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Working Paper No.1 - Returns on R&D Investment: A comprehensive survey on the magnitude and evaluation methodologies; Andreia Cardoso and Aurora A.C. Teixeira; March/2009

As technology and innovation seem to be contingent upon each other a great deal of attention has been given to the importance of assessing the contribution of R&D investment to firm and industry performance and, ultimately, to the economic performance of countries and regions. In industrialised societies not only private but also public agents have allocated increasing amounts of their resources to R&D activities, often considered the key path to innovativeness. At the same time, due to advances in empirical research, increasingly more focused on the micro (firms) rather than on the macro (country) level, old myths about the relationship between R&D, innovation and success began to fall down. Firstly, the idea that innovation is much broader than R&D has gained large support and has made it possible to identify other sources of innovation, beyond excellence in R&D, which had been largely hidden or neglected. As result, perceptions about small firms - or the so-called low-tech industries, which either do not carry out any significant R&D activities or are likely to perform them outside formal classifications - started to change. Secondly, the idea that more R&D investment is always automatically bond to success - whatever criteria one may choose to define success – has become nothing more than a utopia. In this paper we carry out an analysis of the literature on the magnitude and evaluation of R&D. We identify the methodologies used and analyse to what extent the magnitude of (eventual) R&D returns is dependent on the methodology pursued and the level of analysis - firms (micro), industry (meso), and regions/countries (macro) - considered. We conclude that methodological approaches and levels of analysis determine, to some extent, the type of results obtained and, thus, variances between them.

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Working Paper No. 2 - Assessing the influence of R&D institutions by mapping international scientific networks: the case of INESC Porto; José Sequeira and Aurora A.C. Teixeira; March/2009

Although scientometric and bibliometric studies embrace a much wider perspective of the linkages/networks of R&D institutions than standard economic studies, to the best of our knowledge, these studies have not yet made use of scientometric tools to analyse the influence and impact of R&D institutions. Moreover, the international perspective has so far been neglected both in standard and bibliometric studies. Based on networks of 1239 foreign co-authorships and 13035 foreign citation linkages, we demonstrate that INESC Porto international influence has considerably expanded since 2003, a year that coincided with the implementation of an internal policy of granting monetary prizes to publications in scientific international journals. In terms of co-authorship, the network of INESC Porto more than duplicated (13 countries in the initial period to 27 in 2004-07). In terms of citations, INESC Porto’s network encompassed almost 40 countries during the whole period (1996-2007). Its more prolific units (optoelectronics, energy and multimedia) presented a rather distinct pattern both in terms of size and evolution of the corresponding network boundaries. The network size of foreign co-authorships was not much different between the three units by the beginning of the 2000s (around 10 countries) but it evolved quite distinctly. The most remarkable pattern was registered by the multimedia (UTM) unit, whose network size rose exponentially to 21 countries in 2004-07. This contrasted with the decline (down to 8 countries) of the energy (USE) unit. The citation network of the optoelectronic unit (UOSE) was by far the largest, until 2003, involving 34 distinct countries, which contrasted with the size of USE (12 countries) and UTM (1 country). But again, after 2003, the size of the citation network of USE and UTM converged spectacularly to that of UOSE’s, reaching in the last period 21 and 16, respectively. The influence of INESC Porto reaches all five continents, especially when we consider citation networks. Indeed, excluding the citations from authors affiliated in Portuguese institutions, those that most cite INESC Porto’s (and UOSE’s) works are affiliated in institutions located in China, the UK and the US. The scientific works produced by USE influences mostly authors affiliated in institutions located in India, China and Spain, whereas for UTM the corresponding countries are the US, Germany and Italy. We infer from the evidence analysed that not only did the boundaries of INESC Porto’s scientific network substantially enlarge in the period of analysis (1996-2007) but its ‘quality’ also evidenced a positive evolution, with authors affiliated in institutions located in the scientific frontier countries citing works of INESC Porto (and its units).

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Working Paper No.3 - Determinants of the international influence of a R&D organisation: a bibliometric approach; Aurora A.C.Teixeira and José Sequeira; March/2009

Traditionally, studies on the influence and impact of knowledge-producing organisations have been addressed by means of strict economic analysis, stressing their economic impact to a local, regional or national extent. In the present study, an alternative methodology is put forward in order to evaluate the international scientific impact and influence of a knowledge-producing and -diffusing institution. We introduce a new methodology, based on scientometric and bibliometric tools, which complement traditional assessments by considering the influence of a R&D institution when looking at the scientific production undertaken and the recognition of its relevance by its international peer community. Focusing on the most prolific scientific areas of INESC Porto, and resorting to published scientific work recorded in the Science Citation Index (SCI), we show that INESC Porto has enlarged its international scientific network. The logit estimations demonstrate that the wide geographical influence of INESC Porto scientific research is a result not of its international positioning in terms of co-authorships, but rather a result of the quality of its scientific output.

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Working Paper No. 4 - Open Innovation in firms located in an intermediate technology developed country; Mariana Lopes and Aurora A.C.Teixeira; March/2009

Open Innovation is a flow of inputs and outputs of knowledge and technology which favours, at the firm level, the acceleration of the innovation process, as well as the establishment and penetration of firms in new markets. This type of innovation incorporates technological innovation from internal and external sources, as well as different ways to access markets. The empirical studies in the area reveal that there is a significant bias in favour of countries of technological frontier, such as the United States, Finland, the Netherlands, Germany or Sweden. The present study aims at covering this gap in literature by examining firms in a country of intermediate technology development – Portugal. Based on 70 innovative firms located in Portugal we found that open innovation is only partially diffused throughout these firms. In addition, open innovation is more widespread in terms of external absorption of knowledge/ technology rather than in terms of knowledge/technology transfer. This result may indicate lack of awareness about the economic potential of making available to third parties the technologies internally created. This may require a different approach to organization/management of R&D, in particular, and of innovation, in general.

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