member of the edito-
rial triumvirate, Brian Wynne, is interesting in that he brings his own
Reference
Cooke, B. and Kothari, U. (2001), Participation the New Tyranny? London: Zed
Books.
grand setting also brings out the possibility of some grand statements
being made – for example, ‘the policy processes are only in response to
international policy and law’ (Page v). This downplays the local policy
innovations and the socio-economic imperatives driving some of the
processes or the interface between the external and internal influences.
The book also seems to marginalise the increasingly important and promi-
nent role of cross-national, regional and extra-regional technology devel-
opment and regulation processes in the countries covered. Efforts by
regional economic communities and bodies such as the New Partnership
for Africa’s Development (NEPAD) and the African Union, among others,
would in this regard be handy.
In the final chapter, the book takes a close look at how countries can
build ‘public confidence’ in the face of technological opportunities brought
about by modern biotechnology. It is not clarified here what ‘public’
entails, but the inescapable assumption for this section is that it is this lack
of ‘public’ confidence which is one of the bottlenecks for the development
of appropriate policies for ‘maximising the benefits and minimising the
risks of modern biotechnology’. On the other hand, the lack of ‘political
will’ to push processes forward has been bemoaned by many researchers
and policy actors in the continent, and it would be crucial to understand
from both empirical and theoretical perspectives to what extent ‘politi-
cians’ identify themselves as being part of the ‘public’ and how they would
therefore be happy to be part of the proposed ‘broad-based’ platforms.
These and the clearly positivistic and science-led approach proposed in
this final chapter are well worth reading to understand the authors’ per-
spective, especially in the backdrop of socially-constructed and context-led
interventions in the cases presented.
Understandably, not all issues in the highly integrative area of science
and technology, broadly, and biotechnology, specifically, could be covered
in just one volume. This book thus represents an effort to bring together
and illuminate these elusive issues which are emerging from as well as
shaping an ever-changing context. Continuous and more such efforts can
only help in the quest for effective policy decisions.
This book is a must-read for all stakeholders in the science and tech-
nology policy arena.
Reviewed by Julius Mugwagwa, Development Policy and Practice, Open University.
International Journal of Technology Management & Sustainable Development | Volume Seven Number One
Articles
3–17 Assessing a rural innovation system: Low-input rice in Central China
J. David Reece International Journal of
19–38 Determinants of the adoption of technological innovations by logistics
39–58
service providers in China
Chieh-Yu Lin
Innovation and entrepreneurship in Brazilian universities
Mariza Almeida
Technology
59–70 Knowledge proximity and technological relatedness in offshore oil
and gas and offshore wind technology in the United Kingdom
Zahid A. Memon and Roshan S. Rashdi Management
& Sustainable
71–89 Partenariat public-privé en Tunisie: Les conditions de succès et d’échec
Amira Bouhamed and Jamil Chaabouni
Event Report
91–93 Global student innovators workshop: Opening the way for product
95–98
inspiration and sustainability
Caroline Cottrill and Tony Houghton
Book Reviews
Reviews by James Smith and Julius Mugwagwa
Development
ISSN 1474-2748
71
intellect