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almstad 2018
Halmstad University | School of Business, Engineering and ScienceDoctoral Thesis | Halmstad University Dissertations no. 41
D O C T O R A L T H E S I S
Developing Technology Transfer Processes in rural contexts: The case of Cauca in Colombia
Deycy Janeth Sánchez Preciado
978-91-87045-84-4 (printed)Halmstad University Dissertations, 2018
School of Business, Engineering and Science
DEY
CY
JAN
ETH
SÁN
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EZ PR
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Deycy Janeth Sánchez Preciado
Deycy Janeth Sánchez Preciado is a lecturer in the Department of Inno-vation Management at Halmstad University. She is also a member of the Research Group Regional Models for Competitiveness at the University of Cauca and Production and Innovation Regional Centre -CREPIC- (Colombia). She has 13 years of experience in research projects focused on science and technology for small- scale producers in rural environments in Cauca, Colombia.
Developing Technology Transfer Processes in rural contexts: The case of Cauca in Colombia
Deycy Janeth Sánchez Preciado
D O C T O R A L T H E S I S | Halmstad University Dissertations no. 41
Sanchez Preciado: Developing Technology Transfer Processes in rural contexts: The case of Cauca in Colombia © Deycy Janeth Sánchez PreciadoHalmstad University Dissertations no. 41 ISBN 978-91-87045-84-4 (printed)ISBN 978-91-87045-85-1 (pdf)Publisher: Halmstad University Press, 2018 | www.hh.se/hup
Cover: Project ”Alternative Uses for By-products derivate of the Pisciculture Agro – Industry”
Abstract
This doctoral thesis addresses the technology transfer process in rural develop-
ing economies. Technology transfer refers to the movement of physical arti-
facts and knowledge from a transferor (e.g. a university) to a recipient (e.g. a
cooperative or a producer). Many rural developing economies depend on rural
enterprises engaged in small-scale production. These enterprises usually have
limited market reach, inadequate financial margins, and low value added prod-
ucts. In this context, technology transfer commonly features large information
and knowledge asymmetry between the transferors and recipients, the recipi-
ents’ dependence on government financial support, and the recipients’ under-
developed business skills. According to theory presented in the recent technol-
ogy transfer literature, transferors and recipients must interact if the technology
transfers are to succeed. However, in spite of the importance of technology
transfer for production improvements by enterprises in rural economies, little is
known about how the two sides interact when technologies to fit the small-
scale production context are transferred. To address this knowledge gap, this
thesis focuses on how rural enterprises adapt and use technologies that are col-
laboratively developed with universities with the support of governments and
non-governmental organisations (NGOs). Empirically, the thesis analyses tech-
nology transfer aimed at improving silk, fish, and coffee production in Cauca, a
region in Colombia. The thesis uses Situated Learning Theory, action research,
and case study methodology.
Research question # 1: How do intermediaries influence technology transfer of
intermediate technologies in rural enterprises of developing economies? The
thesis shows that intermediaries broker and facilitate (organise) the interaction
between universities and cooperatives and rural enterprises. Crucial collabora-
tive activities for this research include workshops, fields visits, and training
sessions that involve rural enterprises and universities working to identify and
solving problems related to the use of new technologies.
Research question # 2: Which features of the participants and their relations
affect the transfer of intermediate technologies in rural developing economies?
The thesis identifies the following seven features of technology transfer in rural
developing economies:
i) Absorptive capacity,
ii) Understanding of the technology source and market maturity,
iii) Cultural and geographic proximity between transferor and recipient,
iv) Recipients’ comprehension of the financial implications of the technology
transfer,
v) Intermediaries that connect transferor and recipient,
vi) Institutional networks that adapt the technology to local needs, and
vii) Prior experience in technology transfer projects.
Although the last three features are only dealt with to a limited extent in the
technology transfer literature, this research revealed their relevance to how
participants interact and to the success of the technology transfer.
Research question # 3: How do ‘systems’ of technology transfer evolve in rural
developing economies? The answer to this question contributes to the
technology transfer literature through the explanations (with illustrations) of
how such systems emerge over time. In its analysis of problem formulation and
problem solution as the mechanisms needed for system evolution, the thesis
shows how technology transfer systems for fish production and silk production
in Cauca, Colombia, evolved. The thesis shows the sequential nature of system
evolution in which problem types are identified and acted upon over time so
that the system becomes more technology-related, customer understanding-
related, and market- and distribution-oriented. The thesis also shows how pro-
jects can be used to coordinate system evolution and advance the relevant ac-
tors’ professionalization.
Keywords: technology transfer, process, communities of practice, intermediate
technologies, developing economies, longitudinal technology transfer studies
In memory of my friend Jo-
nas Rundquist and my grand-
parents Josefina Campo,
Eliseo Preciado and Josefina
Sánchez. I wish you were
here to share my happiness.
"Cauca, promise of nature and biodiversity, where springs the
water springs and the mountains and plains emerge. Where the
wind blends the scent of the flowers and flight of the condor.
Cauca, territory of multi-ethnic wealth and multi-cultural en-
counters, in which day-by-day its feeling and the essence of its
people take root.
Cauca, rural communities educated and empowered to promote
sustainable development and the productive and social transfor-
mation of their territories".
Luz Stella Pemberthy Gallo
“Cauca promesa de naturaleza y biodiversidad, donde brotan los
nacimientos de agua y emergen las montañas y llanuras. Donde se
cruza el viento, el aroma de las flores y planea el cóndor.
Cauca territorio de riqueza multiétnica y encuentro multicultural,
en el que día a día se arraiga su sentir y la esencia de su gente.
Cauca, comunidades rurales educadas y empoderadas para im-
pulsar el desarrollo sostenible y la transformación productiva y
social de sus territorios”
Luz Stella Pemberthy Gallo
Acknowledgements
The motivation behind my doctoral studies was my personal and professional
interest in, and passion for, the rural communities in Cauca, Colombia. As a
doctoral student, one must conduct one’s research and write one’s thesis in an
independent and self-motivated way. However, a collective effort is required to
develop the skills needed to complete such an endeavour that requires the co-
operation of many people. Throughout the many stages of my thesis work, I
was very fortunate in my excellent supervision committee that encouraged and
supported me at every stage. I would like to express my immense gratitude to
Magnus Holmén, Daniel Ljungberg, Eugenia Pérez Vico, and David Bennett.
I thank especially Magnus Holmén, my main supervisor for his strong com-
mitment to my work and for his honest and perceptive opinions and criticisms.
Daniel, I very much appreciate all the time and effort you put into my work as
well as your positive attitude that always inspired me when my work seemed
most challenging.
Eugenia, you always motivated me to do good work and helped me discover so
many topics related to my research. Your support and insights helped me im-
prove my work in so many ways.
David, it was the greatest pleasure to work with you. It was a honour to work
with a leading scholar in the field of technology transfer. I benefitted greatly
from your knowledge and experience.
And thank you, Björn Claes. You have been a steadfast friend throughout my
research, especially in times when I was under stress. Your advice and sugges-
tions were always appropriate and much welcomed.
And thank you, Nicholas Theodorakopoulos, for your endless encouragement.
Your generous academic support in writing research papers was remarkable!
I am grateful to the Administrative Department of Science, Technology and
Innovation (COLCIENCIAS) for the scholarship that supported my studies,
and to the Foundation for the Future of Colombia (COLFUTURO) for its ex-
cellent management of the COLCIENCIAS budget.
My time in Colombia collecting data and participating in different projects on
development and implementation of technologies for the rural sector was ex-
tremely important for my research. Thank you, Adolfo Plazas and Luz Stella
Pemberthy, for all the lessons you taught me – in the recent four years and in
the nine years prior to that – when we worked together. I am honored to be
member of the Regional Models of Competitiveness Research Group of Uni-
cauca and CREPIC. We have long dreamt that our research would be useful for
Cauca’s communities. I sincerely hope my thesis will contribute to making this
dream come true.
Thank you, Yury Castillo, Omaira Calvo, Cesar Gómez, María Eugenia
Ledezma, Heydy Pabón, Sandra Rebolledo, and Olga Solis. Your assistance
was essential during my data collection and the other activities with the rural
enterprises. Just as essential was your friendship.
I appreciate enormously all the wonderful people of the rural cooperatives in
Cauca. In particular, I thank the Association for the Production and Commer-
cialization of Agricultural and Piscicultural Products in Silvia (Apropesca), the
Corporation for the Development of Sericulture of Cauca (Corseda), the Farm-
ers’ Federation of Cauca (Federación Campesina del Cauca), the Association of
Coffee Producers from Western of Cauca (Asorcafé), and the Regional Coffee
Federation of Cauca. You represent the very best of rural communities in the
beautiful Cauca Department – my home. Despite the many challenges in Cau-
ca, you always work to improve the lives of its people. It has been a very great
privilege to interact with you, to learn from you, and to view the world from
your perspective.
I also want to express my thanks to the University of Cauca (Unicauca), to the
Production and Innovation Regional Centre (CREPIC), and to Javier Hoyos
and Cesar Echeverry in the Technology Park for Innovation in Coffee and Cof-
fee Growing (Tecnicafé). It has been a great pleasure to share ideas and to be
part of the social movement that makes so many dreams come true for the
communities in Cauca.
Many people have reviewed and critiqued my research papers and thesis. I
have received invaluable feedback from Christian Koch, Héléne Laurell, Jonas
Gabrielsson, Henrik Florén, and Michal Lysek. To all of you, I send my heart-
felt thanks!
It would take many pages to name and thank all my wonderful colleagues who
have journeyed with me during my research. Among them are the following:
Mike Danilovic, Maya Hoveskog, Jasmin Lihua Liu, Joakim Tell, Christian
Norr, Jeanette Gullbrand, Henrik Barth, Fawzi Halila, Leif Nordin, Kristian
Widén, Sabrina Luthfa, Faisal Iddris and Jojo Amos. Together, you created the
perfect environment for rich, intellectual discussions.
Sometimes it seems hard to believe, but a doctoral student has a life outside the
ivory tower of Academia! My life was made so much more enjoyable and
sparkling thanks to the company and friendship of other doctoral students in the
Halmstad Research Student Society (HRSS). We have had so many memorable
times together.
I would like to thank Carlos Cáceres –a true friend who made me feel that Co-
lombia is not so far away, after all.
The only downside of life in Sweden has been the distance from my
beloved family in Colombia. However, the strong ties that bind us have
has never weakened, despite this distance. I would never have been able to
complete this research and my thesis without their moral support. Thanks to
everyone: my father Luis, my mother Luz Mar, my siblings Claudia and
Gardel, my boy-friend Paul, my aunts Melva and Alma, and my uncles Jair,
Vladimir, and El-vert. You are the best of me. My achievements are because of
you.
I dedicate this thesis to my friend and first supervisor, Jonas Rundquist,
who showed me the Swedish culture at its best and most authentic way. I
miss you dearly, but strongly I believe you still are looking after me.
Last but not least, I thank all my friends outside academia who gave me
many opportunities to relax and try new things.
Halmstad, 12th January 2018
Deycy Janeth Sánchez Preciado
List of appended papers
This doctoral thesis is based on the five papers listed below and an introductory
text consisting of 10 chapters.
The five appended papers are the following:
Theodorakopoulos, N., Preciado, D. J. S., & Bennett, D. (2012). Transferring
technology from university to rural industry within a developing economy
context: The case for nurturing communities of practice. Technovation, 32(9),
550-559.
Theodorakopoulos, N., Bennett, D., & Sánchez Preciado, D. J. (2014).
Intermediation for technology diffusion and user innovation in a developing
rural economy: A social learning perspective. Entrepreneurship & Regional
Development, 26(7-8), 645-662.
Sánchez Preciado, D. J., Claes, B., & Theodorakopoulos, N. (2016).
Transferring intermediate technologies to rural enterprises in developing
economies: a conceptual framework. Prometheus, 34(2), 153-170.
Sánchez Preciado, D. J. (2018). Enabling transfer of intermediate technologies
- A rural business project case in rural Colombia.
Submitted to Journal of Rural Studies.
Sánchez Preciado, D. J., Holmén, M. & Ljungberg, D. (2018). Evolution of
systems of technology transfer in rural developing economies.
Submitted to 17th Conference International Schumpeter Society.
Abbreviations
SLT Situated Learning Theory
CoP Community of Practice
NGO Non-governmental organisation
CORSEDA Corporation for the Development of the Sericulture
of Cauca
APROPESCA Association for the Production and Commercializa-
tion of Agricultural and Piscicultural Products in
Silvia
Colombian Coffee Growers Federation
ANTUVENT Association of Producers of Anturios of Ventanas
Caldono
FANAL Rural Federation of Cauca
DANE National Administrative Department of Statistics
ICONTEC Colombian Institute of Technical Norms and Certi-
fications
Contents
1. Introduction .................................................................................................................1
2. Background and motivation of this thesis .......................................................................5
2.1 What is specific about technology transfer in this thesis? .....................................................7
2.2 Research questions, overall research design, and outline .................................................... 13
3. The Rural Economy of Cauca in Colombia ............................................................ 17
3.1 Cauca - Colombia: Empirical context for this study ........................................................... 18
3.2 A brief look at the background of Cauca – Colombia in the last two decades ........................ 19
4. Relevant Concepts used in this Thesis .................................................................... 26
4.1 Intermediate and low technologies .................................................................................. 27
4.2 Innovation .................................................................................................................... 31
4.3 Rural enterprises ........................................................................................................... 32
5. Literature ................................................................................................................... 34
5.1 Technology transfer in rural developing economies: a distinct type of technology transfer ..... 34
5.2 Situated Learning Theory ............................................................................................... 36
5.3 Systems and evolution ................................................................................................... 37
6. Research Design and Methods................................................................................. 40
6.1 Overarching research design ........................................................................................... 40
6.1.1 Case selection ....................................................................................................... 47
6.2 Data collection .............................................................................................................. 49
6.2.1 Case descriptions .......................................................................................... 51
6.2.2 Context of data collection: Programme of projects ............................................ 52
6.3 Data analysis ................................................................................................................ 54
6.4 Reflections on the research process and my role................................................................ 55
6.5 Soundness of my research: Methodological reflections ...................................................... 56
7. Summary of Papers .................................................................................................. 59
7.1 Paper 1 ......................................................................................................................... 59
7.2 Paper 2 ......................................................................................................................... 60
7.3 Paper 3 ......................................................................................................................... 62
7.4 Paper 4 ......................................................................................................................... 63
7.5 Paper 5 ......................................................................................................................... 64
8. Conclusions ............................................................................................................... 70
9. Discussion and Implications .................................................................................... 77
10. Areas for Future Research........................................................................................ 80
10.1 Assessment of the identified enablers in other developing countries .................................. 80
10.2 Effects of technology transfer processes ......................................................................... 81
10.3 Failed technology transfer experiences in developing economies....................................... 82
11. References ................................................................................................................. 83
1
1. Introduction
This thesis contributes to the literature on technology transfer through its
study of technology transfer processes in rural developing economies. The
empirical focus of the thesis is how technology and knowledge are created
and then transferred to rural communities in three industrial sectors in the
Department of Cauca in Colombia. Technology transfer is crucially
important in rural developing economies as it influences recipients’
innovation capacity and their competitiveness (Bennett and Vaidya, 2005;
Cooke and Mayes, 1996 ).
The thesis focuses on how the recipients of technology transfer adapt and
use the technologies and on how they organise and interact in this process.
Improvements from such transfers may occur in many of the recipients’
dimensions such as the financial dimension and the technological dimension
(cf. Klevorick et al., 1995). The thesis also examines how transferors,
recipients, and intermediaries interact before and after the technology is
transferred. The transferors may be universities, policy actors, or
multinational corporations. The recipients may be rural enterprises such as
small-scale producers or cooperatives for small-scale producers. The
intermediaries may be non-governmental organisations (NGOs) such as
independent think tanks and research and advisory (service provider)
centres. Technology transfer can be a pecuniary or non-pecuniary transac-
tion of technology from a transferor to a recipient. For rural developing
economies, the recipients rarely pay for the access to the technology. Fur-
thermore, it is typical to find great knowledge asymmetry between the par-
ticipants (transferors and recipients).
For purposes of this thesis, technology transfer refers to the process of mov-
ing established technologies, including tools (technoware), facts (infoware),
skills (humanware), and routines (orgaware) (Smith and Sharif, 2007) from
transferors to recipients. Technology transfer may be said to contribute to
the adaptation and use of new technologies during the flow of activities
from a transferor to a recipient. A major focus of the research in this area is
the transaction between participants with little attention paid to the nature of
2
the relationship (e.g. Williams and Gibson, 1990). However, while some
researchers recognize the importance of the relationship, they treat
technology transfer as as a linear or uni-directional process (Bradley et al.,
2013; Dunning, 1983; Siegel et al., 2004). That is, some literature on
technology transfer analyses the technology transfer process implicitly by
taking a linear approach, such as found in many studies of the transfer from
universities to industry recipients.
Other researchers argue that the linear approach to technology transfer fails
to explain how the participants interact in the process. Among these
researchers, a few study technology transfer using more interactive models
(e.g. Bessant and Francis, 2005). Such researchers argue that in reality the
interaction among the participants is one of mutual learning and adaptation
(Parejo, 1998). These interactive models based on mutual learning are con-
sidered particularly useful for exploring technology transfer in developing
economies where relatively weak national innovation systems negatively
affect technology transfer, leading to slow growth in human capital devel-
opment (Arocena and Sutz, 2001).
One difficulty with the national or regional innovation systems in develop-
ing economies is that their science and technology organisations perform
weakly, at least when compared to similar organisations in developed
economies (Bastos and Cooper, 2005; Bebbington and Thiele, 1993;
Beddington and Farrington, 2007). Despite policy-makers’ recent ambitions
to build ‘triple helix’ cooperative relationships among universities,
governments, and rural industries in developing economies, the links and
interactions among these stakeholders are still tenuous (Beddington and
Farrington, 2007; Cimoli et al., 2005; Kaimovitz, 1993).
Various proposals to improve technology transfer in developing economies
include the creation of new organisations, both within universities and out-
side universities (Aroneca and Sultz, 2001). The idea is that such
organisations can act as bridges in a ‘system’ where the poor use of
knowledge and technology for economic growth is the result of ‘structurally
unachieved’ national systems of innovation and the social ‘loneliness’ of
universities (Arocena and Sutz, 2001). To establish institutional
arrangements that can support the interaction among universities,
businesses, NGOS, and government organisations, more independent think
tanks and research and advisory (service provider) centres are needed.
These intermediaries can potentially play a significant role in coordinating
stakeholders and facilitating the technology transfer process in various
3
sectors such as the agri-food industry (Beddington and Farrington, 2007;
Pietrobelli and Rabellotti, 2004; Vorontas, 2002). NGOs also have the
flexibility to interact in the technology transfer process without the having
to follow the restrictions imposed by governmental/industrial regulations
and processes that may impede the interaction. As an example, continued
assistance by government organisations depends on the aims of ever-
changing administrations. NGOs are to a large extent unaffected by changes
in elected government officials.
The structure of this thesis is as follows. Chapter 2 presents the background
and motivation of this thesis and describes its relevance to the thesis aims.
Chapter 3 describes the rural economy of Cauca in Colombia as the
geographical area under study. Chapter 4 explains the relevant concepts
used in this thesis. Chapter 5 presents the literature that guide the analysis of
empirical data. Chapter 6 describes the research design and methods used in
the research. Chapter 7 summarizes the five appended papers. Chapter 8
presents the conclusions of the thesis, with specific reference to the three
research questions. Chapter 9 discusses the contributions and implications
of the thesis. Chapter 10 proposes areas for future research.
4
5
2. Background and motivation of this thesis
Since 2004, I have worked in 17 development projects in Cauca, Colombia
aimed at implementing policies for rural, small-scale producers.
International and national sponsors have funded these projects that provided
the resources to implement the technologies the producers needed for
production, management, commercialization, marketing, and innovation.
Before 2000, these policies were set without consideration of the producers’
motivations and needs in indigenous communities.1 Many of the projects
undertaken in those years that were intended to help producers sell
improved products failed. The intent of the policies set after 2000 was to
change the nature of the technology transfer.
Arguably, the main difficulties in achieving the goals of the failed projects
were caused by the poor involvement of the government organisations in the
communities. Although the goal of developing the rural sector was sincere,
in hindsight the mechanisms used were unrealistic, given the conditions in
Cauca. For example, Cauca has two parallel governmental systems. One
system is the “normal” national government, elected by the voters, that is
similar to other democratic governments. The second system represents the
indigenous communities. In this system, the government regulates the
communal property of the land and makes the laws in its domain. Because
both governmental systems must approve most projects and programmes,
delays occur. In short, the indigenous and non-indigenous communities,
working with public and private organisations, have to analyse, agree on,
and integrate plans and agendas before work can begin.
After 2000, under the leadership of the University of Cauca, the Regional
Government of Cauca, the Chamber of Commerce, and other organisations,
an agenda for the development of science and technology in Cauca was
1 Community in this thesis refers to a group of people who share values, identity, and sense
of geographic place (James et al., 2012).
6
developed and introduced. A key feature of the agenda was to develop solu-
tions for local needs based on the communities’ priorities for the develop-
ment and use of science and technology.
This thesis takes this newer policy approach to enabling and analysing tech-
nology transfer processes. In particular, this thesis features the following:
i) an analysis of longitudinal studies on development and implementation of
technologies for production;
ii) an analysis of roles that intermediary organisations play in facilitating the
development of the technology transfer processes;
iii) the identification, definition, and empirical assessment of enablers of
technology transfer processes involving participant organisations and their
contexts; and
iv) a study of the gradual evolution in the technology transfer system used
by relevant actors.
Some areas in rural developing economies face a particular dilemma as far
as technology transfers. These economies are often ethnically and/or cultur-
ally diverse, based on small scale production, and their industries typically
produce products using low levels of specialization. In addition, the socio-
economic situation in many rural developing economies is often precarious.
Basic needs (e.g. healthcare, infrastructure, education, etc.) may be barely
met (UNIDO, 2008). Moreover, most rural, small-scale producers lack the
scientific knowledge and financial resources to create technologies by them-
selves. Therefore, the acquisition of new technologies and the access to
international innovation systems for such producers is a critically important
aspect of economic policy (Keller, 2004; Nabin et al., 2013).
Technology transfer is viewed as a key mechanism that can be used to im-
prove the well-being of such rural populations and the performance of their
enterprises (Metz, 2000). Government organisations and NGOs are essential
for the selection and implementation of rural technology transfer pro-
grammes.
7
2.1 What is specific about technology transfer in this
thesis? To understand the main conclusions in my thesis, it is necessary to first
present the findings from the literature on technology transfer in general,
technology transfer in developing countries, and technology transfer in rural
developing economies. The elements that connect these three subgroups of
the technology transfer field contributed to the research reported on in this
thesis. I summarize those elements next.
First, the literature establishes that technology transfer in rural areas is in-
tended to accomplish the following:
i) to satisfy basic human needs such as energy, water, food, and shelter (e.g.
Acker and Kammen, 1996; Barnes, 2012);
ii) to reduce pressure on the environment through the adoption of renewable
energy sources and the use of systems that reduce water pollution, land con-
tamination, and biodiversity damage (e.g. Eakin and Lemos, 2006);
iii) to increase productivity through the use of more efficient technology
(e.g. Dark, 1987; Hyman, 1990);
iv) to promote innovation in the development of new products, services,
business models, and financial models (e.g. Baker and Edmonds, 2004); and
v) to advance productivity initiatives for rural enterprises.
The technology transfer in focus in this thesis is a process that can help rural
enterprises become more productive and profitable. The new technologies
described in this thesis have helped recipients produce products using fewer
natural resources and/or with more desirable customer features. These new
technologies include management practices and procedures, tools and
equipment, manufacturing systems, marketing programmes, and network
management structures. In this respect, the thesis takes a broader view of
technology transfer than is typically described in the literature where mostly
tangible technologies – machines, supplies, and production platforms – are
featured (e.g. Janis, 2003). In short, this thesis deals with both the tangible
and intangible aspects of technology transfer (see Hayami and Ruttan,
1971).
8
Second, many technology transfer studies set in rural areas address the
involvement of the recipients. For example, many studies examine
interventionist approaches to technology transfer in rural agri-food
industries. These are industries in which the technology recipients often take
an active role in developing and adapting technological solutions to meet
their special circumstances (Kinsey, 1987). This thesis also focuses on the
close involvement of recipients in technology transfers.
Third, rural enterprises are featured in this thesis. Such enterprises are
generally small and medium-sized family or community ventures in
developing economies (Martin, 2010). Very few rural enterprises are large
enough to exploit economies of scale or to have international markets or
suppliers. In this thesis, rural enterprises are organisations collectively oper-
ated by small-scale producers2 such as, for example, the township village
enterprises found in China (Dacosta and Carroll, 2001; Li and Karakowsky,
2001), community-based enterprises (Handy et al., 2011; Peredo and
Chrisman, 2006), or community-based cooperatives (Li et al., 2013). What
sets these enterprises apart from technology transfer recipients studied in
much of the literature is that they operate as collectives or collaborative
networks rather than as stand-alone entities or as individuals.
A finding of this thesis is that the assumptions in the general technology
transfer literature are not generally applicable to rural developing economies
in which most recipients (the producers) lack the education needed to
participate in the technology transfer process and to understand the benefits
(financial, market, technical, and managerial) the new technology can
provide. The significant knowledge asymmetry between recipient and
transferor in such economies creates difficulties in the negotiations and
decision-making related to technologies and technology transfer. Table 1
summarizes the different foci of the literature and this thesis with respect to
technology transfer.
2 A producer is an individual, small-scale farmer who, as a member of a cooperative, produces the main product that the rural enterprise sells.
9
Table 1. Differences in technology transfer as presented in the literature
and in this thesis
Common focus of the literature on
technology transfer
Focus of this thesis on technology
transfer
Participants
Type of considered actors
Transferors and recipients are the main actors of the interaction (e.g.
Alessandrini et al., 2013).
In addition to transferors and recipi-
ents, the intermediaries connect transferor and recipient, promoting
division of labour (Baker and Ed-
monds, 2004).
Disposition for changing internal routines.
Recipients can relatively quickly
change their current situation by introducing new routines (e.g. Fitz-
gerald, 1992).
‘Cultural rigidity’ of recipients ham-pers their willingness and ability to
change routines (Ison and Russell,
2000).
Knowledge on the technology of
transfer. Recipients and transferors share
knowledge and have well-
functioning communications
(Lichtenthaler and Lichtenthaler, 2010).
High knowledge asymmetry exists
between recipients and transferors, which makes communication diffi-
cult (Jedlicka, 1977).
Role of recipients
Transferors actively develop the technology for the essentially pas-
sive recipients (e.g. Decter et al.,
2007).
Transferors and recipients work
collaboratively to develop and im-plement technologies (Kunju, 1992).
University and intermediation The university as transferor uses
technology transfer offices to nego-
tiate the legal rights to use the intel-lectual property rights (Siegel et al.,
2007).
The university uses external organi-sations and governmental pro-
grammes to provide financial sup-
port for the development and trans-fer of the technology (Hayami and
Ruttan, 1971; Kaimowitz et al.
1990).
Routine intervention Technology transfer occurs without
intervention in the recipient’s rou-
tines (e.g. Gilsing et al., 2011).
Technology transfer commonly changes the recipient’s routines
(Campbell, 1990).
10
Table 1. Differences in technology transfer as presented in the literature
and in this thesis
Common focus of the literature on
technology transfer
Focus of this thesis on technology
transfer
Participants
Ex ante technological knowledge of
the recipient Recipient decides in advance the
benefits of the use of the new tech-
nology (e.g. Magnusson and Johans-son, 2008).
Recipients lack financial, technical,
and managerial knowledge to decide the benefits of the new technology
(Lilleør and Lund-Sørensen, 2013).
Process
Direction of technology transfer
Uni-directional transfer of artifacts and knowledge from transferors to
recipients (e.g. Cardozo et al., 2011).
Bi-directional transfer of knowledge
(Jedlicka, 1977).
Process view
Structural view of the process based on input-output relationships (e.g.
Teasley and Robinson, 2005).
Process viewed from the perspective
of the interaction among the partici-pants (Baker and Edmonds, 2004).
Determinant of complexity
Technology complexity depends on the R&D level (e.g. Alshumaimri et
al., 2010).
In addition to technological com-
plexity, relational complexity arises from participant interdependencies
(Chatterji, 1990).
Time Cross-sectional view of the process
(e.g. Hayami and Ruttan, 1971).
Longitudinal view of the process (Garud and Nayyar, 1994; Kai-
mowitz et al., 1990).
In developed economies, sophisticated technologies are usually registered,
thereby establishing intellectual property rights. Such registration indicates
that the technology developer has highly specialized knowledge of some
kind. However, less sophisticated technologies are commonly transferred to
recipients as problem solutions in rural developing economies. In such
economies, financial constraints or knowledge constraints mean the use of
sophisticated technologies is impractical, even impossible. This thesis
examines the introduction of less sophisticated solutions when the
participants in the transfer collaboratively create the conditions that allow
for successful adoption of the technologies in spite of the above-stated
limitations.
11
Less sophisticated technologies are identified in this thesis as “intermediate
technologies”. This is a term that developed following Schumacher (1973).3
According to Schumacher, (2011), intermediate technologies would be more
more productive than indigenous technology (which is often in a condition
of decay). Intermediate technologies would also be much cheaper than the
sophisticated, highly capital-intensive technology of modern industry. With
the use of intermediate technologies, many workplaces might be created
within a fairly short time and would be within reach of the more
enterprising minority people in a region, not only in financial terms but also
in terms of their education, aptitude, organising skill, and so forth.
Furthermore, intermediate technologies also take into account people’s
opinions and capabilities and not just the machinery or abstract descriptions.
For example, producers discuss their technology constraints with research-
ers, leading to researcher modifications in the technology so that producers
can use it. This active role of the recipients has a positive effect on the cost
and performance of the intermediate technology.
Intermediate technologies are crucial in the development of rural economies
(e.g. Cimoli et al., 2005; Saad and Zawdie, 2005). Thus, the topic warrants
further investigation. In particular, many authors (e.g. Rodrik, 1999;
Spithoven et al., 2011) argue the factors that facilitate the transfer of tech-
nology to rural enterprises in developing economies merit further study.
In small-scale production activities in rural developing economies, the
producers often operate independently although, at times, organisations
coordinate many of their activities. The producers, governments, or NGOs
may create these organisations.
Box 1 presents an example of an intermediate technology studied in this
thesis.
3 Schumacher (2011, p. 149) wrote: “We can call the indigenous technology
of a developing country-symbolically speaking-a £1 - technology, while that of the developed countries could be called a £1000 - technology. The gap between these two technologies is so enormous that a transition from the one to the other is simply impossible. If effective help is to be brought to those who need it most, a technology is required which would range in some intermediate position between the £1 - technology and the £1000 - technology. Let’s us call it - again symbolically speaking - a £100 -technology.”
12
Why does Cauca, Colombia, offer a relevant setting for the study of
technology transfer processes? Cauca exemplifies the small-scale producer
conditions in rural developing economies where the producers strive to
13
maintain a balance between the traditional means of production with the
new alternatives offered by the government or universities. The Cauca pro-
ducers operate in geographic areas in which the support by institutions at the
national and regional levels, however, is unpredictable because of frequent
changes in policies, human resources, financial plans in the public sector
and civil unrest (or the remnants thereof) that have plagued the region for
the last 50 years. The rural areas in particular suffer from the violence that is
a consequence of the illicit drugs production (Hristov, 2005).
2.2 Research questions, overall research design, and
outline This thesis was designed during the implementation of a technology
programme under the guidance of academic-related research and advisory
centres. The programme was established for intermediate technology
transfer in a rural developing economy (Cauca, Colombia). The programme
sucessfully brought together academic researchers, the local government,
and pisciculture (fishing), silk, and coffee industry stakeholders. The
programme was designed to address the lack of technology transfer to these
owners/managers of rural enterprises. These three industry sectors were
identified as of strategic importance in Colombia, given the country’s need
to increase and support rural industries (Cruz-Casalias et al., 2011).
The three main research questions (RQ) in this thesis are the following:
RQ #1: How do intermediaries influence technology transfer of
intermediate technologies in rural enterprises of developing economies?
This research question is motivated by the fact that the technology transfer
literature claims that intermediaries facilitate communication and support to
recipients, but does not explain how this transfer occurs (e.g. Alessandrini et
al., 2013; Baker and Edmonds, 2004). Much of the literature focuses mainly
on improving the transferor’s business (e.g. Carlsson and Fridh, 2002). This
thesis, in contrast, is concerned with how technology transfer benefits the
recipient’s business in the collaborative process. The role of the
intermediary changes the dynamic of the interaction between transferor and
recipient, and supports improvements to the recipient’s business.
RQ #2: Which features of the participants and their relations affect the
transfer of intermediate technologies in rural developing economies?
The technology transfer literature mainly deals with the interaction between
multinational companies in developed countries and their subsidiaries in
14
developing countries. This literature describes the factors that facilitate
international technology transfer in general (e.g. Rabino, 1989). However,
factors that specifically enable technology transfer in rural developing
economies are insufficiently studied. Moreover, factors that influence the
process in rural areas are not explicitly identified. The extant literature tends
to examine various factors related to technology transfer with little
consideration paid to their evolution. By contrast, the literature on rural
technology transfer reveals best practices (e.g. Röling, 1990) and facilitators
(e.g. Hill, 1964) in the technology transfer to recipients. Yet even this
literature does not offer a framework in which all factors are linked and
discussed.
RQ #3: How do ‘systems’ of technology transfer evolve in rural developing
economies?
The literature does not address the gradual changes in organisational
systems engaged in the technology transfer process (e.g. Garud and Nayyar,
1994). Thus, this research question is motivated by empirical observations
in the literature from longitudinal studies on technology transfer related to
national or local economic change (e.g. Hayami and Ruttan, 1971).
However, to the best of my knowledge, no study examines how technology
transfer evolves through changes in actors, their roles, their relationships,
their knowledge, and their actions. The aim of this research question is to
learn more about the dynamic context of producers in the technology
transfer process.
To answer RQ #1, I refer to Stewart and Hyysalo’s (2008) social learning in
technological innovation (SLTI) framework. The use of Situated Learning
Theory (Brown and Duguid, 1991, 1998, 2001; Lave and Wenger, 1989;
Swan et al., 2002; Wenger, 1998, 2000) supports the creation of an
analytical framework that identifies the role of intermediaries as
organisations capable of facilitating technology transfer through communi-
ties of practice (CoP) (Lave and Wenger, 1991; Wenger, 1998).
To answer RQ # 2, I review the technology transfer literature in order to
create a framework for technology transfer enablers in developing rural
economies. This framework, which includes intermediaries as participants
in the technology transfer process, is used in a longitudinal case study. The
framework is useful for understanding the interactive technology transfer
model.
15
To answer RQ #3, I analyse the emergence of a system of actors engaged in
technology transfer from an evolutionary perspective. The aim of this analy-
sis is to capture how recipients, transferors, and intermediaries interactively
formulate and solve problems.
In this thesis, I empirically focus on how low and intermediate technologies
are integrated in the technology transfer system and on how they promote
learning and a wider range of capabilities among the participants (recipients,
transferors, and intermediaries) that can be used in more ambitious collabo-
rations. This focus allows the analysis of how technology transfer evolves
from a very low division of labour, little knowledge of management of
technology, few available problem-solving options, and few available
problem-solving resources. This evolution is based on the assumption that
complex problems require complex solutions. Such solutions, which do not
emerge easily, involve changes made over long periods of time.
I chose to study technology transfer using mixed method data collection in
case studies and action research. In addition to conducting semi-structured
interviews with relevant participants, I collected other data from participant
and non-participant observations and from direct interaction with the
participants over extended time periods. In the direct interaction, I observed
participants in workshops and on farm visits.
I also conducted a document review because of the personal characteristics
of some rural enterprise members in indigenous and racially mixed
communities. These characteristics included low education levels and
limited oral and written communication skills. Some members of indigenous
communities have a regional dialect as their first language instead of
Spanish. In addition, the vocabularies of the racially mixed communities are
not sufficiently rich to express complex ideas clearly. Finally, the socio-
economic hierarchy of the members influences their interaction with
producers and other organisations in the technology transfer process.
The research for this thesis was conducted during an interventionist
programme. My role as a researcher was to design and implement activities
that would promote the interaction between the participants and to support
the research teams, the intermediaries, and the rural enterprises with the
introduction of new business technologies. As such, the programme offered
a rich setting for the study because the rural organisations were motivated to
play an active role in the interaction between transferors and recipients. I
argue that this investigation of the collaboration between transferors and
16
recipients requires a close and deep understanding of the situation. An
interventionist approach allows the researcher to participate at different
levels, sometimes as an observer and sometimes as a member of the
transferor organisation.
This thesis reveals the importance of understanding how the setting and the
participants (recipients, transferors, and intermediaries) are important for
organising and facilitating the technology transfer and for its subsequent
adaptation and use.
The research for this thesis derives from 13 interconnected research
projects. The thesis design was developed during the execution of these
projects. Seven of these projects provided the empirical data that resulted in
five research papers (summarized in Section 5 and appended to the thesis).
Papers 1, 2, and 3 were published in peer-reviewed journals. Paper 4 has
been submitted to a peer-reviewed journal. Paper 5 has been submitted to a
peer-reviewed academic conference.
17
3. The Rural Economy of Cauca in Colombia
This section provides an overview of the context of the thesis research in
order to highlight the “situatedness” of the researcher and the team respon-
sible for conducting the seven research projects previously mentioned.
Developing economies are a highly heterogeneous group in terms of eco-
nomic size, population, per capita income, and growth performance in the
recent decade (OECD, 2010 a, b). To create a business environment that
could sustain growth, facilitate further development and diversification, and
at the same time could generate better living conditions for the population in
the short and medium term, governments in developing economies in the
1980s and 1990s have actively sought foreign direct investment (FDI) using
various financial and fiscal incentive schemes (Fu et., al., 2011); import
substitution (Lall, 2004), and trade channel technology transfers (Saggi,
2002). Apart from attracting hard currency, the goal of these FDIs is to de-
velop innovation capabilities through the transfer of technology from the
foreign companies to the local industries. While the results of this process
have been successful in some countries, the benefits for the majority of de-
veloping economies are much less clear (e.g. De Mello, 1997).
Agri-food industries constitute sectors of strategic importance, specifically
in Colombia and more generally in many Latin American countries. Policies
targeting natural resource-based sectors are based on the premise that up-
grading can be fostered by technology improvements and by diffusion of
best practices in technology use. This premise underpins the adoption of
quality and environmental standards that create common assets for the ac-
tors involved and enable access to a global value chain with promising op-
portunities (Bastos and Cooper, 2005; Cimoli et al., 2005; Correa, 1995;
Pietrobelli and Rabellotti, 2004).
To this end, policy-making has been geared towards promoting stakeholder
collaboration in research and in dissemination of technology (e.g. by univer-
18
sities/NGOs/governments/technology recipients), improving the skills and
abilities of existing small-scale producers, and facilitating the entry of pro-
ducers. Importantly, such efforts aim at promoting linkages amongst agri-
food entities for technology dissemination, resulting in collective efficiency.
However, traditional research institutions are not adequately equipped to
meet the challenges related to transferring the technology that Latin Ameri-
can agri-food systems need. Two critical challenges facing universities and
governments in the region are obsolete institutional structures and the lack
of stable funding for agricultural and natural resource management research
(Bastos and Cooper, 2005; Beddington and Farrington, 2007; Cimoli et al.,
2005; Kaimovitz, 1993).
In particular, the economy in Colombia, which is traditionally agricultural,
in general lacks the integral competitive strategies that would allow the
country to reach markets with more added value. In the attempt to mitigate
the effects of globalization, several efforts have been made to consolidate
chains of value focused on productive chains of far-reaching extension with
large-scale producers. In some cases, productive chains of small-scale rural
producers have shown incipient but quite encouraging results. Given this
outcome, it is possible to conclude that it is necessary to develop the techno-
logical innovation across the value chains.
3.1 Cauca - Colombia: Empirical context for this study Cauca is a region of Colombia with an area of 29.308 Km2 and GDP per
capita of US$ 6.855 (2016). Cauca is located in the southwest area of Co-
lombia with a population of 1.379.070 habitants, distributed in the following
way: racially mixed and white - 56.31%, African descendants - 22.19%, and
indigenous peoples - 21.5%. Paeces and Guambianos are the largest indige-
nous groups. There are conflicts over land ownership.
Cauca´s economy is based mainly on agriculture, livestock, forestry, fish-
ing, and trade. Recently, agriculture has been improved and modernized.
The main crops are coffee, sugar cane, cane panela (unrefined whole cane
sugar), conventional corn, rice, corn tech, banana, fique (vegetable fibre
obtained from a leaf), cassava, potatoes, tomatoes, blackberries, asparagus,
coconut, sorghum, cocoa, groundnut, and palm. Cattle husbandry for meat
and milk production is an important economic activity for local consump-
tion.
19
Gold, silver and platinum are extracted in the Pacific region of Cauca. Non-
precious minerals that are extracted are sulphur, asbestos, limestone, talc,
gypsum, and coal. At the same time, illegal exploitation of gold mines gen-
erates financial support for criminal groups and guerrilla groups. According
to the United Nations, this is a region with large land areas dedicated to
cultivation of coca leaves, which is the raw material for cocaine production.
In the past, this activity made Cauca one of the most dangerous territories
for the armed conflict between the government military forces and the
FARC and ELN guerrilla groups. Historically, Cauca is a region in Colom-
bia with a large indigenous population where coca leaves are used as medi-
cine and food and where the use of coca leaves is part of the culture. Coca
production for use in these activities is legal according to the Colombian
Government.
The manufacturing industry in Cauca is primarily located in the cities of
Popayán, Santander de Quilichao, and Puerto Tejada. Production consists of
food, beverages, dairy products, paper, packaging, wood processing, sugar
refining, and paper processing for export.
Around the year 2000, Cauca began to consolidate its institutions, networks,
and processes with the goal of increasing its regional competitiveness.
However, according to the CEPAL report (Ramírez et. al., 2013), the region
still suffers from i) the heterogeneity of productive activities, ii) the relative
poor progress of its competitiveness, iii) the low level of wealth, and iv) the
under-developed science and technology. However, recently there has been
a significant increase in medium-low level infrastructure, advances in medi-
um-low level human capital development, and sustained progress in public
finance management and security. The regional development agenda em-
phasizes economic and research development relative to the natural re-
source-based industries.
3.2 A brief look at the background of Cauca – Colom-
bia in the last two decades In 1999, the regional government in Cauca realized it needed to find alterna-
tives to Neoliberalism as a concrete development strategy for the entry of
the region into the global economy (Prospective Plan Cauca 2020, 2000).4
4 This was a four-year project, using participatory tools, that defined the idea of development
the communities in Cauca wanted to achieve between 2000 and 2020. The project considered
various development areas such as the following: science and technology for solving prob-
20
In particular, local actors explored the opportunities offered by the theories
of the Endogenous Development (Gómez, 2017) and the statements on sys-
temic competitiveness. These theories and statements stress the importance
of networks and social stakeholders as responsible actors in a process of
growth with equity and social inclusion.
The construction of an alternative development model involves a technolo-
gy and knowledge management strategy able to support the dialog with
farmers who have valuable traditional knowledge. Such knowledge is main-
ly tacit among the actors of the local support institutions who work exten-
sively with codified knowledge, especially concerning markets and technol-
ogies, which are critical areas for rural communities in a global context.
The emergence of the global economy has deep implications for the sustain-
ability of small-scale rural producers in Cauca and in Colombia. The re-
definition of the competitive position of the country in the globalization
processes, which have influenced different sectors of the economy, has left
behind a majority of small-scale rural producers. The reasons include the
following: i) reduction of Government support in technical assistance and
research: ii) open competition with foreign products, which are largely sub-
sidized by their countries: and iii) the division and regionalization of the
responsibility necessary to support the rural sector, which means greater
responsibilities with smaller budgets. As a result, there is a deep crisis in the
agrarian economy that especially affects areas of rural majority, such as the
Department of Cauca.
However, globalization has also created new opportunities in new markets
for these small-scale producers, especially for tropical products such as
fruits, vegetables, medicinal and aromatic plants, high quality coffees, and
organic products, among others. Similarly, the local leaders, supported by
institutions and the innovators, have gained greater autonomy and have
developed a significant capacity to define and to put into practice their own
strategies and mechanisms that take advantage of the emerging market op-
portunities.
In many regions of Colombia, and particularly in Cauca, there are examples
of small-scale rural producers who have succeeded in penetrating highly
demanding markets with their innovative and competitive products. The
lems in the communities, participation of the communities in the design of political agendas,
management of the water and other natural resources, and ICT for people.
21
result has been a significant improvement in their quality of life. This is due
to the development of integral strategies that combine an articulated and
coherent institutional support, the organisation and partnership of the pro-
ducers, the offer and appropriation of information about the markets, and a
more accurate technological administration. However, so far, these success-
ful examples are very limited, which makes them unique exceptions to the
reality of the widespread economic crisis among the country’s rural popula-
tion.
Agro-industrial Productive Chains refer to “actors connected along a chain
producing and delivering goods to consumers through a sequence of activi-
ties” (Henriksen et al., 2010). Among the experiences of small agri-chains
(Agro-industrial Productive Chains), one in particular stands out: “The Cor-
poration for the Development of the Sericulture of Cauca, CORSEDA”.
This agri-chain is the result of the effort of more than 300 rural families
dedicated to the activity of breeding silk worms and the production of buds
and handmade silk fabric. CORSEDA is a second level organisation, formed
by local associations of silk producers and artisans. CORSEDA works in
municipalities such as Popayán, Timbío, El Tambo, Piendamó, Morales,
Caldono, Santander de Quilichao, and Caloto. Through this organisation,
the negotiating capacity of the chain has improved and its production pa-
rameters have been unified. Mainly, however, CORSEDA supports the fam-
ilies in important issues such as social security coverage. Today CORSEDA
has the “Hand Made Quality Signature” granted by the ICONTEC5 and or-
ganic fibre certification. These marks of approval for its products allow
CORSEDA to sell products in international markets.
Today, CORSEDA has developed innovative models of associative organi-
sation, commercialization, strengthening of technical attendance, small
credits, social attendance, and promotion of human development. The out-
come is that the chain can now sell highly competitive products in the inter-
national markets. The chain is an example of a highly integrated value
chain.
5 ICONTEC is the Colombian Institute of Technical Norms and Certifications. It is a private,
non-profit organization. The main activity of ICONTEC is the study, adoption, and promo-
tion of technical standards in the different economic and social activities related to the pri-
vate and governmental sectors in the country. ICONTEC is also involved in quality assur-
ance. It is the largest body for certification of management systems and products in the coun-
try, and provides certification for ISO 9001, 14001, 22000, OHSAS 18001 standards, among
others. (https://www.iso.org/member/1644.html)
22
Currently, the silk farmers have a crisis caused by the deterioration of the
genetic materials of the worm and of the mulberry plant. A new project,
using a national government fund to develop research and development
processes from the university, is intended to create new technologies to
solve these and other problems.
Similarly, there are other organisations such as ANTUVENT (Association
of Producers of Anturios of Ventanas Caldono), which won the National
Prize of Ecology BLUE PLANET 2004-2005 in the General Category, and
Federación Agraria Nacional – FANAL- (Rural Federation of Cauca),
which has succeeded in markets in Germany and the United States due to its
immersion in the fair-trade market and the commercialization of special
coffees. The result is the improvement in the living conditions of 560 rural
families in Cauca.
However, coffee production in Cauca and Colombia is the most successful
activity because of its long tradition and the good practices used. Still, it is
difficult locally to establish similar arrangements for other products. The
Colombian Coffee Growers Federation has more than 80 years of experi-
ence with its research centre, its technical assistance process, and its com-
mercialization in international markets. It is a national cooperative organisa-
tion with offices in each region. Unfortunately, the replication of the best
practices in the rural areas has not achieved good results. Each product,
community, and local context faces different challenges.
The above mentioned successful entries into international markets were
followed by other chains of small-scale producers such as the fish producers
that sell products in local markets.
Motivated by the national policies, diverse projects have defined priorities
and actions in Cauca. One project is called the Internal Agenda of Cauca,
which identifies12 productive options prioritized by the Department of Cau-
ca in its 2006 agenda. With support from the national government, the In-
ternal Agenda promotes five options related to rural production: agri-chains,
specialty coffees, cattle husbandry, vegetable-fruit, and forestry. Two addi-
tional chains may adopt similar strategies, given their rural character: rural
tourism and crafts. In addition, the Internal Agenda is consistent with the
agricultural and agro-industrial productive Chains (Agri-chains) in setting a
high-priority on the economic and social development of the Department of
Cauca. This line has been traditionally classified as the primary sector with
a participation in the Gross Domestic Product`s structure that reaches the
23
21.39%6 and in which the agro-industry represents 49% of the exportable
offer.7
According to the DANE8 statistics and projections, Cauca has a population
of 1.404.205 people, of whom 60% live in rural areas.
The general purpose of the national and regional programmes is the creation
of strategies of intervention for the production chains that hope to transform
their chains of value by the following two actions:
i) the appropriation of integration outlines and the productive articulation
supported in the partnership among producers with some elements of com-
petitive intelligence and technological management that allow them to
achieve the demanding requirements of the current markets;
ii) the combined generation of a new model of articulation between rural
producers and the regional institutionalism for support that establishes the
political guidelines for the generation of capacity for self-management in
the rural organisations.
This thesis examines three product sectors in Cauca: fish, coffee, and silk.
Fish farming, coffee cultivation, and silk production are three agri-industry
sectors that have been identified as “key industries’’ in Cauca, which are
targeted for government intervention (Department of Cauca, 2012). This is
consistent with the policy-making rationale that Latin American economies
benefit mostly from inner technology transfer when their national innova-
tion systems focus on strengthening the absorptive capacity of strategic
industries.
The adoption of new technologies among fish farmers and coffee producers
aimed at reducing production and distribution costs, increases the productiv-
ity, quality, and scale of production and helps farmers access large pro-
curement systems. The technologies adopted during the course of this re-
search were novel for both the farmers and the researchers. In line with the
regional agenda of economic development, social cohesion, and sustainabil-
6 Sitec, 2013 7 Proexport, 2010. 8 National Administrative Department of Statistics commonly -DANE- is responsible for the
planning, compilation, analysis, and dissemination of the Colombian official statistics. Every
ten years, DANE conducts the census of the national population, housing, and other studies
(http://www.dane.gov.co/index.php/en/).
24
ity, the adopted technologies are eco-friendly. They also address innova-
tiveness and environmental considerations. With the benefit of hindsight,
the seven projects9 reported on in this thesis were evaluated as successes by
all the stakeholders involved.
9 The different projects differentially contribute to the five appended papers.
25
26
4. Relevant Concepts used in this Thesis
The use of the concepts in this thesis is strongly influenced by the need to
understand contextual characteristics and the assumption that “technology
transfer process cannot be examined in isolation” (Kunju, 1992). The recog-
nition of the rural community context raises the question of whether science
contributes to problem solving. In this respect, Ison and Russell (2000) ex-
plain the need for a “second-order research and development in which the
role and actions of the researcher are very much part of the interactions
being studied”.
Figure 1 illustrates how main concepts relate to technology transfer. In addi-
tion, concepts such as user-oriented diffusion and appropriation of technol-
ogy are applied.
Figure 1. Main concepts used in the thesis
27
The following section describes main concepts in the thesis.
4.1 Intermediate and low technologies I use a definition of technology suggested by Burgelman et al. (2004, p. 2):
. . . “the theoretical and practical knowledge, skills, and artefacts that can be
used to develop products and services, as well as their production and deliv-
ery systems. Technologies can be embodied in people, materials, cognitive
and physical processes, plant, equipment and tools. Key elements of tech-
nology may be implicit, existing only in an embedded form (like trade se-
crets based on know-how) and may have a large tacit component. Technol-
ogy, thus, is the means to fulfil a human purpose, and as such can include
artifacts or know-how” (cf. Arthur, 2009).
This thesis focuses on technologies that are used and diffused in rural de-
veloping economies. Technology in rural developing economies was intro-
duced to promote development around five decades ago by developed coun-
tries hoping to industrialize agriculture. Subsequently, local organisations
with the government support began to develop solutions using research and
development techniques and solutions (Campbell, 1990).
Box 2 presents examples of technology use in the coffee, fish, and silk pro-
duction in Cauca, Colombia.
Currently, with the diversification of productive activities in rural areas of
developing economies, technologies are diverse. Usually they involve both
a hard and a soft component interacting as a technological package.
A specific type of technology is intermediate technology, which is also
known as appropriate technology. Intermediate technology refers to tech-
nology that is “labour-intensive and will lend itself to use in small-scale
establishments” (Schumacher, 2011, 148). Specifically, in relation to the
rural context, Wood (1984, p. 320) describes intermediate technology as “a
level of technology better than the simple methods used in the rural hinter-
land, more productive than the traditional tools, but far simpler and less
capital-intensive than the modern technology imported from the West”.
According to Wood (1984, p. 321), intermediate technologies are “… rela-
tively small, simple, capital-saving, labour-intensive, and environmentally
less-damaging technologies, suitable for local, small-scale application”.
28
Intermediate technology was identified as one way to fill the gap created by
the disparate knowledge levels between the participants in developing coun-
tries (Bennett et al., 2002; Schumacher, 2011; Wicklein and Kachmar,
2001).
29
Kinsey (1987) stated that developing countries should develop intermediate
technologies that are intensive in the use of abundant factors (labour and
natural resources) but economic in the use of scarce resources (capital and
highly trained personnel). The abundant factors offer advantages in terms of
employment, improved income distribution, and relief of migration prob-
lems from rural to urban areas. Jedlik (1977) suggested that intermediate
technologies can be indigenously produced through the creation of research
and development institutions that can provide R&D services. Similarly,
Burch (1987) described the need for an indigenous technological capability
that can adapt and develop the technology according to the local conditions,
enabling its assimilation. Strong institutional infrastructure is important for
effective R&D and its use by the recipients.
Another way to approach less sophisticated technologies is based on the
R&D intensity in manufacturing sectors. Low technology differs from high
technology by the less advanced level of sophistication or scientific
knowledge used in operations (Czarnitzki and Thorwarth, 2012; Hirsch-
Kreinsen, 2008). In support of this idea, the OECD (2011) classified manu-
facturing industries into categories based upon Research and Development
(R&D) intensity. According to this classification, food production, one of
the most common activities in rural environments, is considered low tech-
nology. However, in this thesis, low technology is more used in non-
manufacturing industries, such as rural mining, rural construction, agricul-
ture, rural tourism, etc.
Low technologies in this classification are connected to low levels of in-
vestments in R&D. As a consequence, low-technology companies compen-
sate for their lack of R&D by developing other resources and other innova-
tive capacities (Palmberg, 2001).
Box 3 presents examples of intermediate technologies and low technologies
that are analysed in this thesis.
30
31
4.2 Innovation Technology transfer has great potential for promoting innovation and com-
petitiveness at regional and national levels (Bennett and Vaidya, 2005). In
this thesis, innovation is based on the Schumpeterian defined as “the com-
mercial or industrial application of something new- a new product, process
or method of production; a new market or source of supply; a new form of
commercial, business, or financial organisation”. (Schumpeter, 1934, p.
xix).
This thesis focuses on process innovation “as the outcome of collaborative
networks where information is exchanged and learning processes happen”
(Knickel et al., 2009, p. 883). The examples in Boxes 1, 2, and 3 mostly
show innovation generated in a collaborative way among universities, rural
enterprises, NGOs, and government organisations.
Diffusion of innovation has been characterized “as the process by which an
innovation is communicated through certain channels over time among the
members of a social system” (Rogers and Shoemaker, 1971, p. 35). Concep-
tually, diffusion of innovations can be connected with diffusion of technol-
ogies (Williams and Gibson, 1990) and the involvement of the user.
In the attempt to analyse technology transfer processes, this thesis identifies
the development of new products, with embedded technology transfer activ-
ities, that could become innovations. These product development processes
are completed in the R&D phase and implemented for the launch of the new
products. The facts needed to demonstrate which innovations should be
promoted through technology transfer in the rural context can be problemat-
ic. The reasons include, for example, the lack of reliable information about
market impact and the projected revenue for the rural enterprises.
Box 4 presents some examples of potential innovations identified in the
analysed cases.
32
4.3 Rural enterprises
Studies on technology transfer tend to describe the dynamics and behaviours
of individuals such as farmers. However, they usually do not deal extensive-
ly with the nature and role of rural enterprises, which is a family-oriented
production unit immersed in a community-based context. Such enterprises
are often less developed but operate in urban areas. Unfortunately, Henry
and McElwee (2014) argue that the concept of rural enterprise is not well
understood. To deal with this issue, I use the description of rural enterprise
from Kinsey (1987, p. 4):
“Agribusiness and rural enterprises are small-to-medium scale enterprises
located predominantly in non-metropolitan areas. While they typically pro-
cess agricultural raw materials - including food, fibre and forest and live-
33
stock products, many do not produce any product but instead provide mar-
keting, transport or other services.”
The contexts behind this definition are the developing economies in which
interventions that harness the local communities for solving their problems
are emphasized. These interventions are thought to offer opportunities to
rural inhabitants to own their businesses. The interventions include training,
research services, management advisory services, marketing or technical
support, loan programmes, and assistance with the procurement of raw ma-
terials and equipment. The marketing support includes helping with access
to market information and to sales outlets and with subcontracting from
large manufacturers to small enterprises that permits flows of information.
Rural enterprises are collective enterprises that organise economic activity
(Arnold, 1994). In rural cooperatives, trust is the foundation of the coopera-
tion that also reduces internal transaction costs (Liu, 2011). Salavou and
Sergaki (2013) identified some characteristics of agricultural cooperatives
that include production orientation, vertical integration from farming to
after-sales services, maximization of member benefits, limited access to
capital, and low interest in long-term investments. These characteristics
have implications for the technology transfer process owing to the interac-
tion between the rural cooperatives and other organisations. This process
gives the cooperatives access to the new technologies. The recipient of
technology can be explained on two levels of analysis: the farms as produc-
tive units and the cooperative as the organisation that unites the farms.
34
5. Literature
This section describes three types of literature; technology transfer litera-
ture, situated learning theory, and systems and evolution. The thesis draws
on and contributes to the literature on technology transfer. This literature
includes viewpoints such as technology transfer from multinational compa-
nies to subsidiaries in developing countries (e.g. Attaran et al., 2014;
Simango, 2000), technology transfer from university to industry (e.g. Bes-
sant and Francis, 2005; Chugh, 2013) and technology transfer from the gov-
ernment to enterprises or the society in general (e.g. Ahuja, 2012). These
viewpoints are analysed to identify their potential application in rural enter-
prises in developing economies, specifically, when the technologies trans-
ferred are not very intensive in research and development, but solve the
problem that needs to be solved. As mentioned above, some authors call
these technologies ‘low technologies’ (Ockwell, et al., 2008; Scott, 2006)
and others ‘intermediate technologies or appropriate technologies’ (Alme-
kinders and Louwaars, 1999; Jedlicka, 1977).
Situated Learning Theory (SLT) and the evolutionary approach are lenses
that can be used in the analysis of technology transfer processes, the in-
volved actors, and the actors’ interactions. Both take a complementary per-
spective of the technology transfer phenomenon. SLT provides a framework
for understanding collective development of knowledge during technology
transfer processes. The evolutionary approach provides a way to understand
changes over time in the same processes.
5.1 Technology transfer in rural developing economies:
a distinct type of technology transfer While aspects of technology transfers are discussed in the literature (Chat-
terji, 1990; Hess and Siegwart, 2013; Lee, 1997), most of the literature re-
lates to technology transfer between countries or organisations in developed
economies (e.g. Festel, 2013; Parry, 1984). Specifically, by emphasizing
high-technology environments, the technology transfer literature focuses on
35
the inputs and deliverables of the transfer process. In contrast, the literature
on low-technology environments is relatively limited. This literature centres
on the dynamics of the process and the interactions between participants
(e.g. Saggi, 2002).
Technology transfers in rural developing economies are mainly documented
in the agricultural sector (e.g. Campbell, 1990; Ison and Russell, 2000; Jed-
licka, 1977; Lilleør and Lund-Sørensen, 2013). However, in this thesis the
rural context also includes activities such as eco-tourism, rural-based manu-
facturing, production of traditional goods and handicrafts, rural service pro-
vision, fishing / forestry production, and small-scale mining. These are often
important sectors in socio-economic terms.
There are multiple viewpoints on the transfer of technology. Ramanathan
(1994), for example, thinks that technology transfer is a two-directional
concept in which a differentiation can be made between vertical and hori-
zontal technology transfers. Vertical technology transfer is explained as the
flow of activities from the scientific research to the invention and commer-
cialization (i.e. the transferor and recipient collaborate in the process be-
cause the technology is imperfectly developed at the beginning). In horizon-
tal technology transfer, the transfer occurs from one unit to another at a time
when the recipient is ready to adopt the technology and the technology is
ready for transfer.
The transfer of technologies to rural environments was first explored in the
second half of the last century. For example, Hayami and Ruttan (1971)
described transfer experiences between multinational companies (MNCs) in
the United States to companies in Japan (regarded as a developing country
at that time). These experiences were mainly related to agricultural practic-
es. Echavarria et al. (1990) studied vertical technology transfer in the agri-
cultural sector in Latin America for the production of cotton, rice, and sug-
arcane. Basu (2010) analysed vertical technology transfers in several Indian
industry clusters (including pharmaceutical, agricultural, handicraft, and
medical clusters), and described the process from the policy design to its
implementation. Moulik and Purushotham (1986) studied vertical technolo-
gy transfers in the agricultural sector in India and detected a failed linkage
between policies in the creation of an effective, decentralized technology
sector.
In contrast, Pogue and Rampa (2006) and Lorentzen and Pogue (2009) have
proposed some alternatives for the study of foreign technology transfer in
36
the mining sector of developing countries using the concept of lateral migra-
tion. One particularly relevant study shows a linear innovation process that
involved researchers, suppliers, manufacturers, and users of hydraulic sys-
tems in the South African mining industry. Two main concerns in this study
were the creation of engineering skills in the recipient country and the need
for a network of local and international organisations that could support the
diffusion of the technology. The term “lateral migration” is used to describe
processes that apply technologies in a different context from the one in
which the technology was developed.
Transferors and recipients are not the only actors in the technology transfer
process. Yet in the literature on technology transfer we find only a few stud-
ies on intermediaries that connect transferors and recipients (e.g. Hervas-
Oliver et al., 2012; Spithoven et al., 2011). Furthermore, the studies on the
role of such intermediaries have, by and large, focused on firms that operate
in high-technology clusters. Relatively little attention has been paid to how
third-sector research and advisory centres, such as technology intermediar-
ies, facilitate technology transfer and user innovation in low-technology
rural clusters of small-scale agribusinesses in developing economies. Nota-
bly, although various typologies of technology intermediaries have been
developed (Bessant and Rush, 1995; Howells, 2006; Spithoven et al., 2011),
the modus operandi of such organisations is still not well understood. This
is a serious deficiency given the strategic importance of the agribusi-
ness/traditional sectors to the socio-economic development of many less
industrialized countries.
5.2 Situated Learning Theory
Situated Learning Theory (SLT) has recently gained popularity as a theory
because it offers an alternative to conventional approaches for analysing the
diffusion of ‘know-how’. Its primary tenet is that learning is fundamentally
a social phenomenon that reflects the social nature of human beings who are
capable of knowing. The central construct in this theory is the notion of
communities of practice (CoPs). According to Wenger et al. (2000, p. 4):
“Communities of practice are groups of people who share a concern, a set of
problems, or a passion about a topic, and who deepen their knowledge and
expertise in this area by interacting on an ongoing basis.”
For Wenger, the construct of a ‘community of practice’ represents the point
of entry into a broader conceptual framework, thereby underscoring the
37
importance of community, practice, learning, meaning, and identity as ele-
ments that “are deeply interconnected and mutually defining” (Wenger,
1998, p. 5). These components illuminate the process of learning to diffuse
or absorb a new technology, of pointing out what matters about learning,
and of emphasizing the tacit component of knowledge.
Situated Learning theorists (Brown, 2004; Brown and Duguid, 1998, 2001;
Snyder and Wenger, 2010; Wenger, 1998, 2000; Wenger et al., 2002) argue
that the ability of a CoP to create new meanings about what matters in pur-
suing an enterprise or in learning new competencies (in this instance, opti-
mizing diffusion and/or receptivity of a new technology) depends on three
factors. The first factor is the strength of the community as evidenced by the
cohesion of its members. The second factor is the quality of its ‘boundaries’
(the spaces where different CoPs interface). The third factor is the health of
the communal identity that supports the creation of new meaning and learn-
ing. The strength of a CoP refers to how well its members engage and par-
ticipate socially in the community’s efforts to achieve a common goal. It
also relates to how well a CoP can coordinate perspectives, interpretations,
and actions so that higher goals are realized.
Leadership that promotes connectivity, active membership, and artifacts --
such as symbols, roadmaps and tools -- enhance the strength of a CoP. The
quality of the boundaries on which different CoPs interact socially is deter-
mined by the function of ‘brokers’ (i.e. mediators with an understanding of
the interacting CoPs), the presence of common ‘boundary objects’ (e.g.
agendas, action plans, and frameworks in use), and the potency of boundary
encounters (i.e. how well these events allow for meaningful interaction
among interfacing CoPs). Healthy identities are characterized by connect-
edness (i.e. uniting members), expansiveness (i.e. allowing space for new
perspectives), and effectiveness (i.e. enabling participation and action). In
SLT terms, stakeholders (such as universities, regional government agen-
cies, and chambers of commerce) concerned with the supply side of tech-
nology transfer to rural industries, belong to different networks (Knorr-
Cetina, 1999).
5.3 Systems and evolution The evolution in innovation processes required different models to represent
the sequence of activities (Rothwell, 1994). Consequently, several concep-
tions were included in the different approaches to innovation such as the
national innovation system (Freeman, 1974, 1987, 1997; Lundvall, 1992;
38
Nelson, 1993), sectoral or technological innovation systems (Malerba, 2002;
Carlsson and Stankiewicz, 1991), and regional innovation systems (Cooke,
1992; D’Allura, Galvagno and Li Destri; 2012), with the intention of organ-
ising the innovation process from a systemic point of view. In fact, the men-
tioned system theories are based on the connections among actors that deal
with the creation, diffusion, and use of innovation. The main focus of the
open-ended innovation system theories is networking and ‘meeting places’.
The evolution of a system is determined by major changes in the system
over time (e.g. Malerba, 2004). This may consist of changes in how the
actors are connected, the major problems or opportunities that they perceive,
and how they attempt to deal with the problems or opportunities. The evolu-
tion of systems may be exogenous, where, for example, changes in policy or
markets may affect the actors in the system, or endogenous, where the activ-
ities or decisions of one of the actors affect the activities, motivations, and
resources of other actors.
There are different ways to portray evolution, but perhaps the best known is
the model that consists of three mechanisms: variety creation, selection, and
retention (Campbell, 1960). The first mechanism concerns the generation of
variety. Variety creation generates novelties in the system, which may be
the creation of a set of formulated problems or alternative solutions to the
identified problems or to the number or types of actors, products, or process
innovations. This variety creation can either be deliberate or “blind” (Al-
drich 1999): Variety is deliberately created when an actor searches for solu-
tions to a problem, while it is “blind” when alternatives reveal themselves
over time independent of environmental or selection pressures.
In the selection process, variety is reduced by the selection regime, consist-
ing of, for example, the market or policy. Other examples include the reduc-
tion of problems by the use and diffusion of solutions, which in turn may be
further eliminated when the least promising generated alternative solutions
is removed until one or a few selected solutions remains. In this process, the
generated alternatives have two, not necessarily independent, selection
mechanisms: internal and external selection (cf. Aldrich 1999). Internal
selection occurs when an actor evaluates the alternatives against each other,
and against some explicit or implicit evaluation criteria, weeding out the
unfavourable solutions and selecting the preferable ones. External selection
occurs through pressures from the actor’s environment, affecting the attrac-
tiveness or practicality of solutions, and may appear in the form of, for ex-
ample, culture, norms, and competition. The external selection mechanism
39
can naturally be part of shaping the evaluation criteria against which the
actor weighs the differing alternatives. The final mechanism concerns the
retention in which the previously selected solution is preserved by being
embedded in the technology transfer system as new or reconfigured physical
or social technologies, such as gadgets, recipes or blueprints, routines, rela-
tionships, or organisational structures that form the overarching system over
time.
40
6. Research Design and Methods
This chapter has five sections. Section 6.1 outlines the research design and
case selection. Section 6.2 describes the data collection methods and the
sources of data. Section 6.3 describes the data analysis methods. In Section
6.4, I reflect on my role as a researcher during the entire research process.
Finally, Section 6.5 discusses the soundness of the research process.
As stated in Chapter 1, the research questions of this thesis are:
RQ #1: How do intermediaries influence technology transfer of
intermediate technologies in rural enterprises of developing economies?
RQ #2: Which features of the participants and their relations affect the
transfer of intermediate technologies in rural developing economies?
RQ #3: How do ‘systems’ of technology transfer evolve in rural developing
economies?
Marshall and Rossman (2014) specify how a research question has implica-
tions for the research design, data collection, and data analysis. Using their
criteria, RQ #1 and RQ #2 relate to the explanatory purposes in the quest to
identify relationships and patterns in the technology transfer process. RQ #3
relates to the exploratory purpose in the quest to analyse how technology
transfer systems evolve.
6.1 Overarching research design The research questions were addressed using qualitative research methodol-
ogy with embedded longitudinal case studies (Silverman, 2013). Interven-
tions in silk, fish, and coffee production in Cauca, Colombia, complemented
the case study research design. The choice of a qualitative methodology was
motivated by the need to acquire an overview perspective and a contextual
understanding of the interactions among transferors, recipients, and inter-
mediaries in the technology transfer process. This is related to the character-
41
istics of the empirical setting presented in the Chapter 1 such as: small scale
production, developing economies, technology transfer of intermediate
technology, recipient perspectives, and rural enterprises.
The thesis is based on three research design phases. The first phase explored
the technology transfer activities in different rural sectors. During this
phase, when I and my research team prepared the case studies, I began to
collect and analyse data with the intention of exploring and guiding the next
activity that was the creation of thick descriptions of the cases (Siggelkow,
2007). This phase was inductive and, apart from the data collection, was not
systematic in its analysis of the three sectors because the intention was to
conduct a pre-study mainly focused on understanding the phenomenon. One
important outcome of this phase was the realization that more systematic
studies of the transfer literature were warranted and that systematic inter-
ventions followed by studies of the results were required.
During the second phase, I examined the literature related to technology
transfer in my particular context. By forming “rudimentary” hypotheses
based on a contextual understanding of the situation in the cases of fish,
silk, and coffee production, as a member of a team conform by researchers
and staff of governmental and non-governmental organisations, I designed
and implemented interventions, and followed up on the results. The team I
was working with used action research in the interventions (Marshall and
Rossman, 2014). Our follow-up consisted of interviews, observations, and
discussions with producers and other participants. The focus of this phase
was the role of the intermediaries in technology transfer.
An important outcome of this phase was the realization that I needed to
increase the scope and the transferability of the research by enlarging our
focus. The identification of the intermediary in the technology transfer pro-
cess creates the possibility of finding new aspects that could configure a
more defined framework to understand technology transfer processes. Thus,
during the third phase, I used participatory observation and subjective opin-
ions to reconstruct the history and the evolution of technology transfer in
two sectors: silk and fish production.
Data were collected from individual technology transfer recipients, transfer-
ors, and members of governmental and non-governmental organisations.
The analytical focus remained on the rural cooperatives or networks, sup-
plemented by studies of individual producers. This was the result of a
choice between descriptive breadth and depth in terms of the data it was
42
possible to collect and triangulate (Flick, 2014). The multiple cases provid-
ed a better basis for theory application by obtaining the reflections of the
participants in the cases. The use of more than one case allowed the compar-
ison of different results among the cases, thus enabling the researchers to
compare potential contextual and specific reasons for these differences (Par-
tanen et al., 2008).
As stated above, the cases were complemented with interventions where I
was an observer or participant. My role in the interventions was to design
and implement practices to facilitate the interaction and participation of all
the organisations in the technology transfer process. At the beginning, my
role was active as discussed in Papers 1 and 2. In Papers 4 and 5 my role in
the intervention was less active. My participation in the interventions gave
me a deep understanding of the signals, codes, and hierarchies in the cases.
Perhaps most importantly, I visited the farms to follow up on the results of
the technology transfer. I also drew on multiple sources of data (See Table
2). In addition, I found that the on-going discussions, observations, and
interviews with the actors were valuable for understanding the specific
component of technology transfer and for identifying connections between
this component and other aspects of my research.
Next, I describe the main characteristics of the thesis from the research de-
sign point of view: the use of cases studies, action research, Situated Learn-
ing Theory, and intermediate technologies.
Action research, in this thesis, is used to describe, understand, and explain
social reality as well as to improve the method of acquiring the habits need-
ed to cope with reality, especially in complex, dynamic systems (Ottosson,
2003; Ottosson and Bjork, 2004). The Action Research focus was the main
feature of the interventionist activities such as the workshops and follow-up
visits.
In this process, I was not solving a problem alone. In fact, I joined with
others in a joint learning exercise aimed at acquiring knowledge in action.
Thus, the method and the object of study are interdependent. The advantage
of Action Research over other research methods is that it allows the re-
searcher to see how a phenomenon can be shaped in practice, in real time,
often over a long period (e.g. when conducting an experiment).
43
Table
2.
Met
ho
ds
use
d i
n t
he
five
pa
per
s
P
rim
ary d
ata
S
econ
da
ry
da
ta
Com
men
ts
Fis
h
Par
tici
pat
ion
in
six
fun
ded
inte
rven
tion
ist
tech
nolo
gy
tran
s-
fer
pro
ject
s bet
wee
n t
he
Univ
ersi
ty o
f C
auca
, re
gio
nal
go
v-
ern
men
tal
off
ices
, co
op
erat
ives
wh
ich
mem
ber
s ar
e sm
all-
scal
e pro
duce
rs
and
support
org
anis
atio
ns
from
C
auca
.
20
04
-2017.
Th
e n
um
ber
of
univ
ersi
ty p
eop
le v
arie
d b
etw
een
ten
to f
ifte
en a
nd a
t le
ast
200 f
amil
ies
wer
e in
volv
ed.
3
6 v
isit
s to
pro
duct
ive
unit
s fr
om
20
05 t
o 2
01
7. [2
]
Par
tici
pat
ion in
m
eeti
ngs
to des
ign fo
ur
rese
arch
pro
ject
s
(20
06
– 2
015).
6 W
ork
shops
dev
eloped
duri
ng t
he
exec
uti
on
of
3 p
roje
cts
to
con
nec
t te
chn
olo
gic
al d
eman
ds
of
the
pro
du
cers
wit
h s
up
-
pli
ers
of
the
tech
nolo
gy
(Res
earc
h t
eam
s fr
om
Colo
mbia
n
un
iver
siti
es).
2008 –
2009,
2011
-2012
.
5 f
ull
day
work
shops
wit
h A
PR
OP
ES
CA
to c
oll
ect
info
r-
mat
ion ab
out
the
his
tory
of
the
asso
ciat
ion
(c
oop
erat
ive)
. 2
01
0-2
012. [1
]
4 r
etro
spec
tive
inte
rvie
ws
tog
eth
er w
ith
AP
RO
PE
SC
A w
ith
key
act
ors
lik
e pro
duce
rs a
nd m
ember
s of
sup
port
org
anis
a-
tion
s to
coll
ect
info
rmat
ion
about
the
his
tory
of
the
asso
cia-
tion
(co
op
erat
ive)
. 2010
-2012. [1
]
6 T
ech
nic
al r
eport
s of
pro
ject
s.
Web
site
o
f th
e as
soci
atio
n an
d
its
pro
ject
s.
Pu
bli
c d
ocu
men
ts
of
AP
-R
OP
ES
CA
.
2 B
ach
elor
thes
es
Docu
men
tary
of
rura
l bu
sin
ess-
es a
s to
uri
st a
ttra
ctio
ns.
1 p
rin
ted
bo
ok
on
in
tegra
l st
rat-
egy
to
atte
nd ru
ral
smal
l-sc
ale
asso
ciat
ion
s.
2
dig
ital
bo
ok
s p
rod
uct
of
re-
sear
ch p
roje
cts
wit
h r
ura
l sm
all-
scal
e as
soci
atio
ns.
[1]
Th
e dat
a w
as
col-
lect
ed
in
dif
fere
nt
ses-
sion
s to
sy
stem
atiz
e
each
ass
oci
atio
n’s
exp
e-
rien
ces.
[2]
Th
e vis
its
wer
e
dev
elop
ed i
n t
he
exec
u-
tion
of
dif
fere
nt
pro
-
ject
s.
44
Table
2.
Met
ho
ds
use
d i
n t
he
five
pa
per
s
P
rim
ary d
ata
S
econ
da
ry
da
ta
Co
mm
en
ts
Sil
k
4 w
ork
shops
wit
h s
ilk p
roduce
rs t
o c
oll
ect
info
rmat
ion
ab
ou
t
the
his
tory
of
the
asso
ciat
ion
s (c
ooper
ativ
es).
20
13
-201
6. [1
]
3 r
etro
spec
tive
inte
rvie
ws
to C
OR
SE
DA
wit
h k
ey a
ctors
lik
e
pro
duce
rs a
nd m
ember
s of
support
org
anis
atio
ns
of
CO
RS
ED
A
to c
oll
ect
info
rmat
ion a
bout
the
his
tory
of
the
asso
ciat
ion
s (c
o-
op
erat
ives
). 2
005
-2016. [1
]
7 v
isit
s to
CO
RS
ED
A p
roduct
ive
un
its
from
20
05 t
o 2
01
7. [2
]
Par
tici
pat
ion i
n m
eeti
ngs
to d
esig
n 3
pro
ject
s. 2
00
6 –
201
6. [3
]
Work
shops
and v
isit
s dev
elop
ed d
uri
ng t
he
exec
uti
on
of
3 p
ro-
ject
s to
conn
ect
tech
nolo
gic
al d
eman
ds
of
the
pro
du
cers
wit
h
sup
pli
ers
of
the
tech
nolo
gy
(Res
earc
h t
eam
s fr
om
Colo
mbia
n
un
iver
siti
es).
2008 –
2009,
2011
- 20
12.
Docu
men
tary
th
at
show
s
rura
l bu
sin
esse
s as
to
uri
st
attr
acti
ons.
1 p
rin
ted
book
on
in
tegra
l
stra
teg
y to
at
ten
d
rura
l bu
sin
esse
s.
2 D
igit
al b
ook
s p
rod
uct
of
rese
arch
pro
ject
s w
ith
rura
l
smal
l-sc
ale
asso
ciat
ion
s.
3
Tec
hn
ical
re
port
s of
pro
ject
s.
2 B
ach
elor
thes
es
Post
ers
and p
rin
ted
pu
bli
c-
ity.
Web
site
of
the
asso
ciat
ion
and
its
pro
ject
s.
[1]
Th
e dat
a w
as c
oll
ect-
ed i
n d
iffe
ren
t se
ssio
ns
to
syst
emat
ize
each
ass
oci
a-
tion
’s e
xper
ien
ces.
[2]
Th
e vis
its
wer
e dev
el-
op
ed in
th
e ex
ecuti
on of
dif
fere
nt
pro
ject
s.
[3]
Th
e dat
a co
llec
tion
was
mad
e by
a co
llea
gue
wh
o w
ork
ed i
n t
he
asso
-
ciat
ion
ar
ound
5
year
s
and
support
s th
em
in
pro
ject
s 4
year
s m
ore
afte
r le
avin
g C
OR
SE
DA
.
45
Table
2.
Met
ho
ds
use
d i
n t
he
five
pa
per
s
P
rim
ary d
ata
S
econ
da
ry
da
ta
Co
mm
en
ts
Coff
ee
4 w
ork
shops
wit
h c
off
ee p
roduce
rs t
o c
oll
ect
info
rmat
ion
abou
t
the
his
tory
of
the
asso
ciat
ion
s (c
ooper
ativ
es).
20
13
-201
6. [1
]
3 r
etro
spec
tive
inte
rvie
ws
to c
off
ee a
sso
ciat
ion
s w
ith
key
act
ors
lik
e pro
duce
rs a
nd m
ember
s of
supp
ort
org
anis
atio
ns
to c
oll
ect
info
rmat
ion a
bout
the
his
tory
of
the
asso
ciat
ion
s (c
oop
erat
ives
).
20
05
-2016. [1
]
15
vis
its
to c
off
ee f
arm
s pro
duct
ive
un
its
from
20
05 t
o 2
01
7. [2
]
Par
tici
pat
ion i
n m
eeti
ngs
to d
esig
n 2
pro
ject
s. 2
00
6 –
201
6. [3
]
Work
shops
and v
isit
s dev
elop
ed d
uri
ng
th
e ex
ecu
tion
of
4 p
ro-
ject
s to
co
nn
ect
tech
nolo
gic
al dem
and
s of
the
pro
du
cers
w
ith
sup
pli
ers
of
the
tech
nolo
gy
(Res
earc
h
team
s fr
om
C
olo
mbia
n
un
iver
siti
es).
2008 –
2009,
2011
- 20
12.
1 D
igit
al b
ook
th
at i
den
-
tifi
es
the
pote
nti
al
of
coff
ee
farm
s as
to
uri
st
attr
acti
ons.
4
Tec
hn
ical
re
port
s of
pro
ject
s.
1 B
ach
elor
thes
es
Web
site
o
f th
e N
atio
nal
Coff
ee F
eder
atio
n a
nd i
ts
pro
ject
s.
[1]
Th
e dat
a w
as c
oll
ect-
ed i
n d
iffe
ren
t se
ssio
ns
to
syst
emat
ize
each
ass
oci
a-
tion
’s e
xper
ien
ces.
[2]
Th
e vis
its
wer
e dev
el-
op
ed in
th
e ex
ecuti
on of
dif
fere
nt
pro
ject
s.
[3]
Th
e dat
a co
llec
tion
was
mad
e usi
ng d
iffe
ren
t
sourc
es a
nd c
ooper
ativ
es,
con
sider
ing
this
is
th
e
most
im
por
tan
t busi
nes
s
in r
ura
l ar
eas
in C
auca
.
46
Situated Learning Theory was used as an application lens for understanding
the technology intermediation from a theoretical position (Eden and Hux-
ham, 2002; Greenwood et al., 1993; Hendry, 1996). Action Research was
used to integrate low and intermediate technologies into packages. The in-
tervention was used to implement them based on encouraging the partici-
pants to increase their engagement in the technology adoption through net-
work creation (Hervas-Oliver et al., 2012).
The case study research design is appropriate for the thesis research ques-
tions because there are few process perspective studies in the technology
transfer literature. This means longitudinal cases studies can be useful for
revealing new aspects of technology transfer. The embedded case research
design was important as a way to understand the individual characteristics
of each case (Davidsson et al., 2004; Ireland et al., 2005).
During the execution of the programme of projects to improve the
performance of rural enterprises, Action Research was used. The analysis
units I chose offered an opportunity to analyse and compare different re-
search design and collection methods related to the participants, organisa-
tions, and systems. Because the participants are interconnected, it was pos-
sible to observe their interactions.
Table 3 describes the research design, the data collection methods, the data
analysis methods, and the unit of analysis for each of the five papers in this
thesis.
Table 3. Research methodology used in the five papers
Paper Research
design
Data collection
methods
Data analysis meth-
ods
Unit of analysis
1 Longitudi-
nal case
study,
Action
Research
Participant
observation
Non-participant
observation
Workshops
Meetings Interviews
Follow-up visits
Initial categories
creation.
Coding.
Data source triangu-
lation
“Audit trail”, main-taining a database
documenting data
collection and analy-
sis procedures, for re-
analysis and replica-
bility purposes.
Actors and network
(community of
practice)
47
Table 3. Research methodology used in the five papers
Paper Research
design
Data collection
methods
Data analysis meth-
ods
Unit of analysis
2 Longitudi-
nal case study,
Action
Research
Participant
observation Non-participant
observation
Workshops
Meetings
Interviews
Follow-up visits
Brokering of themes
in categories. Coding.
Triangulation using
different stakehold-
ers.
“Audit trail”, main-
taining a database
documenting data
collection and analy-
sis procedures, for re-
analysis and replica-
bility purposes.
Actors and network
(community of practice)
3 Conceptu-
al, litera-ture analy-
sis
Search strings,
data bases
Synthesis of main
common elements and discussion with a
group of experts.
Enabler for tech-
nology transfer process
4 Case
study,
longitudi-
nal ap-
proach
Participant
observation
Non-participant
observation
Workshops
Interviews
Follow-up visits
to fish and
coffee farms
Brokering of themes
in categories.
Coding.
Triangulation using
different participants’
point of view.
“Audit trail”, main-
taining a database
documenting data
collection and analy-sis procedures, for re-
analysis and replica-
bility purposes.
Project
5 Case
study,
longitudi-
nal ap-
proach
Participant
observation
Non-participant
observation
Interviews
Coding.
Triangulation using
different methods to
collect information.
Problem formula-
tion and solving
6.1.1 Case selection
The previous chapters introduced the technology transfer process. The par-
ticipants described the technology transfer phenomenon as very dynamic
48
and complex. This situation is the result of the information asymmetry, the
knowledge barriers, and the participant interactions. To study this dynamic,
I selected case studies that were suitable for the interventionist approach I
had chosen. In this section, I explain how I selected the cases, and then de-
scribe them.
Miles and Huberman (1994) describe different ways to choose a sample in
qualitative research. In this thesis, I used the following selection criteria.
Rural enterprises in developing economies: These are enterprises in which
producers work together. The foci of the thesis are organisations; single
farmers or rural entrepreneurs are not in focus.
Rural enterprises in which recipients, transferors, and other organisations
are involved in then transfer of intermediate technologies: These are partic-
ipants involved at some level in technology transfer. All participants had to
have at least some experience in at least one technology transfer.
Access to the participants and other sources of information: The partici-
pants in technology transfer had to be available for study, and secondary
information had to be obtainable.
Technology transfer was developed using the interventionist approach: The
technology transfer process assumes engagement in the development of the
activities and ‘a sense of teamwork’ among the participants.
Much of the literature on technology transfer in rural developing economies
centres on agriculture. This means other rural activities receive less atten-
tion. Therefore, this thesis takes an original perspective in its focus on the
activities of silk, fish, and coffee production.
At the beginning of the thesis, my case selection was motivated by the op-
portunity to participate in technology transfer projects. Given funding by the
regional government in Cauca I therefore selected the coffee and piscicul-
ture industries. However, in addition to the selection criteria stated above,
the cases were also selected by referring to replication logic. The goal was
to choose cases as similar as possible. Nevertheless, the participants in each
case are quite diverse. The fish case has many indigenous communities
while the silk and coffee cases have few indigenous communities. Coffee
has a national cooperative while silk and fish only have members from Cau-
ca. However, other contextual aspects of the cases are very similar in their
history and evolution. The international actors initiated the technology
transfer processes. Because production is the main concern from the techno-
49
logical point of view, technology transfer projects that develop new prod-
ucts and markets are few.
The selected cases presented a rich source of data about all participants in
the technology transfer process.
6.2 Data collection Primary data for the thesis consist of workshops, semi-structured interviews,
and observations (e.g. farm visits) of the key actors in the rural enterprises,
government organisations, and universities, plus selected industry experts.
The snowballing sampling technique was used to select, for example, pro-
ducers in remote areas, experts for interviews, and the farm visit sites. To
ensure the reliability (dependability) of the findings, the research procedures
were documented (Silverman, 2012). Thus, all the interviews and work-
shops at each case with producers were recorded and transcribed. The inter-
views with experts were recorded and transcribed. Interviews were face-to-
face with individuals. In the workshops, the interviews were with groups.
Secondary data were collected from various sources, including internal doc-
uments such as business plans, project reports, memos, collaborative con-
tracts, brochures, presentation materials, newspapers, and industry magazine
articles as well as publicly available information and statistics, such as busi-
ness reports or company web sites. The richness and multi-dimensionality
of the data support the analysis and contribute to the validity of the interpre-
tations. In brief, data were collected in the following four ways.
1. Meetings: Sessions with leaders of the rural organisations and/or
members of institutions (approximately six people) to discuss the
results of workshops and interviews. The meetings followed the
progress of the programme and of the research. The purposes were
to clarify information that could be confusing in the workshops, vis-
its, or interviews, to receive feedback on the results of each activity,
to plan data collection, and to organise the other activities in order
to meet the expectations of the participants.
2. Workshops: Sessions with approximately 15 participants in sub-
groups for discussions related to the technology transfer. An auxilia-
ry researcher attended each workshop to record the group consen-
sus, to tape-record the session, and to take photographs of the work
team’s conclusions. A facilitator (a researcher) also attended each
workshop.
50
3. Follow-up visits: Trips to the farms, sometimes with members of in-
stitutions and other times with producers. The purpose of the visits
was to complement information from the workshops, interviews,
and meetings, and to obtain new theoretical and practical infor-
mation related to the technology transfer activities.
4. Interviews: Sessions with individuals (producers or members of in-
stitutions) to ask questions related to their personal experiences,
perceptions, and ideas on the technology transfer process. Some in-
terviews were used to produce documentaries and to design new
workshops and meetings.
To illustrate the field activities with the participants (e.g. workshops, visits)
I present sample photographs below and a YouTube link.
Photos: María Eugenia Ledezma
Link:
https://www.youtube.com/watch?v=ys6WPq34WZI&feature=youtu.be
51
6.2.1 Case descriptions
Fish Case: About 25 years ago, the Colombian Government promoted fish
production of introduced species. Rainbow trout and tilapia are cultivated
for local and inter-regional markets. Rural cooperatives supply equipment
and tools and provide pellet cultivation and technical assistance to the
members. Currently, there are five cooperatives, each with an average of
160 families as members. Although this is not a representative productive
activity in Cauca, the cooperatives are well connected with public and pri-
vate organisations in the region. Prior to the start of my research, local uni-
versities, government offices, and NGOs with experience working in differ-
ent project supported the producers with production and management topics.
Coffee Case: Coffee has been produced for more than 100 years in Cauca. It
is the Department’s most important product. Indeed, around 90% of the
rural families produce coffee. There are several coffee cooperatives in Cau-
ca. This thesis studies the producers that belong to the Colombian Coffee
Growers Federation (FNC) - Cauca Region. This cooperative, which is the
largest in the country, supports research and development for coffee produc-
tion for international markets through grants to local universities and
through its sponsored research institute, known as Cenicafé. The FNC,
which monitors production to ensure export quality standards are met, is
very active in all areas related to sustainability. In brief, the FNC monitors
the universities, government offices, and NGOs so that they operate under
its oversight.
Silk Case: In 1982, the Colombian Government, through the National Cof-
fee Federation, began promoting silk production farms as an alternative crop
to coffee (as the response to a crisis in coffee prices worldwide). Today
there are three rural cooperatives that produce clothes and fibre as raw mate-
rials for the manufacture of dental floss for international markets. This ac-
tivity, which employs around 500 families, currently is the only silk activity
in Colombia.
Silk production involves producers who cultivate the mulberry bushes, feed
the silkworms, and harvest the silk fibre. Artisans use the fibre to knit cloth-
ing such as ponchos, scarfs, sweaters, shirts, vest, skirts, belts, eye masks,
etc. Both producers and artisans are members of the cooperatives that inter-
act with local and national universities, government offices, and NGOs.
52
6.2.2 Context of data collection: Programme of projects
The three research questions in the thesis closely relate to the seven research
projects used to obtain data. Table 4 shows the relationship between the
three research questions, the seven projects, and the five papers of this the-
sis.
Table 4. Relationship among research questions, projects, and papers
53
To understand the logic of the projects, I must explain that from 2006 to the
present the Department of Cauca, in its policy agenda (Regional Govern-
ment Agenda), included five sectors that were to benefit directly from the
results of the projects. The five projects were Agro-industrial Productive
Chains (agry-chains), specialty coffees, cattle husbandry, vegetable-fruit,
and the forest value chain. In addition, tourism and handicrafts could adopt
similar strategies because of their rural character. Furthermore, the Internal
Agenda of Cauca (National Government Agenda) joined in defining the
Agricultural and Agri-chains as a high-priority line in the economic and
social development of the Department. The research reported on in this the-
sis was conducted mainly during the execution of the seven projects (Table
5).
Table 5. Projects underlying this thesis
Title of the project Project execution
period and dura-
tion
Activities for the thesis
Integral Strategy for Improving
Competitiveness of Agry - chains
of Small-Scale Rural Producers of
the Cauca Department
25 April 2006-
25th April 2007
12 months
Monitoring period: 6 months
Workshops: 5
Interviews: 26
Meetings: 3
Follow-up visits to fish and coffee farms: 189
Characterization of Innovation
Management Processes in Firms
of Competitiveness Strategic
Sectors in Cauca Department
8th March 2010 –
8th March 2011
12 months
Monitoring period: 6 months
Workshops: 7
Interviews: 18
Meetings: 3
Follow-up visits to fish and
coffee farms: 208
Business Conference: Alliance
University – Industry- Govern-
ment for Cauca and Nariño
16th June to 16th
February 2012
8 months
Monitoring period: 7 months
Workshops: 3
Meetings: 2
Interviews: 33
Follow-up visits to fish farms:
75
Transactional Communication for the analysis of the relevance of
the social appropriation of
knowledge in Open Innovation
Processes in the Rural Small-
Scale Association APROPESCA
1st March 2012 – 1st July 2013
16 months
Monitoring period: 10 months Workshops: 3
Meetings: 4
Interviews: 20
Follow-up visits to fish farms:
125
54
Table 5. Projects underlying this thesis
Title of the project Project execution
period and dura-
tion
Activities for the thesis
Creation of innovation clusters based in Knowledge Management
to promote the development of
innovative products in Cauca
20th September 2013 – 20th Sep-
tember 2015
24 months
Monitoring period: 1 months Workshops: 5
Interviews: 15
Follow-up visit to fish and
coffee farms: 46
Alternative Uses for Subproducts
derivate of the Pisciculture Agro –
Industry
June 2013-May
2017
54 months
Monitoring period: 8 months
Workshops: 5
Interviews: 16
Follow-up visits to fish farms:
22
Business Models for Rural Enter-
prises
January 2014-
January 2018
48 months
Monitoring period: 5 months
Workshops: 5
Interviews: 8
Follow-up visits to fish, coffee
and silk farms: 13
6.3 Data analysis Papers 1 and 2 use an initial set of categories based on Situated Learning
Theory, such as activities that relate to boundary objects. The analysis took
the shape of a visual representation of activities and of thick case descrip-
tions. Progressively, we collected and analysed the data over a period of 41
months. This amount of time was essential in order to capture the communi-
ties of practice and the technology transfer process throughout its growth
phases and transitions.
Paper 3 analyses the literature on technology transfer. I identified studies by
using keywords to search for articles and to select relevant articles by read-
ing abstracts. Relevant factors and facilitators or enablers were selected and
described. The most common factors related to the improvement of technol-
ogy transfer. I found other factors not explicitly discussed in the technology
transfer literature. I identified these factors using the keywords and project
experiences.
Paper 4 uses the conceptual framework of Paper 3 to code the data accord-
ing to the various enablers previously identified.
55
Paper 5, in order to create thick descriptions of the cases, uses coded data
from interviews, informal conversations, presentations, and workshops
combined with secondary data such as internal documents. This procedure
gave us an overview of the sequence of events. As recommended for the
creation of data structure, we retained the respondents’ formulations of the
cases’ problems from the interviews. We were careful to retain quotations
and to assemble all data using the evolutionary approach that focuses on the
entry, transformation, and exit of different types of actors over time, their
perceptions of problems, their interactions, and their problem solutions.
6.4 Reflections on the research process and my role Initially, the idea for this research was to understand the interaction between
participants in the technology transfer process in rural developing econo-
mies and to show how a NGO over the years connects transferors and recip-
ients, specializing and redefining its role. However, during the course of the
research, more aspects emerged. Consequently, the thesis reflects research
on these other aspects (e.g. the evolution of technology transfer systems.)
In the first research stage, I identified two cases, coffee production and pis-
ciculture (trout), as possibilities for exploring step by step how actors create
better conditions for the development and transfer of intermediate technolo-
gies. These cases helped to answer RQ1. At the same time, the analysis of
these two cases indicated that the participation of intermediaries was not the
only aspect of the technology transfer of importance. It became evident that
the literature provided no clear descriptions.
Therefore, in the second research stage, I conducted a review of the litera-
ture to answer RQ #2. This was the start of the formulation of the seven
enablers that were adapted from a literature review on technology transfer.
The literature provided a definition of enablers and a description of their
role in rural developing economies. This led to the selection of a third case:
silk production.
At this point, I could devise a framework based on three cases: fish, coffee,
and silk. After I established connections between the enablers, I could begin
the next stage of my research. It became obvious that, over time, there was
much more to technology transfer than a new division of labour among dif-
ferent organisations -- the transferors, the recipients, and the intermediaries.
I observed, first, that the actors interacted in a systemic way. I saw, second,
that this system could not have emerged at the start of the technology trans-
56
fer process. An evolutionary study was needed. Thus, in the third and last
stage of my research, I explored the changes in the participants and their
interactions in a period of several decades when the technology transfer
processes were implemented. I chose two cases -- silk and fish -- to explain
how ‘technology transfer systems’ evolve.
In this thesis, the results were scrutinized by the organisations that partici-
pated. This was achieved mainly through my participation in two commit-
tees with members of the participant organisations. The first committee, the
“participatory monitoring and evaluation committee”, held meetings every
three months. The purpose of these meetings was to evaluate the steps in the
research, to examine raw data, and to reach findings. The second committee,
which was a multidisciplinary team, was the technical team responsible for
the training processes. In weekly meetings of this committee, I compared
the data I had obtained with other colleagues to receive new points of view
and feedback.
6.5 Soundness of my research: Methodological reflec-
tions This thesis is based on a longitudinal case study research design. Case stud-
ies are often criticised as being difficult to replicate. Even more problematic
for this thesis, when an intervention occurs, the chain of events in each case
study and the situation of the activities are not easily replicated. This may
question the transferability, credibility and dependability of my research. I
will briefly reflect upon these issues.
In this thesis, the quality of the research process is explained in terms of
validity (Patton 2001) or what other authors may refer to as called credibil-
ity. Others, like Seale (1999) who described the “inquiry audit”, emphasize
that qualitative research should triangulate data collection methods and
sources. Thus, in this thesis, I triangulated my data using multiple data col-
lection and data analysis methods. For data collection, I used workshops to
obtain the collective consensus of the participants, interviews to understand
the individual point of view, and participant observations to identify ele-
ments that are not possible using the other methods (e.g. hierarchies in the
social interaction). Finally, I visited farms to verify if the technology trans-
fer practice were effectively adopted.
For data analysis, the coding was socialized through systematization of ex-
periences and workshops with participants. This confirmed that the docu-
57
ments agreed with the analysis of the data, that the workshops were identi-
fied as “knowledge fair”, and that the participants in the technology transfer
provided feedback on the interpretation of the data.
However, being ‘socially embedded’ with my research context may be
problematic. A risk for a researcher in my situation is the possibility of
overstating the findings or creating affective relationships, leading to misin-
terpretations of the data. In particular, my role in the interventions raises the
possibility of bias in the research process in that I oversaw and developed
activities that supported the technology transfer practices as a member of
organisations acting as transferors and intermediaries. This may lead to
poorly formulated findings and conclusions. I admit that the relationships
created with the participants during my 13 years of work in technology
transfer processes may lead to bias. For example, the producers might ex-
press favouritism toward other participants who manage the projects. These
producers might expect to acquire equipment or infrastructure as part of the
technology transfer project. On the other hand, my proximity to the partici-
pants helped me gain access to all participants and to receive good quality
information.
I managed this risk by using feedback from other members in the research
projects and the committee for assessment of the projects’ results. Perhaps
most importantly, in order to mitigate the problems of bias, I visited the
farms to follow up on the results of the technology transfer. Thus, I did not
just design interventions ex ante and intervene during the process. I also
followed up on the results by empirical observations rather than rely on
‘just’ interviews. Indeed, I drew on multiple sources of data (see Table 2).
In addition, I need to stress I found the on-going discussions, observations,
and interviews with the actors were valuable for understanding the specific
component of technology transfer and for finding connections between this
component and other aspects of my research.
All in all, I argue that my efforts have led to a high validity of my research.
Transferability (Given, 2008) in this thesis could be related to the possibility
of using the findings in similar contexts and in analysing the aspects that are
inapplicable. The nature of the technology transfer process embedded in a
social and organisational context does not suggest it will be the same in
regions, industries, or cultural contexts like the ones analysed in this thesis.
More precisely, the findings from the three case studies in this thesis may be
applied in similar contexts. Aspects like the role of intermediaries, the role
of enablers, and the evolution in the role of actors in technology transfer
58
systems can be described and analysed in other technology transfer process-
es in rural developing economies. While I do not claim that the findings of
this thesis are transferable without further research, I argue the framework
and processes described in the thesis could lead to a better understanding of
the same phenomena in similar settings. While this may mean some adapta-
tion and redefinition of the characteristics in the new context, some findings
in the new settings may support the findings from this research.
Reliability (Silverman (1993) or dependability (Lincoln and Guba 1985) can
be explained by the fact that, as in other qualitative research projects, repli-
cability may be difficult or impossible. The situations that surrounded the
technology transfer in the empirical setting I have worked in are influenced
by national, regional and municipal policies, market conditions for the
commercialization of products, environmental regulations, and even a civil,
low-intensity war in Cauca. The same setting cannot be found if someone
wants to repeat the study. However, given the extensive use of triangulation,
I argue that the reliability of the study is quite good.
59
7. Summary of Papers
This chapter summarizes the five papers that comprise this thesis (Table 6)
and describes my role in their preparation (Table 7).
7.1 Paper 1 Title: Transferring technology from university to rural industry within a
developing economy context: The case for nurturing communities of prac-
tice
Technovation, Vol. 32, Nos. 9–10, September–October 2012, Pages 550–
559.
Authors: Nicholas Theodorakopoulos, Deycy Janeth Sánchez Preciado, and
David Bennett
The aim of Paper 1 is to demonstrate how academic-related research and
advisory centres may affect technology transfer from a university to a rural
industry. By applying Situated Learning Theory, this paper analyses a learn-
ing process comprised of academic actors, regional government officials,
and small-scale producers. Specifically, drawing on a longitudinal action
research study on technology diffusion and productivity, Paper 1 examines
how an intermediary research and advisory centre nurtures and bridges
communities of practice (Lave and Wenger, 1991) among recipients of
technology, academic actors, and government organisations charged with
the implementation of new technologies. Evidence from an Action Research
programme for two small-scale rural industries (fish farming and coffee
production) in Cauca, Colombia, illustrates the design elements and out-
comes of the intervention. The findings reveal how barriers to technology
transfer can be overcome.
The action research focus is on the key components of the programme, that
is, on the steering group and the workshops with the fish farmers and coffee
producers, in conjunction with the follow-up. The steering group was a type
of committee designed to nurture the community of practice that was com-
60
prised of advisors from the intermediary, the academics, and the officials
from three government bodies. Several communities of practice were fol-
lowed: one with coffee producers, a second with fish producers, a third with
governmental and non-governmental organisations, a fourth with fish and
coffee producers and governmental and non-governmental organisations.
The workshops and the follow-up visits were designed to create boundary
interfaces between the steering group and the fish farmers and coffee pro-
ducers in an effort to strengthen the two communities of practice.
The knowledge of how to improve the steering group operations and work-
shops with the fish farmers and coffee producers was essential for achieving
future success with the technology transfer process.
Taking a Situated Learning Theory perspective, Paper 1 identifies two key
aspects of the intermediation of technology transfer. The first component,
which relates to the supply side, refers to the role of the intermediaries as
brokers who nurture a coalition aimed at transferring technologies to rural
industry. Such communities of practice may unite all key stakeholders.
Intermediaries should engage in brokering as they strive to devise a bal-
anced membership structure, establish agreed-upon accountabilities, and
create common agendas and goals, action plans, and technology diffusion
assessment frameworks. The second component, which relates mainly to the
demand side, refers to the role of intermediaries as brokers in the develop-
ment of a community of practice for technology recipients. Paper 1 argues
that brokering should involve the administration of effective workshops and
assistance visits in which the intermediary’s advisors are the coalition inter-
face with potential technology recipients.
7.2 Paper 2 Intermediation for technology diffusion and user innovation in a developing
rural economy: A social learning perspective
Entrepreneurship and Regional Development, Vol. 26, Nos. 7–8, 2014,
Pages 645–662.
Authors: Nicholas Theodorakopoulos, David Bennett, and Deycy Janeth
Sánchez Preciado
Paper 2 examines effective end-user intermediation in low-technology, de-
veloping economies. Technology intermediaries can be vehicles for address-
ing perennial problems in transferring technology from university to indus-
try. However, studies on the role of intermediaries tend to focus on compa-
61
nies that operate in high-technology clusters. Relatively little attention has
been paid to how third-sector research and advisory centres facilitate tech-
nology transfer and user innovation in low-technology environments such as
the rural clusters of small-scale agribusinesses in rural developing econo-
mies.
Paper 2 documents the importance of the role of academic-related research
and advisory centres as intermediaries in brokering, facilitating, and config-
uring technology against the backdrop of a group of small-scale pisciculture
businesses in a rural area of Colombia.
Paper 2 describes and analyses three intermediary functions of academic-
related research and advisory centres. The first function is brokering, which refers to gaining support from transferors for the technology transfer
process. Some brokering activities relate to features and functionalities of
new technologies and to the communication of user needs, requirements and
the conditions of the supply side. The second function is facilitating, which refers to providing opportunities to users to adopt technology through edu-
cation, distribution of resources, and establishment of local rules. Facilitat-
ing involves creating such as social communities and networks for transfer-
ring know-how. The third function is configuring, which refers to arranging
and transforming the content of technology, setting rules on use, prioritizing
production means, and shaping the goals and expectations of the partici-
pants.
A longitudinal ‘engaged scholarship’ approach was taken in an intervention
programme aimed at improving fish production, the unit of analysis. This
approach is a participatory form of research used to acquire key stakehold-
ers’ views on a complex social problem. Data on the programme’s broker-
ing, facilitating, and configuring functions were drawn from multiple
sources – NGO consultants, the pisciculture business owners, and key repre-
sentatives from regional government agencies. These data were collected
through participant and nonparticipant observations of the programme func-
tions, as well as in personal interviews with various stakeholders, including
the intermediaries’ consultants, government officials, and business owner-
managers.
62
7.3 Paper 3 Transferring intermediate technologies to rural enterprises in developing
economies: A conceptual framework
Prometheus, Vol. 34, No. 2, 2016, Pages 153-170.
Authors: Deycy Janeth Sánchez Preciado, Bjorn Claes, and Nicholas Theo-
dorakopoulos
Paper 3 examines the enablers that drive the transfer of low-technology
solutions from transferors to recipients in rural developing economies.
While many of the enablers that were identified in the literature are useful,
they may require some modification or development if they are to have rel-
evance in this research setting. To address this shortcoming, Paper 3 re-
views the technology transfer literature to identify and evaluate the factors
that are explicitly highlighted as enablers that facilitate the technology trans-
fer process. Where their relevance to technology transfers in rural develop-
ing economies falls short, additional enablers are proposed.
Paper 3 proposes a framework of a specific set of features that facilitates
technology transfer of intermediate technologies in rural developing econo-
mies. The seven identified features of the framework are the following:
i) Absorptive capacity;
ii) Understanding of the technology source and market maturity;
iii) Cultural and geographic proximity between transferor and recipient;
iv) Recipients’ comprehension of the financial implications of the technolo-
gy transfer;
v) Intermediaries that connect transferor and recipient;
vi) Institutional networks that adapt the technology to the local needs; and
vii) Prior experience in technology transfer projects.
The last three features are dealt with only to a limited extent in the
technology transfer literature.
63
The seven features described in Paper 3 were reviewed for their relevance in
facilitating the technology transfer to low-technology recipients in rural
developing economies. These features are different from many of the tradi-
tional features in several ways.
i) Several of them emphasize aspects of the transfer process that are close to
the daily reality of the recipients and the way these recipients interact with
the technology;
ii) They highlight the experiential learning aspect of the transfer process and
the degree to which acquired skills from previous and on-going transfers are
likely to support actual and future transfers of technology; and
iii) They focus on aspects of the technology transfer process at different
organisational levels (ranging from individual to institutional).
Thus, these features address an important gap in the literature on technology
transfer in this specific, but increasingly important, socio-economic context.
7.4 Paper 4 Enabling transfer of intermediate technologies - A rural business project
case in rural Colombia
This paper was submitted to Journal of Rural Studies, 2018.
Author: Deycy Janeth Sánchez Preciado
Paper 4 addresses the poor understanding of the importance of the transfer
of intermediate technologies in rural developing economies. Paper 4 empiri-
cally evaluates features that enable technology transfer of intermediate
technologies in a rural developing economy. Because intermediate technol-
ogies are less technically sophisticated than advanced technologies, they are
more affordable and more understandable for many rural business owners-
managers.
Taking a qualitative research approach, technology transfer processes are
analysed in the context of a new product development project involving
small-scale rural enterprises, universities, NGOs, and government organisa-
tions in Cauca, Colombia. Drawing on rich longitudinal data, Paper 4 exam-
ines the enablers of technology transfer processes in the context of a project
64
in which waste products from fish production are used as raw materials in a
new product – a pellet to feed trout and tilapia in rural Colombia.
The main findings of Paper 4 concern the enablers of technology transfer
processes, including the relationships among the enablers. Paper 4 reveals
that three enablers – those enablers that are less prominent in the literature
on technology transfer – could compensate for the deficiency in partici-
pants’ capabilities. These enablers could facilitate the efficient transfer of
technology.
Paper 4 contributes to the literature on technology transfer with its empirical
analysis of a theoretical enabler framework for rural developing economies.
From the practitioners’ point of view, Paper 4 reveals certain areas of inter-
est in the use of enablers for transferring intermediate technologies in rural
developing economies.
7.5 Paper 5 Evolution of systems of technology transfer in rural developing economies
Paper submitted to the 17th Conference International Schumpeter Society,
2018
Authors: Deycy Janeth Sánchez Preciado, Magnus Holmén, and Daniel
Ljungberg
Paper 5, which is a longitudinal study of technology transfer, addresses an
under-investigated area in the literature. Paper 5 analyses how systems of
technology transfer evolve. Paper 5 describes case studies of technology
transfer in rural developing economies. Much of the extant literature on
systems of actors takes an evolutionary perspective on how value is created
through the development, distribution, and assimilation of knowledge
through the actions of, and relationships among, actors. However, much of
this literature avoids the analysis of how the micro-foundations in this
process unfolds or how the systems evolve over time.
The originality of Paper 5 is that it addresses the evolution of ‘systems’ of
actors of technology transfer by analysing changes in the focal actors and in
their problems, activities, and implemented solutions. Empirically, Paper 5
analyses fish and silk production in Cauca, Colombia, a rural region charac-
terized by a low level of education among the farmers.
65
Paper 5 shows how two technology transfer systems evolve among produc-
ers (recipients), the university (transferor), and the intermediaries. While
production was initiated by national and international organisations, these
policy programmes failed to create viable production and a successful tech-
nology transfer. The failure was attributable to a lack of producer commit-
ment and to transferor and government short-sightedness.
The evolution of the systems of technology transfer was sequential as the
problems were identified and solutions were proposed and acted upon. The
main organising principle of these problems was the projects, which means
the evolution can be characterized by sequences of projects that address
specific and changing problems over time. The major problems that
emerged sequentially were technology-related, customer understanding-
related, and market- and distribution-oriented.
Paper 5 describes how the problems evolved and new problems arose.
Gradually, the technology transfer process was professionalized in terms of
its design and operations, supported by the improved educational level of
the intermediaries. The case studies presented in Paper 5 are consistent with
evolutionary theory. Paper 5 concludes with general lessons for technology
transfer from an evolutionary perspective.
66
Table
6.
Sum
ma
ry o
f th
e fi
ve p
ap
ers
of
the
thes
is
Pap
er
Pu
rpose
M
eth
od
olo
gy
T
heo
ry(i
es)
Co
ntr
ibu
tio
n
PA
PE
R 1
:
Tra
nsf
erri
ng
te
chn
olo
gy
from
un
i-
ver
sity
to
ru
ral
indust
ry
wit
hin
a
dev
elop
ing
econ
om
y co
nte
xt:
T
he
case
fo
r n
urt
uri
ng
com
munit
ies
of
pra
ctic
e.
Pu
bli
shed
in
Journ
al:
Tec
hn
ova
tio
n
Vol.
3
2,
Nos.
9–
10,
Sep
tem
ber
–
Oct
ober
20
12,
Pag
es 5
50
–559
.
Th
e ai
m o
f th
is p
aper
is
to d
emon
stra
te h
ow
tech
nolo
gy
tran
sfer
fro
m
univ
ersi
ty t
o r
ura
l in
du
s-
try
can
be
affe
cted
by
usi
ng a
cad
emic
-rel
ated
rese
arch
an
d a
dvis
ory
cen
tres
as
inte
rmed
iari
es.
Qu
alit
ativ
e re
sear
ch.
Inte
rven
tion
ist
ap
-
pro
ach
.
Un
it o
f an
alys
is:
two
Com
mun
itie
s of
Pra
c-
tice
(C
oP
), in
fis
h
farm
ing a
nd
coff
ee
pro
du
ctio
n.
Sit
uat
ed
Lea
rn-
ing
Th
eory
Org
anis
atio
nal
lear
nin
g
ap-
pro
ach
.
Th
is
pap
er
de-
scri
bes
th
e ro
le
of
inte
rmed
iari
es
as
bro
ker
s in
nurt
uri
ng
a co
alit
ion
CoP
con
cern
ed
wit
h
dif
fusi
ng
tech
nolo
-
gy
to r
ura
l in
dust
ry.
PA
PE
R 2
:
Inte
rmed
iati
on
for
Tec
hn
olo
gy
Dif
-
fusi
on
an
d U
ser
Inn
ovat
ion i
n a
De-
vel
op
ing
R
ura
l E
con
om
y: A
S
oci
al
Lea
rnin
g P
ersp
ecti
ve
Pu
bli
shed
in
Journ
al:
En
trep
reneu
rship
and R
egio
nal
De-
velo
pm
ent
Vol.
26,
Nos.
7–8, 2014
Pag
es 6
45
–6
62
.
Th
e pap
er d
ocu
men
ts t
he
role
th
at a
cad
emic
-
rela
ted
res
earc
h a
nd
advis
ory
cen
tres
can
pla
y as
inte
rmed
iari
es in
bro
-
ker
ing, fa
cili
tati
ng,
and
con
figu
rin
g t
ech
nolo
gy.
Qu
alit
ativ
e re
sear
ch.
Par
tici
pat
ive
form
of
rese
arch
.
Lon
git
udin
al
sin
gle
ca
se
stu
dy,
fi
sh
farm
-
ing
net
work
.
Sit
uat
ed
Lea
rn-
ing
Th
eory
Org
anis
atio
nal
le
arn
ing
ap
-
pro
ach
.
Th
is
pap
er
dem
on
-
stra
tes
how
te
ch-
nolo
gy
inte
rmed
ia-
tion
acti
vit
ies
are
impro
ved
in
th
e
dom
esti
cati
on
and
dif
fusi
on
of
tech
-
nolo
gy
amon
g e
nd
-
use
rs.
67
Table
6.
Sum
ma
ry o
f th
e fi
ve p
ap
ers
of
the
thes
is
Pap
er
Pu
rpose
M
eth
od
olo
gy
T
heo
ry(i
es)
Co
ntr
ibu
tio
n
PA
PE
R 3
:
Tra
nsf
erri
ng
in
term
edia
te
tech
nolo
-
gie
s to
rura
l en
terp
rise
s in
dev
elop-
ing
eco
nom
ies:
A c
on
ceptu
al f
ram
e-
work
.
Pu
bli
shed
in
Journ
al:
Pro
met
heu
s
Vol.
34,
No. 2
, 2016
Pag
es 1
53
-170
.
Th
is p
aper
rep
rese
nts
an
ef
fort
to r
evie
w t
he
tech
-
nolo
gy
tran
sfer
lit
erat
ure
and a
sses
sin
g e
nab
lers
that
are
ex
pli
citl
y h
igh
-
lighte
d a
s fa
cili
tato
rs o
f
the
tech
nolo
gy
tran
sfer
pro
cess
.
Con
cep
tual
p
aper
bas
ed o
n t
he
sear
chin
g
and an
alys
is of
pap
ers
on
tec
hn
olo
gy
tran
sfer
.
Tec
hn
olo
gy
tran
sfer
li
tera
-
ture
.
Fra
mew
ork
of
sev-
en en
able
rs fo
r th
e
tech
nolo
gy
tran
sfer
pro
cess
to
ru
ral
ente
rpri
ses
of
de-
vel
opin
g
econ
o-
mie
s.
PA
PE
R 4
:
En
abli
ng
Tra
nsf
er o
f In
term
edia
te
Tec
hn
olo
gie
s -
A R
ura
l B
usi
nes
s
Pro
ject
Cas
e in
Rura
l C
olo
mbia
Pap
er p
rese
nte
d a
t th
e D
oct
ora
l C
on
-so
rtiu
m, M
ay,
2017, S
pai
n.
Th
is p
aper
was
subm
itte
d t
o J
ourn
al
of
Ru
ral
Stu
die
s.
Th
e pap
er b
uil
ds
on
pri
or
lite
ratu
re
per
tain
ing
enab
lers
for
the
tech
nol-
og
y tr
ansf
er,
spec
ific
ally
the
pap
er
stu
die
s th
e im
port
ance
of
tech
nolo
-
gy
tran
sfer
en
able
rs.
Qu
alit
ativ
e re
sear
ch.
Par
tici
pat
ive
form
of
rese
arch
.
Sin
gle
cas
e st
ud
y: f
ish
pro
ject
.
Fra
mew
ork
of
seven
en
able
rs
for
the
tech
nol-
og
y tr
ansf
er
pro
cess
.
Des
crip
tion
of
ena-
ble
rs f
or
tech
nolo
gy
tran
sfer
pro
cess
es
and t
he
rela
tion
ship
bet
wee
n t
hem
in t
he
anal
ysis
of
a si
ngle
case
stu
dy i
n a
rura
l
con
text
of
dev
elop-
ing e
con
om
ies.
68
Table
6.
Sum
ma
ry o
f th
e fi
ve p
ap
ers
of
the
thes
is
Pap
er
Pu
rpose
M
eth
od
olo
gy
T
heo
ry(i
es)
Co
ntr
ibu
tio
n
PA
PE
R 5
:
Evolu
tion
of
syst
ems
of
tech
nolo
gy
tran
sfer
in
ru
ral
dev
elopin
g
econ
o-
mie
s
Pap
er
subm
itte
d
to
the
con
fere
nce
17
th
Con
fere
nce
In
tern
atio
nal
Sch
um
pet
er S
oci
ety.
Th
is p
aper
an
alyse
s h
ow
te
chn
olo
gy
tran
sfer
evolv
es i
n r
ura
l d
evel
op
-
ing e
con
om
ies.
Qu
alit
ativ
e re
sear
ch.
Lon
git
udin
al
mu
ltip
le
case
stu
die
s of
fish
an
d
silk
pro
du
ctio
n.
Evolu
tion
ary
fram
ework
,
pro
ble
m
form
u-
lati
on
an
d
-
solv
ing
Expla
nat
ion
of
an
evolu
tion
ary
se-
quen
ce
of
stag
es
that
im
pro
ve
the
oper
atio
n of
a sy
s-
tem
of
acto
rs i
n t
he
tech
nolo
gy
tran
sfer
pro
cess
.
69
Table
7.
Sum
ma
ry o
f m
y ro
le i
n t
he
pre
pa
rati
on o
f th
e paper
s
Pap
er
Lit
eratu
re
stu
die
s
Res
earc
h
des
ign
Data
co
l-
lecti
on
An
aly
sis
Wri
tin
g &
pre
sen
tati
on
Co
mm
en
ts
1
Sh
ared
S
ole
re
spon
-
sibil
ity
Sole
re
spon
-
sibil
ity
Sh
ared
S
har
ed
I w
as in
volv
ed in
th
e se
lect
ion
of
the
Sit
uat
ed
Lea
rnin
g
Th
eory
, dat
a co
llec
-
tion
, dat
a an
alys
is,
and pre
senta
tion
of
the
resu
lts.
2
Sh
ared
S
ole
re
spon
-
sibil
ity
Sole
re
spon
-
sibil
ity
Sh
ared
S
har
ed
I w
as in
volv
ed in
th
e se
lect
ion
of
the
Sit
uat
ed L
earn
ing T
heo
ry a
nd d
ata
col-
lect
ion
, dat
a an
alys
is,
and
pre
sen
tati
on
of
the
resu
lts.
3
Sole
auth
or
Sole
re
spon
-
sibil
ity
Sole
re
spon
-
sibil
ity
Sole
au
-
thor
Sh
ared
I
was
res
pon
sible
for
the
des
ign
of
the
stu
dy,
rev
iew
of
the
lite
ratu
re,
syn
thes
is
of
the
info
rmat
ion
, an
alys
is
of
the
in-
form
atio
n,
pre
sen
tati
on o
f re
sult
s, o
rgan
-
isat
ion
of
the
docu
men
ts,
and t
he
par
tic-
ipat
ion
of
the
co-a
uth
ors
duri
ng
the
pro
cess
.
4
Sin
gle
-auth
ore
d p
aper
.
5
Sh
ared
S
ole
re
spon
-
sibil
ity
Sole
re
spon
-
sibil
ity
Sh
ared
S
har
ed
Sh
ared
re
spon
sibil
ity
for
the
anal
ysis
and
wri
tin
g o
f th
e pap
er.
70
8. Conclusions
This doctoral thesis addresses the technology transfer process in rural
developing economies. In particular, it focuses on the technology transfer
process in small-scale production in rural developing economies.
I argue that the literature on technology transfer offers many useful insights
although they are insufficient for fully developing a well-functioning pro-
cess between rural enterprises and universities or other types of organisa-
tions. In the attempt to complement and adapt the existent literature empiri-
cally, I posed and addressed the three research questions of this thesis.
RQ #1: How do intermediaries influence technology transfer of
intermediate technologies in rural enterprises of developing economies?
The focus in this research is on a specific type of organisation -
intermediaries - that facilitate the interaction between recipients and
transferors in rural developing economies. In my research, I show that
intermediaries are important actors in the interaction between recipients and
transferors. Empirically, for two of my three case studies, the intermediaries
played two major roles. The first role was as a broker between the producers
and the transferor, supporting the packaging and adaptation of the new
technology, and ensuring that the technological expectations and the
practical implementation were aligned. The second role was as an
independent advisor to the producers and transferors, thereby supporting the
connection between the various participants.
Papers 1 and 2 describe the experiences of fish and coffee producers during
the transfer of enviromentally friendly technologies. Based on the empirical
material of this research, the use of external organisations as intermediaries
seems to be more effective than when rural enterprises did it by themselves.
It is can be costly for the recipients in terms of time and effort, and can
attract financial support from the government. More generally, the findings
of this research show that the use of intermediaries has great potential for
decreasing transaction costs between transferors and recipients.
71
In addition, I suggest that intermediary organisations in some cases, such as
fish and coffee, seem to be relevant. The following section explains the
major role that intermediaries play in the technology transfer process and
describes the types of organisations that could be intermediaries.
Brokering function of the intermediaries
Intermediaries may act as brokers by trying to ensure that the other partici-
pants’ expectations and the practical implementation of the technology are
aligned. This can be understood in terms of the negotiations between trans-
ferors and recipients intended to adapt the technology according to the con-
text of the producers (i.e. the recipients). Through their participation, the
intermediaries contribute to the development and implementation of tech-
nology by facilitating innovative adaptation at the collective level of the
producers. From a Situated Learning Theory perspective, the intermediation
involves the management of clear boundary objects (technology types) in
boundary events (workshops and technical assistance visits).
In two cases (coffee and fish), the intermediaries acted as brokers by nurtur-
ing a coalition as a network of organisations concerned with diffusing tech-
nology to rural industry. The coalition consisted of a group of people repre-
senting the participants in the technology transfer who worked as communi-
ty of practice. In the fish and coffee cases, they brokered a balanced mem-
bership structure, established agreed-upon accountabilities, set common
agendas and goals, and developed action plans and technology diffusion
assessment frameworks. The intermediaries helped the producers and trans-
ferors negotiate their relationships, connect their perspectives, and develop
communal identities that were effective. The intermediary clearly articulates
the rationale, requirements, and opportunities in technology adaptation,
diffusion, and innovation.
I argue that brokering should involve the staff of participant governmental
and non-governmental organisations as the intermediary’s advisors who
represent the coalition’s interface with the potential recipients of the tech-
nology. Specific instruments for this may include, but are not limited to, the
administration of effective workshops and assistance visits. The coalition,
which I theoretically described as communities of practice (CoP), identified
demand-side needs. My research shows that working inside CoPs enables
the communities to develop effective identities and competencies related to
adapting and using technology innovatively. Notably, the intermediary’s
prior experience in the provision of similar services, its ability to recruit
72
other powerful brokers, and the structures that foster the adoption of new
technology (e.g. certification requirements) have considerable influence on
the efficacy of this process.
None of the five papers of this thesis explains why brokering is needed in
the first place. From a “world perspective,” the problems that producers face
may not be intrinsically complex. However, because of the background and
the context of the producers, the problems are complex for them. This im-
plies that the producers cannot solve the problems by themselves; they need
others to contribute a different and knowledgeable point of view.
Intermediaries as independent research and advisory centres
The main responsibility of the intermediary is to diffuse technologies that
are adapted to address specific needs of producers (in this thesis, rural en-
terprises), through mass-technology customization activities. This is possi-
ble because intermediaries act independently of other organisations but are
still strongly connected with their individual goals. They coordinate the
different roles of the participants.
The role of the intermediaries in part depends on the extent to which they
understand the transferred technology. Over time, intermediaries acquire
specialized knowledge that increases their ability to interact with other or-
ganisations and to reconfigure the actions they perform. The new
knowledge and capabilities give the intermediaries the legitimacy to operate
as independent actors. The intermediaries reveal the problems that must be
solved by the technology transfer process and address the solutions that
must respond to the interests of all participants.
Collective implementation of the technologies is discussed, in many cases,
by innovative adaptation. As the fish production case demonstrates, adapta-
tion, diffusion, and innovation through brokering, facilitating, and configur-
ing of technology can result in cost savings as well as substantial improve-
ments in quality and productivity for the local pisciculture businesses. Such
improvements are essential for rural enterprises in the local production sys-
tem. These improvements may also achieve the intended goals of develop-
ing new products and in gaining access to international supply chains. If
these goals are achieved, the rural enterprises have the potential to improve
the competitiveness of the local system significantly.
Research and advisory centres are a particularly significant type of technol-
ogy intermediary and a key feature of regional development policy in many
73
Latin American countries. They can identify approaches and instruments for
the technology diffusion in intervention programmes.
This thesis develops a new application of Situated Learning Theory (SLT)
through its use as a perspective in the analysis of technology transfer
processes. SLT offers ways to explain the importance of NGOs and research
and advisory centres in coordinating stakeholders and in facilitating the
technology transfer process from university to industry sectors. This has
been recognized in Latin American as well as in Western countries. Howev-
er, the relatively unexplored role of these intermediaries in the extant litera-
ture points to an important gap in the theory and practice literature on tech-
nology transfer.
The thesis uses SLT as a lens to reveal how the function of such intermedi-
aries in university-to-rural industry technology transfer can be optimised.
This highlights the finding that the use of intermediaries for this kind of
technology transfer involves nurturing and bridging CoPs that deal with
both the supply and demand sides of technology transfer. Improvements in
the activities of these CoPs and their interfaces positively influence the in-
novative adaptation and use of new technology.
The CoPs analysed in the three cases of my research reflect the main fea-
tures described in the literature on SLT (Wenger, 2000). The producers are
experts in production although their academic knowledge is much less than
that of the researchers. In their CoPs, the producers could solve problems
using their local knowledge. In the same way, the CoP members in other
organisations, such as universities, NGOs, and government offices, had the
expertise to solve technological and other problems.
RQ #2: Which features of the participants and their relations affect the
transfer of intermediate technologies in rural developing economies?
Based on a literature analysis and empirical analysis, this thesis identifies
the following seven enablers:
i) Absorptive capacity,
ii) Understanding of the technology source and market maturity,
iii) Recipients’ comprehension of the financial implications of the technolo-
gy transfer,
iv) Cultural and geographic proximity between transferor and recipient,
v) Intermediaries that connect the transferor and recipient,
74
vi) Network of organisations that adapt the technology to the local needs;
and
vii) Prior experience in technology transfer projects.
The first three enablers are associated with the characteristics of the tech-
nology recipients. The following three enablers are associated with the na-
ture of the relationship between transferor and recipient. The seventh ena-
bler relates to a characteristic shared by recipient and transferor.
To assess the enablers, my thesis, which uses the framework of the enablers,
analyses the case of technology transfer in a project in pisciculture in Cauca,
Colombia. Some enablers are intermediaries that connect the transferor and
recipient. Some are networks of organisations that adapt the technology to
the local needs with prior experience in technology transfer projects. They
are different from the enablers traditionally referred to the technology trans-
fer literature for the following reasons:
i) They emphasize aspects of the transfer process that are close to the daily
reality of the recipients and the way these recipients interact with the tech-
nology;
ii) They highlight the learning based on the experience of the transfer pro-
cess and the degree to which acquired skills from previous and on-going
transfers are likely to support actual and future transfers of technology; and
iii) They focus on aspects of technology transfer process from individual to
organisational levels.
The enablers thus address an important and under-researched area in the
literature by explaining how, in technology transfer, they contribute to my
knowledge of the particularities in each experience, the role of the actors,
and the influence of the interactional context.
This thesis reveals that three characteristics of the context and the partici-
pants – those that are less prominent in the literature on technology transfer
– were particularly important in compensating for the lack of the partici-
pants’ capabilities and thus in facilitating an efficient transfer of technology.
These characteristics are the following: 1) the presence of intermediaries
connecting transferors and recipients; 2) the institutional networks that
adapt the technology to the local needs; and 3) the participants’ prior expe-
rience in technology transfer projects.
Technology transfer is considered a highly relevant activity that promotes
learning and creates capabilities by introducing and stimulating recipient
75
innovation (Breznitz, 2011; Cooke and Mayes, 1996; Van Zwanenberg and
Arza, 2013). This study finds that the technology transfer in these cases
initially is more oriented to improving production processes than to devel-
oping new products for new markets. However, when the improvement is
substantial, technology transfer is focused on the development of new prod-
ucts. In this sense, this study demonstrates that measurement of changes in
the market or economic variables using new technologies in silk, coffee, and
fish production are difficult, if impossible, owing to the lack of systematic
information.
RQ #3: How do ‘systems’ of technology transfer evolve in rural
developing economies?
This analysis of technology transfer processes in silk and fish production
over a period of several decades shows that the evolutionary sequences in-
cluded two important categories of problem sources that act as mechanisms
for variety creation and selective retention. The first category concerns
sources external to the emergent technology transfer system. In the two
cases, external sources refer mainly to governments, which in both cases
acted as the igniting force behind the setup of the system. Governments
were thus the formulator of the original problem that the rest of the evolu-
tionary process built on. For instance, in the case of fish farming, the evolu-
tionary process towards a functioning system of technology transfer had its
starting point in the Colombian Government’s identification of the malnutri-
tion problem in the targeted rural regions and its initiation of programmes
for local fish production as an overarching solution.
The second category concerns what may be called endogenous problems
sources, (i.e. problems that result directly from the problem-solving activi-
ties of the recipients, transferors, and intermediaries). In this way, solutions
by themselves may endogenously create new problems that actors may or
may not perceive and decide to act on. An important example is the creation
of producer cooperatives, which, in both cases, were created to receive gov-
ernmental funding and to mitigate the problem of small-scale production by
the individual producers. This implies that the creation and selection of va-
riety normally is an iterative process, where alternatives are generated and
eliminated until a favourable (and satisficing) solution is identified.
Over time, there was an increase in the number of intermediaries by the
creation of a formal organisation that managed the negotiations on behalf of
the recipients. Each intermediary, in a specialized role, could guide the pro-
76
ducers in different aspects of the negotiation. The creation and increased
sophistication of a specialized intermediary that was competent in orches-
trating interventions allowed the recipients to use the new technology suc-
cessfully.
Two conclusions are particular important. First, there is a process of profes-
sionalization or ‘scientification’ in the technology transfer process. In this
process, the practical skills for transferring and intermediating increasingly
draw from research studies. Second, the actors became increasingly sophis-
ticated and specialized. Thus, given the increased sophistication and the
greater division of labour, the two cases developed as systems of technology
transfer.
In the future, the analysis conducted in this thesis can be compared with
other system approaches as a way to understand technology transfer pro-
cesses.
77
9. Discussion and Implications
This thesis contributes to the technology transfer literature with its focus on
the interaction among participants. The thesis shows that technology trans-
fer can be improved by taking contextual aspects into consideration. These
aspects include the huge knowledge asymmetries between transferor and
recipient, the dependence on the government for funding technology trans-
fer processes, and the use of cooperatives as collaborative networks. I will
now briefly discuss the main aspects based on my findings.
With important exceptions (e.g. Madu, 1989; Schneider et al., 2008), the
literature on technology transfer does not spend much time investigating the
process from the perspective of the involved actors. This thesis takes the
actor perspective in describing the technology transfer process. The trans-
ferors described in the case studies of this thesis are the university research
teams and the research centre teams. In general, research teams are able to
conduct research or study the research on their topics of interest. However,
as demonstrated in this thesis, given the context of this thesis, they likely
need to improve their ability to identify the needs of the rural enterprises.
The intermediaries identified in this thesis were NGOs and offices inside
rural cooperatives. Recipients of the technology were the cooperatives and
the cooperative networks that consisted of several farms that belong to a
cooperative but developed a technology transfer process as a network.
This thesis shows that intermediaries can and do play important roles but
cannot comment on how well their results travel. However, I suggest that
intermediaries, when they are needed, play an important role in the follow-
ing ways:
i) Brokering builds a coalition of members of communities of practice
(CoP) to form learning networks to enable collective capacity building and
process innovation among different participant concerned with technology
diffusion. Brokering, as an intermediation function, involves building a
balanced membership structure of a coalition of stakeholders concerned
with technology diffusion and the pursuit of a clear agenda, well-informed
78
action plans, agreed-upon assessment frameworks, and technologies in a
coalition of stakeholders,
ii) Facilitating improves the interaction between participants and configur-
ing advances the new technology. The intermediaries need to promote the
participation of the rural enterprises in the selection the technologies most
likely to be adopted. Workshops, technical training sessions, and assistance
visits are needed to make this facilitation work.
The role of the intermediary implies that the technology transfer considered
interacts between the participants. The transfer reveals a process with more
actors in which the interaction requires more activities such as workshops
and meetings intended to achieve cohesion among the participants. This
might require additional resources, but would also decrease the transaction
costs and increase the coverage for all the members in the rural enterprises.
The interaction between transferors and recipients seems to be easy to de-
velop, but does not necessarily promote coordination in the system of actors
that supports the rural enterprise. Then, the recipients have almost the entire
responsibility for the decisions related to the process.
With only a few exceptions (e.g. Hervas-Oliver et al. 2012; Spithoven et al.,
2011), studies on the role of such intermediaries have mainly focused on
companies that operate in high-technology clusters. Relatively little
attention has been paid to how research groups and advisory centres, such as
technology intermediaries, facilitate technology transfers and user
innovation in low-technology, rural clusters of small-scale agri-businesses
in developing economies. Notably, although various typologies of
technology intermediaries have been developed (Bessant and Rush, 1995;
Howells, 2006; Spithoven et al., 2011), the modus operandi of such
organisations is still not well understood.
This study contributes to the technology transfer literature by expanding the
analysis of barriers created by low technical knowledge among recipients in
relation to technology transferors. The study also explains how the asym-
metry between the transferors’ and recipients’ knowledge is mitigated. A
practical contribution is the development of a framework to support
technology transfer in rural developing economies and in the evolutionary
stages of the technology transfer process.
Reflecting on my previous empirical research, it is clear that an important
aspect of this thesis is that even so-called simple technology transfer pro-
79
cesses are difficult, cumbersome, and time-consuming – for both recipients
and transferors.
In my previous research, I described the technology transferred to the fish
farming and coffee producer communities as a simple process technology,
oriented toward the needs of small-scale suppliers and appropriate for rural
conditions. Using the Leonard-Barton (1990) typology, all types of technol-
ogy adopted fall under the category of ‘simple diffusion’. This means they
are characterised by a narrow technology scope with a large number of users
per technology application. These technologies are transferred in packages
that include soft and hard components.
However, in the second stage of the thesis, I realized that technology trans-
fer processes, in this context, are complex and not easily understood or
promoted, at least from the perspective of the involved actors. The analysed
cases show that rural enterprises achieved technology transfer processes
despite the difficulties in following the desired operation of enablers. A
deep analysis of each enabler demonstrates that some enablers were more
relevant than others in each case.
Traditionally, the success of transfers of technology has mostly been ex-
pressed in quantitative terms (e.g. number of patents or licences that are
transferred, or the number of new products or services that are developed
using those patents or licences). In this research, however, such quantitative
data were rarely available, were difficult to collect, or were unreliable.
80
10. Areas for Future Research
10.1 Assessment of the identified enablers in other de-
veloping countries Although the implications for theory and practice from this research are not
strictly delimited to this particular setting, more technology transfer inter-
ventions need to be examined. Such research could be conducted in other
countries, other industrial sectors, and other cultures. This research could
provide real-world laboratories for improving or customising new technolo-
gies as well as for shedding light on the role that different contexts and
structures may play in facilitating or inhibiting intermediation in university-
to-industry technology transfer.
This research could also enhance the understanding of how research and
advisory centres as technology transfer intermediaries can mobilise different
stakeholders and deal with different institutional arrangements as they seek
to make improvements in a variety of industries. Such an approach might
advance the adoption of a much-needed and balanced view of agency and
structure in the current analyses.
A better understanding of how technology intermediaries function effective-
ly may benefit all stakeholders in participatory technology transfer and de-
velopment. This includes academics, policy-makers, public administrators,
support service providers, and technology recipients. The findings in this
thesis may promote further research that stimulates the scrutiny of new ele-
ments and considerations pertinent to the transfer of intermediate technolo-
gies to developing rural economies.
Knowing “what works” is instrumental in designing interventions (Pawson,
2006; Pawson and Tilley, 1997; Sanderson, 2000). In the setting of the re-
search for this thesis, it was significant that the technology intermediation
initiatives were taken in a way that addressed deficiencies and promoted the
enhancement and innovative activity of rural production systems. I suggest
that Stewart and Hyysalo’s (2008) three main intermediation functions
81
(brokering, facilitating, and configuring) in technology adaptation, diffu-
sion, and innovation can be improved by optimizing the intervention com-
ponents identified in this thesis.
10.2 Effects of technology transfer processes The sheer number of organisations classified as small rural enterprises in
regions of developing economies, and their paramount significance in socio-
economic terms, suggest that the enablers that facilitate technology transfer
to such organisations merit further research.
Economic and social perspectives have been addressed in the literature on
international technology transfer at a country level. However, in the domes-
tic technology transfer, when the intermediation and interaction among par-
ticipants does not as it does a in international technology transfer, a new
way of analysing social and economic aspects must be defined. How do
intermediation and interaction in the technology transfer affect socially and
economically rural enterprises?
Future studies might analyse additional aspects of the results following
technology transfers in terms of local economic, social, and environmental
performance. Such research could provide us with a more integrated under-
standing of the relationship between intervention outcomes and rural devel-
opment at the local level (Baumgartner et al., 2013). Given that prior re-
search points to some adverse effects on local social capital resulting from
such interventions (Atterton, 2007; Phillipson et al., 2006), future studies
should consider both positive and negative effects.
The enablers investigated in this study can be assessed using qualitative
methods in addition to quantitative measures. This qualitative evaluation
can contribute to a better understanding of the transfer process and its de-
terminants. Given the scarcity of the literature that focuses on technology
transfer for communities with different cultures in rural areas (e.g. Figueroa
et al., 2013; Kovic, 2010), the strategy adopted by many developing econo-
mies generally follows the trend in developed countries. However, this
strategy often lacks a thorough appreciation of how suitable such prescrip-
tions are to their context.
82
Notwithstanding the value of demonstrating “what works” in intermediation
initiatives that deliver positive outcomes, such outcomes should eventually
be linked to social and economic effects.
I suggest that future research on this subject should consider variations in
the type of intermediation, as well as the effect of such interventions, in
different countries and in different industrial sectors. Such research could
address theoretical replication and advance technology domestication and
diffusion in different contexts, especially in less-developed countries.
10.3 Failed technology transfer experiences in develop-
ing economies This thesis reports on cases in which technology transfer was achieved and
which demonstrated a gradual increase in the participation of the actors
involved. However, there are not many studies set in developing economies
that describe the failures with technology transfer programmes and projects.
In some cases, although such analyses might dramatically decrease foreign
investment in rural developing economies, the analyses might also increase
our understanding of why such programmes and projects fail in terms of
individuals, enterprises, and regional systems for technology transfer.
Using the framework of enablers for technology transfer, future studies
could analyse failures of technology transfer projects. These analyses could
explain why these projects failed, and if, at least, partial improvements were
evidenced in the participants’ knowledge. Such studies should address the
possible “dark sides” of the various actors’ interests in the process. The
approach taken in this thesis does not analyse the changes in the actors’
interactions when the technology transfer is unsuccessful.
83
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