Innovation Policy in a Knowledge-Based Economy

Transcription

1 Innovation Policy in a Knowledge-Based Economy

2 Patrick Llerena Mireille Matt Editors Innovation Policy in a Knowledge-Based Economy Theory and Practice With Contributions by Arman Avadikyan Laurent Bach Patrick Cohendet Olivier Dupouët Jakob Edler Jean-Alain Héraud Rachel Lévy Stéphane Lhuillery Patrick Llerena Chantale Mailhot Mireille Matt J. Stanley Metcalfe Frieder Meyer-Krahmer Véronique Schaeffer Eric Schenk Stefania Trenti Sandrine Wolff ^ Springer

3 Professor Patrick Llerena Professor Mireille Matt BETA-ULP 61 avenue de la Forêt Noire Strasbourg France With 15 Figures and 15 Tables Cataloging-in-Publication Data Library of Congress Control Number: ISBN Springer Berlin Heidelberg New York This work is subject to copyright. All rights are reserved, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilm or in any other way, and storage in data banks. Duplication of this publication or parts thereof is permitted only under the provisions of the German Copyright Law of September 9,1965,in its current version, and permission for use must always be obtained from Springer-Verlag. Violations are liable for prosecution under the German Copyright Law. Springer is a part of Springer Science+Business Media springeronline.com Springer-Verlag Berlin Heidelberg 2005 Printed in Germany The use of general descriptive names, registered names, trademarks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. Cover design: Erich Kirchner Production: Helmut Petri Printing: Strauss Offsetdruck SPIN Printed on acid-free paper - 42/

4 Table of Contents 0 Introduction 1 Patrick Llerena and Mireille Matt 0.1 Why Analyze Innovation Policies From a Knowledge-Based Perspective? The Rationales Behind Innovation Policies: Dynamic Approaches New Technology Procurement: Knowledge Creation, Diffusion and Coordination The Impact of Incentives Tools on Systemic and Learning Failures The Relevance of R&D Strategic Management in Policy Design 11 Part I The Rationales Behind Innovation Policies: Dynamic Approaches 15 1 From Economic Foundations to S&T Policy Tools: a Comparative Analysis of the Dominant Paradigms 17 Laurent Bach and Mireille Matt 1.1 Introduction The NC Framework Allocation of Resources, Technology as Information, and Market Failures S&T Policy Principles and Actions About Empirical Problems of Applications and "Government Failures" The Evolutionary-Structuralist Framework Creation of Resources, Knowledge and "Learning Failures" S&T Policy Principles and Action About Empirical Problems of Applications and "Government Failures" The Issue of Additionality General Remarks Different Concepts of Additionality Conclusion: Beyond an Oversimplified Antagonism Between the Rationales for S&T Policy References 40

5 VI Table of Contents 2 Systems Failure and the Case for Innovation Policy 47 James Stanley Metcalfe 2.1 Introduction Attributes of the Innovation Process The Limits of Market Failure Innovation Systems and the Competitive Process Increasing Returns, 'Roundabout' Knowledge Production and Innovation Systems Policy for Systems Failure Conclusion References 72 3 Technology Policy in the Knowledge-Based Economy 75 Patrick Cohendet and Frieder Meyer-Krahmer 3.1 Introduction Knowledge-Intensive Communities The Production of Knowledge: a Renewed Vision of the Classical Frame, Which Takes Account of the Role of Communities The Traditional Vision Questioning the Traditional Vision The Main Determinants of KOP in a Knowledge-Based Perspective Reconsidering Incentives in a KOP Context The Role of Trust Selected Conclusions for KOP Patents Revisited in a KOP Perspective KOP Within a Decentralized Innovation Policy Model KOP Initiatives to Bridge Between "Expert" and "Lay" Knowledge KOP and Access to Knowledge and Co-Evolution of Emittive and Absorptive Capacities: Technology Transfer Revisited KOP Initiatives for SMEs: Shifting from R&D to Competencies KOP and New Agents of Knowledge Conclusion References 108

6 Table of Contents VII Part n New Technology Procurement: Knowledge Creation, Diffusion and Coordination Technology Policy and A-Synchronic Technologies: The Case of German High-Speed Trains 115 Patrick Llerena and Eric Schenk 4.1 Introduction The German High-Speed Train Programmes The Generic High-Speed Train Programme High-Speed Trains in an Institutional Specialisation Context The Role of Institutions in the Management of Options The Importance of Maintaining Options The Differentiated Role of Institutions Why and how Learning is Done? Exploration vs. Exploitation The Learning Environment Leaming-by-Doing Technology Competition The Role of Learning Network Competition Conclusion References Institutional Arrangements of Technology Policy and Management of Diversity: the Case of Digital Switching System in France and in Italy 135 Patrick Llerena, Mireille Matt and Stefania Trenti 5.1 Introduction, Institutional Arrangements, Information Structure and Coordination Information Structure and Coordination in Technology Policies: Analytical Framework Relevance of Coordination Modes in France and in Italy Coordination and the Management of Diversity Analytical Elements The French Case: a Successful Technology, but a National Orphan The Italian Case: Late Coordination and Delayed Choice of Technology Assessment of the Policies and Conclusion References 157

7 VIII Table of Contents 6 A Study of Military Innovation Diffusion Based on Two Case Studies 161 Arman Avadikyan, Patrick Cohendet and Olivier Dupouet 6.1 Introduction Major Characteristics of Military Innovation Diffusion : Context Matters Nature of Technologies The Nature of the Organization The Relationships with Users Context Matters An Analysis of Diffusion Mechanisms Based on Two Case Studies : the Airsys Radars and the MBD Apache Missile The Positive Economic Effects of the Two Projects Factors Hindering the Innovation Diffusion Process Firm-Specific Choices Thomson-CSF/Airsys MBD Conclusions References 187 Part III Impact of Incentives Tools on Systemic and Learning Failures University-Industry Relationships and Regional Innovation Systems: Analysis of the French Procedure Cifre 193 Jean-Alain Heraud and Rachel Levy 7.1 Introduction Regional Systems of Innovation Different Systems of Innovation Systems of Innovation at Regional Level The Role of University-Industry Collaboration and the Diversity of RSI The Cifre System Presentation of the Cifre System The Cifre System: a Good Indicator of Science-Industry Collaboration Empirical Results Towards a Typology of Regions The Role of the KIBS Integrating Classical Indicators into the Analysis Conclusion References 217

8 Table of Contents IX 8 Research and Development Tax Incentives: a Comparative Analysis of Various National Mechanisms 221 Stephane Lhuillery 8.1 Introduction R&D Tax Incentives: an Overview of National Schemes A Spreading Mechanism The Different Types of R&D Tax Incentives Defining the Base for RDTIs Internal Dividing Lines External Dividing Lines Design of RDTI Mechanisms Limiting the Risks Attached to RDTIs Targeted Incentives RDTIs and Their Environment Overlapping R&D Policy Tools From R&D to Technology Fiscal Incentives RDTIs in an Overall and Global Tax Policy Conclusion References Twenty Years of Evaluation with the BETA Method: Some Insights on Current Collaborative ST4&I Policy Issues 251 Laurent Bach and Mireille Matt 9.1 Introduction Positioning, Methodology and Overview of Empirical Studies Positioning Methodology Overview of Empirical Studies Using the BETA Method University-Industry Collaboration in R&D Activities The Impact of Scientific Research Results on Industrial Partners The Impact of Collaborative Innovation Projects on PROS Role and Performance of SMEs in Collaborative Projects Do SMEs get More Benefits than Large Firms? Do all SMEs Perform Equally? The Design of Partnerships and the Performances of Actors The Design Imposed by the Public Programme The Exploitation of Complementarities Conclusion References 277

9 X Table of Contents Part rv The Relevance of R&D Strategic Management in Policy Design The Organizational Specificities of Brite-Euram Collaborative Projects: Micro-Analysis and Policy Implications 285 Mireille Matt and Sandrine Wolff 10.1 Introduction A Review of the Literature: Incentives, Coordination, and Learning in R&D Collaborations, and Some Dynamic Implications The Incentive Issue: the Motivations of Inter-Firm Technological Cooperation The Cognitive Dimension: Different Types of Learning Processes The Coordination Dimension: Flexibility, Formal and Informal Mechanisms Implication on the Evolution of Alliances The Specificities of EU Sponsored Collaborative Projects Incentives to Form EU Sponsored R&D Collaborations Learning in EU Sponsored Collaboration: the Predominance of Unilateral Learning Coordination of Activities in EU Sponsored Collaboration: pre-defined Rules and Arbitration as a Short-Term Stabilizing Factor Two Contrasted Scenarios of Evolution Policy Implications Revisiting the Rationale of EU Research Programmes in the Light of Firms' Incentives to Collaborate Toward Revisiting the Rationale of EU Research Programmes in the Light of Specific Inter-Firm Learning and Coordination Mechanisms Conclusion References How International are National (and European) Science and Technology Policies? 319 Jakob Edler and Frieder Meyer-Krahmer 11.1 Introduction Patterns of International R&D Scale and Scope of International R&D Lessons on Location Factors of MNCs Existing Policy Activities for Internationalization 327

10 Table of Contents XI 11.4 Consequences and Issues for Technology Policy in Europe Policy Challenges Stemming from the Market Adaptation Mode Policy Challenges in the Knowledge Creation Mode Limitations and Counterproductive Tendencies References Universities Specificities and the Emergence of a Global Model of University: how to Manage These Contradictory Realities 339 Chantale Mailhot and Veronique Schaeffer 12.1 Introduction Science Policies and the Emergence of a New Global Model of University Science Policies and the Evolution of the Missions of the Universities The Emergence of an Entrepreneurial Model of University The Need for Strategic Management in Universities The Management of Emerging Conflicts The Limits of a Global Model The Challenge: Exploitation of the Diversity in the Science System Policies for Science and Denial of the Diversity Between Universities The Diversity of Universities: an Asset in a Learning Economy A "bottom-up" Approach in the Global Framework Conclusion References 357 Contributing Authors 361