Die individuelle Bereitschaft für organisationale Veränderungen stellt eine zentrale Determinante des innovationsförderlichen Führungsverhaltens sowie der Innovativität von Unternehmen dar. Die Dissertation fragte daher nach der Entstehung und Förderung der Innovationsbereitschaft von Führungskräften und untersuchte die darauf bezogene Wirkung der organisationalen Absorptionsfähigkeit. Innovationsbereitschaft wurde hierbei verstanden als das Erkennen und positive Bewerten eines Veränderungsbedarfes sowie einer Veränderbarkeit der unternehmensinternen Situation. Organisationale Absorptionsfähigkeit wurde definiert als dreidimensionales Konstrukt des Erkennens, Aufnehmens und Verwertens von neuem, unternehmensexternem Wissen. Das postulierte Wirkungsmodell wurde mit einer quantitativen Untersuchung an einer nach Größe und Branche für Deutschland repräsentativen Stichprobe von 668 kleinen und mittleren Unternehmen empirisch überprüft. Dabei zeigte sich, dass der Kontakt zu externem Wissen den wahrgenommenen Veränderungsbedarf erhöhte, während die systematische Verarbeitung und Weitergabe dieses Wissens die wahrgenommene Veränderbarkeit der Unternehmenssituation positiv beeinflussten. Bisherige Prozessinnovationen reduzierten den wahrgenommenen Veränderungsbedarf, während inkrementelle Prozess- und Strukturveränderungen des Unternehmens positiv auf die Einschätzung der Veränderbarkeit wirkten. Damit konnte der Einfluss der organisationalen Absorptionsfähigkeit auf die Innovationsbereitschaft von Führungskräften differenziert werden, forschungstheoretische und forschungsmethodische Implikationen sowie Empfehlungen für die Unternehmenspraxis wurden entsprechend abgeleitet.

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[pt] O objetivo desse trabalho é contribuir com a literatura de alianças estratégicas e desempenho de inovação.Especificamente, pretende investigar o papel da Diversidade nos portfolios de Aliança e seu impacto no desempenho das firmas.Este estudo busca replicar e adaptar relações e construtos observados em outros artigos para um país latino americano. É utilizado modelo de modelagem de equações estruturais (SEM) através de micro-dados fornecidos pesquisa nacional de Inovação da Colômbia baseadas no manual de Oslo. A presente dissertação desenvolve um estudo cross-sectional do país selecionado, faz uma breve revisão dos modelos anteriores e propõe um nova modelo para estudar suas hipóteses. O trabalho tem observações significativas que apoiam o impacto da Diversidade, tanto na inovação como no desempenho financeiro. Foram também estudadas as relações entre os diferentes tipos de inovação e a Capacidade Absortiva de Construção. / [en] The objective of this work is to contribute to the literature on strategic alliances and innovation performance. Specifically, it aims to investigate the role of Diversity in Alliance portfolios and its impact on firm performance.This study seeks to replicate and adapt relationships of constructs observed in other articles to a Latin American country. It uses structural equation modeling (SEM) through micro-data provided by the National Innovation Research of Colombia based on the Oslo manual.This dissertation elaborates on a cross-sectional study of the selected country, makes a brief revision on past models and proposes a new one to assert about its hypotheses. The work has meaningful observations that supports the impact of Diversity both on the innovation and financial perfomance. Relationships between different types of innovation and the construct Absorptive Capacity were also studied.

[pt] A acirrada competição em um mercado globalizado tornou de extrema importância que as empresas adquiram vantagens competitivas para conseguirem conquistar a preferência dos consumidores. Uma das formas de se obter tal vantagem em relação aos concorrentes é através da diferenciação. Para isso, as organizações devem se empenhar nas suas atividades de inovação. Contudo, gerar inovação é uma tarefa árdua para ser feita de forma isolada e por isso, algumas empresas têm se organizado em clusters (no Brasil conhecido como arranjos produtivos locais – APL) para facilitar a busca por inovação, produtividade e melhores resultados financeiros. Nessa perspectiva, o objetivo desta pesquisa é comparar a produtividade e o desempenho da inovação de produtos, de empresas brasileiras inseridas ou não em clusters, considerando as estratégias de P&D interno e externo implementadas. Através de uma equação de modelos estruturais, usando a técnica de multigrupo, pôde-se chegar a resultados que suportam um impacto positivo do P&D externo e interno no desempenho de inovação, além de suportar a hipótese de que desempenho de inovação, independente de estar ou não inserida em um cluster, impacta positivamente na produtividade das empresas. Concluiu-se, de acordo com os resultados, o aumento da intensidade de P&D tanto interno como externo são fundamentais para se aumentar o desempenho de inovação da firma. Este por sua vez, quanto maior for, maior será a produtividade da firma. Por outro lado o efeito moderador da capacidade absortiva mostrou-se benéfico apenas para empresas inseridas em cluster. / [en] Fierce competition in a globalized market has made it extremely important for companies to acquire competitive advantages in order to achieve consumer preference. One of the ways to obtain such an advantage in relation to competitors is through differentiation. To this end, organizations must engage in their innovation activities. However, generating innovation is an arduous task to be done in isolation and for this reason some companies have organized themselves into clusters (in Brazil known as local productive arrangements - APL) to facilitate the search for innovation, productivity and better financial results. In this perspective, the objective of this research is to compare the productivity and performance of product innovation, of Brazilian companies inserted or not in clusters, considering the implemented internal and external R&D strategies. Through an Structural Equation Modelling, using the multigroup technique, it was possible to obtain results that support the positive effect of internal and external R&D in the innovation performance, in addition to supporting the hypothesis that innovation performance, regardless of whether or not inserted in a cluster, positively impacts the productivity of companies. It was concluded, according to the results, the increase in the intensity of R&D, both internal and external, are fundamental to increase the firm s innovation performance. This in turn, the higher it is, the greater the productivity of the firm. On the other hand, the moderating effect of absorptive capacity proved beneficial only for companies in a cluster.

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[pt] A inovação impulsiona o crescimento econômico e se conecta com o ciclo evolutivo das firmas, que lançam novos produtos em uma busca contínua pela melhoria do desempenho. Com o advento da inovação aberta, mais firmas passaram a complementar sua base de conhecimentos e a abastecer o processo inovador com fontes externas. Entretanto, quando a inovação é desenvolvida, parte dos novos conhecimentos também se torna pública por meio dos knowledge spillovers, potencialmente beneficiando outras firmas. A relação entre o desempenho inovador e as fontes externas de conhecimento, como a colaboração da firma com seus parceiros, foi amplamente estudada em mercados desenvolvidos. Contudo, o mesmo não se observa para os knowledge spillovers, especialmente no caso de países menos avançados em relação a inovação. Este estudo analisou em que medida os conhecimentos externos fornecidos pela colaboração com parceiros, e, em especial, pelos knowledge spillovers da indústria, afetam o desempenho inovador de produto e o crescimento das firmas. Foi proposto um modelo conceitual para mensurar a contribuição relativa dessas fontes, bem como o impacto exercido pelo porte das firmas sobre as relações estudadas. A análise foi conduzida para uma amostra de 913 firmas de manufatura colombianas, com dados extraídos da pesquisa sobre inovação EDIT, para o período de 2011 a 2016. As hipóteses foram testadas utilizando a técnica de modelagem de equações estruturais. Para entender o impacto do porte das firmas foi empregada a análise multigrupo. Os resultados apoiaram a maioria das hipóteses e forneceram alguns insights. Os efeitos positivos da colaboração da firma sobre o desempenho inovador de produto foram corroborados, revelando que ambientes escassos em recursos, como o da Colômbia, incentivam a colaboração independentemente do porte da firma. Quanto aos efeitos positivos dos knowledge spillovers da indústria sobre o desempenho inovador de produto, o suporte foi dependente do porte da firma. Para as pequenas e médias empresas (PMEs), esses efeitos não apenas foram confirmados, como se provaram superiores aos da colaboração com parceiros. Esse achado evidenciou que os knowledge spillovers da indústria são a fonte mais relevante na explicação do desempenho inovador de produto das PMEs colombianas, mesmo quando a colaboração da firma também é significativa. No caso das grandes empresas (GEs), a contribuição direta dos knowledge spillovers da indústria sobre o desempenho inovador de produto não foi significativa, possivelmente relacionada a sua maior abundância interna de recursos. Já para o efeito moderado pela capacidade absortiva, a contribuição foi negativa, possivelmente indicando que as perdas de conhecimentos geradas pelos outgoing spillovers estão prejudicando o desempenho inovador de produto das GEs. O estudo também corroborou que o crescimento das firmas de ambos os portes é positivamente influenciado pelo seu desempenho inovador. Entretanto, os resultados para os knowledge spillovers da indústria sugerem que as PMEs colombianas podem estar se comportando oportunisticamente, pegando carona excessiva nos investimentos em P&D das GEs, o que pode reduzir os incentivos dessas últimas em seguir investindo em inovação. Espera-se que os achados desse estudo contribuam com os esforços da Colômbia em criar melhores condições para que a inovação prospere. / [en] Innovation drives economic growth and connects with the firms evolutionary cycle that launches new products in a continuous quest for performance improvement. With the advent of open innovation, more firms have begun to complement their knowledge base and to fuel the innovative process with external sources. However, when innovation is developed, part of the new knowledge also becomes public through knowledge spillovers, thus potentially benefiting other firms. The relation between innovation performance and external knowledge sources, such as the firm s collaboration with partners, has been extensively studied in developed markets. However, the same is not observed for knowledge spillovers, especially in the case of countries that are less advanced with respect to innovation. This study analyzed the extent to which external knowledge provided by the collaboration with partners and especially the industry knowledge spillovers affect product innovation performance and firm growth. A conceptual model was proposed to measure the relative contribution of these sources as well as the impact of the firm size on the studied relations. The analysis was conducted on a sample of 913 Colombian manufacturing firms with data extracted from EDIT innovation research for the period 2011 to 2016. The hypotheses were tested using the structural equation modeling technique. To understand the impact of firm size on the model relationships, a multigroup analysis was carried out. The results supported most hypotheses and provided some interesting insights. The positive effects of the firm collaboration on product innovation performance were corroborated, revealing that resource-scarce environments, such as Colombia, encourage collaboration regardless of the size of the firm. As for the positive effects of industry knowledge spillovers on product innovation performance, support was contingent on the firm size. For small and medium enterprises (SMEs), not only were these effects confirmed but also proved to be superior to those of collaboration with partners. This finding makes it evident that knowledge spillovers are the most relevant source in explaining the product innovation performance of Colombian SMEs, even when the firm collaboration is also significant. In the case of the large enterprises (LEs), the direct contribution of the industry knowledge spillovers on product innovation performance was not significant, possibly due to their greater internal abundance of resources. For the effect moderated by the absorptive capacity, the contribution was negative, possibly indicating that the knowledge losses generated by outgoing spillovers are detrimental to the innovation performance of these firms. The study also corroborated that the growth of firms of both sizes is positively influenced by their innovation performance. However, the findings for industry knowledge spillovers suggest that Colombian SMEs may be behaving opportunistically, excessively free-riding on R&D investments of LEs which may reduce the incentives for the latter to keep investing in innovation. It is hoped that these findings will contribute to Colombia s efforts to create better conditions for innovation to thrive.

This study concerns investigating an industry, i.e. system, which is subject to radical technological changes, and how actors within the system can enhance their innovation processes and manage technological shifts efficiently. The specific context in which these processes are investigated is the compliance departments within the Swedish insurance industry. The Swedish insurance industry constitutes a central pillar in the national economy, which is why the stability of the industry must be ensured. As a result, the insurance industry is subject to various regulations and the scope and amount of regulations have increased since the global financial crisis in 2008. In other words, the regulatory burden has increased while the risks of non-compliance pose a threat to incumbents' competitive position. In order to meet the pressure of increased regulatory burden as well as leverage on the pressure of digitalization, Regulatory Technology (RegTech) has been identified as a key focus area for Swedish insurance companies in enhancing their operational efficiency as well as reduce the risk of non-compliance. Consequently, the purpose of this study is to identify system challenges to adoption of RegTech as well as system enablers which suggest how the related innovation processes can be facilitated. The empirical data in this study consists of ten in-depth interviews with representatives from Swedish insurance companies as well as knowledge providers within RegTech. The study reveals 38 system challenges and 38 system enablers to adoption of RegTech in various dimensions related to market forces, organizational factors and product development aspects, to mention a few. The most commonly raised system challenges are based on that RegTech is related to cost-reduction and thus has limited impact on revenue-generation as well as the fact that the insurance industry is characterized for being conservative and rigid, to name a few. Two examples of commonly mentioned system enablers are increasing regulatory pressure which leads to uneconomical and resource-intensive compliance operations with an increasingly high risk of non-compliance, as well as that younger insurance companies have to deploy RegTech in order to survive in the long run. The results from the study are presented at landscape-, regime- and niche-level according to the theoretical frameworks of Multi-level Perspective of Sociotechnical Systems and Absorptive Capacity in conjunction with a relevant theoretical framework within compliance management, denoted the Efficient-investment-risk model. / Denna studie inkluderar undersökandet av en industri, med andra ord ett system, som genomgår radikala tekniska förändringar samt hur aktörerna inom detta system kan förbättra sina innovationsprocesser och hantera teknikskiften mer effektivt. Det specifika fallet i vilket dessa processer undersöks i är complianceavdelningar hos svenska försäkringsbolag. Den svenska försäkringsbranschen utgör en central pelare i den nationella ekonomin, vilket är anledningen till varför industrins stabilitet behöver värnas. På grund av detta omfattas industrin av en mängd olika regelverk och vidare har omfattningen samt antalet regelverk ökat sedan den globala finanskrisen 2008. Med andra ord har den regulatoriska bördan ökat medan risken av icke-compliance fortsätter att utgöra ett hot mot försäkringsbolagens marknadspositioner. För att möta det ökade regulatoriska trycket och dessutom dra fördel av trycket från digitaliseringsvågen har Regulatory Technology (RegTech) identifieras som ett nyckelområde för svenska försäkringsbolag i deras strategi att förbättra operationell effektivitet samt bibehålla låg risk av non-compliance. Följaktligen är syftet med denna studie att identifiera systemutmaningar inom anammandet av RegTech samt systemmöjliggöranden som kan underlätta innovationsprocesser relaterat till anammandet av RegTech. Den empiriska datan i studien består av tio djupgående intervjuer med representanter från svenska försäkringsbolag samt RegTech-experter som utgörs av bland annat konsultbolag samt teknikföretag. Studien avslöjar 38 systemutmaningar samt 38 systemmöjliggörare relaterat till anammandet av RegTech i en bredd av olika dimensioner så som marknadskrafter, organisatoriska faktorer, produktutveckling m.m. Bland de vanligast identifierade systemutmaningarna presenteras faktumet att RegTech är begränsat till kostnadsreducering och därmed inte har en direkt positiv inverkan på intäktsdrivandet. En annan vanlig systemutmaning är faktumet att försäkringsbranschen är konservativ och stel i dess natur. Ett exempel på systemmöjliggörare å andra sidan är trenden att det regulatoriska trycket ökar, vilket leder till att complianceprocesser behöver effektiviseras för att försäkringsbolag ska kunna bibehålla konkurrenskraft samt att konsekvenserna av non-compliance blir allvarligare. En annan möjliggörande faktor inom systemet är att unga försäkringsbolag är i stort behov av att anamma RegTech för att överleva ekonomiskt i det långa loppet. Studiens resultat är presenterat på landskap, regim samt nichenivå i enlighet med teorin multi-nivåperspektivet av sociotekniska system samt i enlighet med teoriområdet absorptionsförmåga. Utöver detta har även en teori inom compliance management vid namn Effektiv-investering-riskmodellen tillämpats.

This dissertation consists of three essays on the empirical analysis of economic growth and technology development. In particular, I consider spillover effects in different frameworks. The first chapter outlines the three topics involved and briefly discusses the motivations, methods as well as some conclusions in each of the following chapters. The second chapter considers the spillovers in economic growth and convergence. Spillovers are prevalent in nowadays' economy. I formally model the spillover effects as the interdependence of total factor productivity (TFP), and develop a model in which spillover effects of R&D through the channel of international trade make the TFPs correlated among countries. In this sense, I apply the thoughts of international trade to the economic growth framework. Empirically, I develop a three-stage generalized method of moment(GMM) to estimate the dynamic panel spatial error autoregressive model. Simulation results show that my estimator is consistent and efficient. Through counterfactual analysis, I find that there are positive spillovers through both geographic connection and trade connection. Such a positive spillover effect, however, slows down the convergence speed. Moreover, there were little spillovers in the early 1960s. Spillover effects become stronger overtime. The third chapter is about the determinants of technology development in China. What makes my paper different from others is that I take a full consideration of the spillover effects: provincial spillovers in Science and Technology (S&T) capital as well as S&T personnel, and international spillovers through trade and FDI. The most interesting point in my paper is that I consider the indirect effects of institutions on technology development. Marketization, measured by the share of state-owned enterprises (SOEs) in the economy, affects the production of technology through different channels at different stages. I use a semiparametric varying-coefficient model to account for the effects. In this paper, I find that provincial spillovers are mainly through the externalities of S&T capital stock while international spillovers occur through trade. Marketization affects the technology development through S&T capital, S&T capital spillovers and trade. Although a certain share of SOEs is necessary for technology production, the marketization process will promote the development of technology in China in the long run. The fourth chapter looks into the provincial technology spillovers from another aspect. Instead of the S&T endowment spillovers from the nearby provinces, I consider the technology transfer from the frontier province to the targeted province as well as the absorptive capacity of the targeted province itself. Two forms of technology transfer are analyzed: the technology distance due to the structural discrepancy in the patent portfolio and the technology gap because of the difference in the patent level. Through the empirical analysis, several factors contributing to patent growth, such as S&T investment, road density, international spillovers from imports and FDI, are identified. Moreover, I find that technology transfer due to the technology distance can stimulate patent growth. However, I fail to find robust evidence of technology transfer due to the technology gap, which implies that the provincial technology convergence may not exist in China. / Ph. D.

Les antibiotiques sont fréquemment utilisés dans l’alimentation de la volaille afin de prévenir certaines maladies, dont l’entérite nécrotique, ce qui occasionne l’émergence de souches bactériennes résistantes aux antibiotiques. Une alternative prometteuse est l’utilisation de peptides antimicrobiens (AMPs) comme suppléments alimentaires, tels les AMPs provenant des produits laitiers. L’objectif du projet était de développer une méthode de production d’extraits peptidiques à partir de coproduits de la transformation alimentaire (babeurre, lactoferrine, isolat de protéines de pois), afin de tester si ces extraits peptidiques possédaient une activité antimicrobienne sur les pathogènes spécifiques aviaires suivants : Salmonella Enteritidis, Salmonella Typhimurium, Escherichia coli et Staphylococcus aureus. Les protéines ont été mises en suspension dans l’eau (5% p/p) et hydrolysées par la pepsine, 6 heures, pH de 2.5. Les peptides furent récupérés par ultrafiltration (< 10 kDa), puis fractionnés selon leur charge nette : totaux, cationiques, anioniques et non liés. L’effet antimicrobien a été évalué surmicroplaques, par la survie bactérienne en présence de concentrations croissantes d’extraits peptidiques. Les extraits cationiques de babeurre ont démontré une efficacité à une concentration inférieure ou égale à 5 mg/mL; perte de 3 log pour Escherichia coli O78 :H80. En comparaison, la lactoferrine cationique a été efficace à une concentration inférieure ou égale à 0.6 mg/mL; perte de 6 log pour E. coli O78 :H80. Les extraits peptidiques du pois ont démontré une efficacité faible. Cette méthode s’avère prometteuse pour le développement d’une alternative ou d’un complément pour la réduction de l’utilisation des antibiotiques dans l’alimentation de la volaille. / Antibiotics are frequently used in poultry feed in order to prevent certain diseases, including necrotic enteritis, which causes the emergence of bacterial strains resistant to antibiotics. A promising alternative is the use of antimicrobial peptides (AMPs) as dietary supplements, such as AMPs from dairy products. The objective of this project was to develop a production method for the extraction peptides, from co-produced food processing (buttermilk, lactoferrin, pea protein isolates). These peptides were tested for the detection of antimicrobial activity on the following specific poultry pathogens; Salmonella Enteritidis, Salmonella Typhimurium, Escherichia coli and Staphylococcus aureus. Proteins were suspended in water (5% w/w) and pepsin hydrolyzed by pepsin for 6 hours at pH 2.5. Peptides were recovered by ultrafiltration (< 10 kDa) and fractionated based on the basis of their ionic charges: total, cationic, anionic and unbound peptides, to specifically target the fractions with antimicrobial activities. Bacterial survival was measured in contact with different peptides concentrations. Cationic buttermilk extracts were effective at a concentration less or equal to 5 mg / mL; loss of 3 log for Escherichia coli O78: H80, compared with lactoferrin which was effective at a concentration less than or equal to 0.6 mg / mL; loss of 6 log for E. coli O78: H80. The peptide extracts from pea showed low efficiency. The use of antimicrobial peptides, from buttermilk, lactoferrin and peas, is promising for the development of an alternative or a complement to reduce antimicrobial use.