La littérature a porté une attention croissante à la Responsabilité Sociale des Entreprises (RSE) et à la gestion de la chaîne logistique (GCL). Cependant, peu de recherches ont été menées de la perspective de la PME. Ainsi, l’objectif de cette recherche est de mieux comprendre l’engagement de la PME dans des pratiques de responsabilité sociale au sein de sa chaîne logistique. Cette thèse, à travers trois articles, examine la question suivante : Comment la PME adopte-t-elle des pratiques RSE sous la pression des clients et des fournisseurs, et étend-t-elle ses pratiques RSE dans sa chaîne logistique ? Dans le premier chapitre, nous montrons en utilisant une approche de modélisation par équation structurelle et des données recueillies auprès de 273 PME, que les pressions institutionnelles exercées par les partenaires de la chaîne logistique influencent différemment le niveau de pratiques de RSE dans les PME. L’étude démontre notamment que les pressions coercitives n’ont pas d’influence significative sur les pratiques RSE, alors que les pressions mimétiques et normatives influencent de manière positive et significative le niveau des pratiques RSE. Par ailleurs, l’influence positive des pressions normatives sur les pratiques RSE est plus forte pour les PME situées en aval de leur chaîne logistique tandis que les PME situées en amont sont sensibles aux pressions mimétiques sur leurs pratiques environnementales, de ressources humaines et commerciales. Dans le deuxième chapitre, notre étude révèle à travers des études de cas de six triades de PME, que les PME utilisent des capacités de « co-évolution » ou de «contrôle réflexif» pour étendre la RSE au fournisseur de premier rang, tandis qu’elles utilisent la «délégation active», les capacités de «re-conceptualisation de la chaîne logistique» ou l'approche «don’t bother» pour étendre la RSE au fournisseur de second-rang. Enfin, le troisième chapitre indique à travers une revue systématique de la littérature que les PME peuvent jouer quatre rôles dans la mise en place de pratiques RSE dans la chaîne logistique : adoptant, bloqueur, générateur ou transmetteur. Nous avons également identifié les caractéristiques des PME et les facteurs de contingence liés aux différents rôles des PME. Par cette thèse, nous enrichissons la littérature en montrant la diversité des pressions auxquelles sont soumises les PME dans leur chaîne logistique, les mécanismes qu’elles utilisent pour étendre leurs pratiques RSE au-delà du fournisseur de premier-rang, et le rôle crucial qu’elles jouent dans la mise en place d’une chaîne logistique durable. / Recent years have seen a considerable increase in the literature concerning the separate areas of Corporate Social Responsibility (CSR) and Supply Chain Management (SCM). However, little scholarly attention has been paid on the link between the two from a small and-medium sized enterprise (SME) perspective Therefore, this research aims to provide a better understanding of the engagement of SMEs in CSR practices in their supply chains. This thesis, through three articles, investigates the following research question : How does the SME adopt CSR practices through suppliers and customers pressures and extend its practices in the supply chain ?In the first chapter, using a structural equation modeling approach and data collected from 273 SMEs, our findings indicate that institutional pressures exerted by supply chain partners influence differently the level of CSR practices in SMEs. Notably, the study demonstrates that coercive pressures have no significant influence on CSR practices, whereas mimetic and normative pressures influence positively and significantly the level of CSR practices. Furthermore, the positive influence of normative pressures on CSR practices is stronger for SMEs situated downstream in their supply chain, whereas SMEs in further upstream positions are those which are sensitive to mimetic pressures for their environmental, human resources and marketplace practices.In the second chapter, based on a multiple-case study examining six triadic relationships, our study reveals that SMEs use “co-evolving” or “reflexive control” capabilities to extend CSR to the SME first-tier supplier. The findings reveal that, in contrast, SMEs use “active delegation”, “supply chain re-conceptualization” capabilities or a “don’t bother” approach to extend CSR to the SME second-tier supplier.Finally, the third chapter indicates using a systematic literature review that SMEs can undertake four roles in implementing CSR in the supply chain. We also identify the SMEs characteristics and the contingency factors that are related to the different roles of SMEs.This thesis contributes to fill the gap in literature by demonstrating the variety of pressures SMEs face in their supply chain, the mechanisms they use to extend CSR beyond the first-tier supplier, and the crucial role they play in the development of a sustainable supply chain.

O objetivo do presente trabalho é avaliar a possibilidade de utilização dos fundos de investimento em direitos creditórios no financiamento de micro e pequenas empresas. O estudo parte da problemática teórica da assimetria de informações e faz um panorama do mercado brasileiro de crédito, com ênfase nas micro e pequenas empresas. A partir da análise da legislação pertinente a esses fundos, nota-se que não existe impedimento legal à constituição de FIDCs que objetivem fomentar os micro pequenos negócios. No final de 2005, cinco fundos de investimento em direitos creditórios para financiamento de micro e pequenas empresas entraram em funcionamento no Brasil. Por meio da análise do desempenho dos fundos em atividade, percebe-se que esta nova modalidade de financiamento se mostra como uma alternativa viável e promissora no provimento de crédito a micro e pequenos empresários, pois além de aumentarem o acesso desse segmento de mercado a empréstimos, o faz a taxas menores do que aquelas praticadas pelas instituições financeiras convencionais. / The purpose of the present study is to evaluate the possibility of financing micro and small enterprises by means of accounts receivables investment funds. The study starts with a review of the asymmetric information problem and makes a review of the Brazilian credit market, with a special emphasis on micro and small enterprises. Analyzing the legislation of those funds, it can be noted that there is no legal impediment to constitute funds with a focus on fomenting micro and small businesses. At the end of 2005, five funds to finance micro and small enterprises were constituted in Brazil. Analyzing the performance of those funds in activity, it can be stated that this new modality of financing is a viable and promising one. It allows the access of this segment to the credit market at smaller rates than those practiced by conventional financial institutions.

Os sistemas de mensuração e indicadores de desempenho de inovação são de grande utilidade para sua gestão. Embora explorados pela literatura acadêmica, as organizações possuem dificuldade em implementá-los. Em pequenas e médias empresas (PMEs), a limitação de recursos e capacidades organizacionais, além da dificuldade de acesso a informação, tornam os modelos teóricos pouco viáveis para serem implementados, sobretudo aqueles desenvolvidos para grandes empresas. Neste contexto, esta pesquisa se propôs a desenvolver um sistema de indicadores mais adequado para gestão da inovação de produtos em PMEs industriais tradicionais de média ou baixa intensidade tecnológica. A pesquisa foi conduzida por meio de revisão bibliográfica e estudos de caso em três fases. Iniciou-se com uma primeira compreensão da gestão da inovação em 21 empresas do perfil estudado, evoluindo até o desenvolvimento e teste da ferramenta, mediante verificação de sua aderência em três empresas selecionadas. Nas duas primeiras fases da pesquisa, verificou-se que as empresas analisadas não utilizam processo sistemático de mensuração de desempenho de inovação. Quando muito, utilizam indicadores básicos de resultado, como quantidade de novos produtos desenvolvidos e faturamento advindo de novos produtos. As eventuais mensurações não são realizadas periodicamente e dificilmente geram aprendizados que contribuem para a organização ou para seus processos. A ferramenta construída foi baseada em modelos pregressos, trazendo indicadores de entrada, processo e saída em ideação, conversão / desenvolvimento e difusão. Após verificação de aderência em três casos, o modelo proposto mostrou-se de fácil entendimento e aplicação. Embora possua as limitações naturais de uma ferramenta prescritiva, permite trazer ganhos relevantes para a gestão da inovação de produtos em PMEs do perfil estudado. / Innovation performance measurement systems and indicators are very useful for its management. Although exploited by academic literature, companies find them difficult to implement. In small and medium enterprises (SMEs), limitation of resources and organizational capacities, besides difficulty of access to information, makes theoretical models little viable to be implemented, especially those developed for large companies. In this context, this research proposed to develop a more adequate indicator system for product innovation management in traditional industrial SMEs of medium or low technological intensity. Research was conducted through literature review and case studies in three phases. It began with initial understanding of innovation management in 21 enterprises of the profile studied, evolving to tool development and testing, by verifying its adherence in three selected companies. In the first two phases of the research, it was verified that companies analyzed do not use a systematic process of measuring innovation performance. At most, they use basic result indicators, such as new products developed and revenues coming from new products. Eventual measurements are not carried out periodically and hardly generate learning that contributes to organization or its processes. Developed tool was based on previous models, bringing input, process and output indicators in ideation, conversion / development and diffusion. After testing in three cases, proposed model was easy to understand and apply. Although it has natural limitations of a prescriptive tool, it allows to bring relevant benefits for product innovation management in SMEs of the studied profile.

L’objectif principal de notre thèse consiste à évaluer l’impact du programme national de mise à niveau sur la compétitivité des PME/PMI algériennes qui ont suivi et finalisé ce type de programme. Pour ce faire, nous avons appliqué deux approches, il s’agit de l’approche univariée et l’approche multivariée. Dans la première approche, nous avons utilisé trois méthodes, à savoir : test de Student et test de Wilcoxon, en plus d’un modèle de régression simple. Tandis que dans, la seconde approche, nous avons appliqué un modèle de régression multiple. Par ailleurs, l'analyse empirique porte sur des données de panel d’un échantillon de 67 entreprises algériennes observées durant la période 1997 à 2008. Notre thèse est composée de quatre chapitres. Les deux premiers chapitres avaient pour objectif de faire le point sur la problématique de la compétitivité et de la mise à niveau des entreprises, en se référant à quelques expériences étrangères. Tandis que le troisième et le quatrième chapitre avaient pour objectif, d’abord, de présenter les stratégies et politiques de mise à niveau des PME/PMI algériennes afin d’effectuer une étude économétrique de l’effet escompté de la mise à niveau sur les différents indicateurs de compétitivité. / The principal aim of our thesis is to assess the impact of national program of upgrading on the competitiveness of Algerian Enterprises which have adopted and finalized this kind of program. To do this, we have applied two approaches in order to evaluate the impact of the upgrading; it is the univariate and multivariate approach. In the first approach, we have utilized three methods, namely: parametric test of Student and the nonparametric test of Wilcoxon, in addition a simple regression model. While the second approach apply a multiple regression model. Besides, the empirical analysis involves panel data of a sample of 67 Algerian enterprises observed during the period 1997 to 2008. Our thesis is composed of four chapters. The first chapter aims to introduce the theoretical sub-foundation useful for understanding the competitiveness while the upgrade strategies are stated in the second chapter. The third chapter presents upgrading strategies adopted in Algeria, and finally the last and fourth chapter presents the methodology and the results of the empirical evaluation of the upgrade program of the competitiveness of Algerian Enterprises.

Small and medium-sized enterprises (SMEs) in Lebanon are at risk of failure because of the geoeconomic crisis. The purpose of this single case study was to explore strategies that successful leaders of SMEs use to sustain their businesses during tenuous economic conditions. The target population for the research comprised 6 business leaders of SMEs in Beirut, Lebanon: 3 in the civil security field and 3 in the facilities management field. Kotter's change model theory provided the conceptual framework for this research. Data were gathered from company documents and interviews with SMEs leaders in Beirut. Data were analyzed using Yin's data analysis method, which included compiling the data, disassembling the data, reassembling the data, interpreting the meaning of the data, and concluding the data. Member checking and methodological triangulation were used to add consistency and rigor to the findings. Four themes emerged from the data analysis: (a) leaders of SMEs embedded change management in their organizations to sustain their businesses, (b) leaders of SMEs increased awareness in their organizations, (c) leaders of SMEs succeeded in creating solid organizational and financial structures to ensure a sustainable cash flow, and (d) leaders of SMEs formed niche markets to grow. Leaders of SMEs achieved their strategies by (a) establishing a sense of urgency, (b) forming a powerful guiding coalition by creating awareness in leaders' organizations, (c) empowering others to communicate both organizational and financial visions, and (d) generating short-term wins. The implications for positive social change include the potential to reduce unemployment rates and create new job opportunities by sustaining businesses of SMEs during tenuous economic conditions.

Small and medium enterprises (SMEs), which account for 96% of businesses in Nigeria are often forced to close because they lack access to funds. The purpose of this multiple case study was to explore the sources of funds available for the development and growth of SMEs in Nigeria. The conceptual framework guiding this study was the pecking order theory. Data were gathered from company documents and through semistructured interviews of a target population of 3 leaders of 3 SMEs from the oil and gas industry in Abuja, Kano, and Lagos in Nigeria, with a capitalization of between N5 million to N500 million. Data were compiled and organized, disassembled into fragments, reassembled into a sequence of groups, and interpreted for meaning. Member checking and triangulation of sources between the interviews and company documents added to the trustworthiness of the findings. Two themes morphed from the study: sources of business finance for SMEs and constraints of sourcing of finance for business. The implications for positive social change include the potential to create employment opportunities for youths in the communities by enabling SMEs in Nigeria to succeed and expand through the identification of sources of funding.

Small and medium-sized enterprises (SMEs) contribute to the stability and growth of economies by creating employment in rural and urban areas. More than 60% of SMEs do not survive for longer than 5 years; a lack of leadership skills is among the key problems. The purpose of this multiple case study was to explore the leadership skills owners-managers used to sustain their businesses for longer than 5 years. Research participants were 4 owners-managers of SMEs from the manufacturing industry in Trinidad and Tobago that sustained their businesses for at least 5 years. The contingency leadership model and the skill-based leadership model formed the conceptual lens for this study. Data were collected using semistructured interviews and direct observations. Data were analyzed using Miles and Huberman's analytical strategies and Morse's cognitive process of coding, pattern matching, interpreting, and summarizing the data. Five themes emerged from the data analysis: leadership skills, leadership values, development of leadership skills, leadership challenges, and improvement in leadership skills. The findings from this study could influence positive social change by providing insights on leadership skills SME leaders could use to sustain their operations for the longer term, resulting in reduced failure of SMEs. A decrease in the failure rate of SMEs might contribute to improved economic conditions, leading to the reduction of poverty in families and communities.

Leadership in small and medium enterprises (SMEs) has remained an under-researched area in the management literature, especially in developing countries such as Nigeria. SME owner-managers in Nigeria lacked in-depth understanding of their leadership style to objectively evaluate its implication on long-term performance and growth of their enterprise. The purpose of this qualitative multiple-case study was to explore the experiences of SME owner-managers in Nigeria to gain an in-depth understanding of their leadership style and its implication for long-term performance and growth of their enterprise. The conceptual framework for this study was anchored in two key concepts; leadership styles and leadership in SMEs, with the full range leadership model as the theoretical foundation. The research question sought to explore the role of SMEs owners and managers leadership styles in the long-term success of their enterprise. Interview data were collected from 6 SME owner-managers who employ less than 200 employees within the manufacturing, education, and trading sectors. The cross-case synthesis technique was used for data analysis which allowed for within-case analysis and cross-case comparisons. Findings from this study showed that Nigerian SME owner-managers do not follow any specific leadership style. They exhibited few characteristics of transformational and transactional leadership behaviors, leaning more to transactional leadership. This study has significance for positive social change by providing insights on how leadership styles can improve the performance and sustainability of Nigerian SMEs, thus increasing their capacity to create employment.

Small and medium-sized enterprises (SMEs) account for approximately 50% of the world's gross domestic product. However, these economic agents suffer from inadequate access to liquid funds to finance their operations. The liquidity gap has led to early bankruptcy and liquidation, stagnant growth and development, and fewer employment opportunities. The problem under study was the effect of funding limitations on SMEs' business operations and growth. The purpose was to examine the impact of multilayered capital systems as alternative funding for SME growth. This study was informed by Gilbrat's law and the theory of financial exclusion. The research questions addressed the use of a multilayered capital market as a substitute for the conventional methods of funding for SMEs. A survey instrument was used to collect data using a stratified random sample of 54 small-scale business owners and finance professionals. These participants were identified from U.S. Census Bureau data between 2009 and 2014 across the information technology, service, and manufacturing sectors. Multiple regressions and correlation analyses were used to analyze the data. The results showed that age, credit score, average turnover, and total assets have significant impacts on obtaining funding, especially total assets. Moreover, results showed that growth rates correlated with funding from multilayered capital systems. This study contributes positively to social change by highlighting alternative means of funding SMEs, leading to reduced dependency on government, less crime through gainful employment, and improved corporate social responsibility due to better interactions among community members

This original research seeks to identify unique predictive relationships between the characteristics, values and expectations of entrepreneurs in small and medium sized enterprises (SMEs) and the management practices they choose; and then, the relationships between those practices and business performance. It adds to the current understanding of the impact of entrepreneurs on the performance of their businesses and has also led to the development of two new tools for assessing the performance of SMEs. Growth of the SME sector is important to the public policy agendas of governments, like those in Australia, that are seeking to optimise the employment opportunities associated with an SME sector in which "success" is the norm because SME failure, or underperformance, is associated with many social costs; costs that include reduced earnings for proprietors, potential job loss for staff and financial hardship for suppliers, as well as a reduction in the average per capita spending power of the community in which the failed or under performing business is based. For the SME, business strategy development and implementation is often the role of the entrepreneur owner-manager. The characteristics, values and expectations of entrepreneurs in SMEs may thus influence their choice of management practices and thereby the performance of their businesses. As Cooper (1998) argued: "the primary motivations of the entrepreneur bear upon not only the decision to start but also upon the decisions about how to manage, including whether or not to grow the firm aggressively" (p. 247). Johnson (1990) suggested that there is a strong need to focus future research on the motivation mechanisms of entrepreneurs as drivers of the entrepreneurial process. Johnson's view supports the entrepreneurial trait school of thought that development of an understanding of the individual entrepreneur's characteristics, values and expectations might provide worthwhile insight into her or his behaviour and its relationship to SME success and failure. The purposes of this research, therefore, were, first, to determine the importance of the attributed and attained characteristics of the entrepreneur on the formation of his or her values and expectations; second, to determine the influence of those values and expectations on the choice of management practices; third, to determine the degree to which those management practices influence business performance; and last, to develop a scale of measurement for entrepreneur characteristics, values and expectations that can be used to predict business performance. To enable limited comparison with Kotey's and Meredith's (1997) findings and to control for between industry and between state influences, the chosen context for the research was the furniture industry in Queensland. To add to current knowledge in SME management practices and performance, two new measurement tools were developed for this research. The first quantifies the positiveness of the business intentions of the entrepreneur. The second is a scaled index of perceived performance that takes account of the importance given by an entrepreneur to eight common business objectives and the degree to which he or she is satisfied with the performance of the business for each objective. Both tools are important additions to the limited existing armoury of tools available to researchers seeking to understand and predict SME performance. For the first time, the findings of this research indicate negative relationships between parent occupation skill levels and the importance given by entrepreneurs to the values of responsibility, honesty and competence and the negative role of the entrepreneur's achieved highest qualification on the importance given to values of affection, compassion, religion and national security. The findings thereby highlight the important role played by an entrepreneur's attained characteristics on the formation of his or her values. As well, the results show the important role played by values such as power and responsibility, as well as by high internal locus of control, on an entrepreneur's selection of planning, marketing and future management practices. In turn, the impact of those practices on business performance, as measured by the overall satisfaction of the entrepreneur and the newly created Scaled Index of Perceived Performance, is demonstrated. In so doing, the results shed more light on the complex relationships between entrepreneurs, the management practices they choose, and business performance. For the furniture industry in Queensland, the findings confirm Cooper's (1998) view that there is an empirical relationship between business founding processes and the performance of the business. Also supported is Kotey's and Meredith's (1997) broad finding for the furniture industry in New South Wales that "personal values of owner/managers, the strategies they adopt in operating their firms, and the performance outcomes of their businesses are empirically related" (1997, p. 59). Future research is needed to develop a causal model for those relationships in a variety of SME and other contexts.