Speed and measure of the fourth industrial revolution (Industry 4.0) is bringing about shifts in power, wealth and knowledge. For entrepreneurs, who are known to drive innovation, Industry 4.0 offers a wide scope of opportunities in the future. As a middle-income country, South Africa needs to use its knowledge and innovations to sharpen its innovative edge in order to compete globally and stimulate innovation. Hence, this research attempts to determine the relationships between entrepreneurial competencies, entrepreneurial absorptive capacity and innovation capacity. Three conceptual frameworks of the interrelationships between these constructs were synthesised from the literature. As ample research on entrepreneurial competencies is widely available, a Delphi study was employed, together with a concept matrix to determine which entrepreneurial competencies should be included specifically significant for innovation within the 4IR context in South Africa. Four entrepreneurial competency categories emerged: cognitive (knowledge), functional (skills), social (attitudes and behaviours) and meta (facilitating learning) categories. Using a survey method, the analysis on a sample of 452 innovative entrepreneurs in South Africa was mainly done by empirically testing the causal linear relationship through structural equation modelling (SEM). Furthermore, an Artificial Neural Networking (ANN) technique which tests non-linear relationships and develop pattern recognition as well as modelling was conducted to compare the results of a non-linear relationship with those of a linear relationship. However, explorative comparisons of the performance of linear SEM models with non-linear NN indicated that the SEM models in this case performed better in explaining the variance in the dependent variables than did the ANN. Through the theories of innovative performance, person-entrepreneurial fit and knowledge spillover, the findings of the study indicate the importance of incorporating a unified entrepreneurial competency typology perspective on innovation. The cognitive, functional, social and meta competencies as well as entrepreneurial absorptive capacity are significant predictors of innovation capacity. The implications of this extend to transmitting knowledge through absorptive capacity, which allows entrepreneurs to identify and exploit opportunities, identified from new knowledge sources and incorporated into new innovations. Additionally, entrepreneurial absorptive capacity mediates the relationship between social, meta, and functional competencies and innovation capacity. Entrepreneurial absorptive capacity was also found to be a moderator between cognitive competencies and innovation capacity. Therefore, the development of certain entrepreneurial competencies, significant for innovation, is crucial for improving the strength of the relationship between entrepreneurial absorptive capacity and innovation capacity of entrepreneurs. These results have important implications for Industry 4.0 entrepreneurs, educators, policy makers as well as entrepreneurship models. / Thesis (PhD (Entrepreneurship))--University of Pretoria, 2020. / Business Management / PhD / Unrestricted

Titel: Ökad innovationsledningsförmåga genom partnerskap i offentlig sektor.-En studie om hur partnerskapet LOFT kan stödja kommunledningar i deras utveckling mot ökadinnovationsförmåga och tillämpning av innovationsledning.Forskningsfrågor: F1. Hur fungerar innovationspedagogiken inom ramarna för LOFT?F2. Vilka eventuella möjligheter och utmaningar finns med att utöka partnerskapet LOFT för att ökainnovationsförmågan inom offentlig sektor i Sverige?Syfte: Syftet med studien är att undersöka eventuella möjligheter och utmaningar med att användapartnerskapet LOFTs innovationspedagogik i samtliga 290 kommuner i Sverige, för att på så sätt kunnaåstadkomma innovationsförmåga och tillämpning av innovationsledning i Sveriges alla kommuner.Metod: Studiens riktning, forskningsfrågor och syfte har tagits fram genom samproduktion med studiensuppdragsgivare RISE. Med utgångspunkt i forskningsfrågorna antogs sedan en fallstudiedesign för attstudera partnerskapet LOFT. Den kvalitativa metoden föll sig således naturligt och en abduktiv ansats hartillämpats. Data har samlats in genom observationer, semistrukturerade intervjuer och reflekterandeprojektdagbok. Triangulering har tillämpats för att kontrollera resultat och därmed höja trovärdigheten förstudien och dess resultat.Slutsats: Innovationspedagogiken inom ramarna för LOFT utgår från partnerskapskommunerna och derasbehov. Innovationspedagogiken och partnerskapet utgör en struktur som ger kommuner möjlighet arbetalångsiktigt med innovationsledning. Innovationspedagogiken omfattar stödjande insatser, nätverk,kunskapshöjande insatser, kreativt klimat och bidrar till lärande i den egna organisationen.Innovationspedagogiken bygger även på en grundtanke om att skapa en psykologiskt tillåtande och tryggmiljö, där partnerskapskommunerna vågar testa, dela med sig av utmaningar tillsammans med andra ochdra lärdomar för att utvecklas.Innovationspedagogiken inom ramarna för LOFT utgör ett väl utvecklat koncept. Möjligheter att designaoch paketera detta koncept för att på så sätt tillgängliggöra det för flera kommuner har identifierats. Enutmaning som identifierats kopplat till uppskalning av partnerskapet är att det kommer ställas krav på attutöka det team som idag utgör ledningen av LOFT med fler personer för att kunna ha kvar den stödjandefunktionen och fortsätta leverera värde. Vid en uppskalning innebär det att en ny testbädd bör utvecklas iform av “LOFT 2.0”, där den successiva uppskalningen kommer kunna ske. Att ta fram läromedel skullekunna möjliggöra för att nå ut till fler kommuner samt få igång arbetet i den egna organisationen tidigare,då det inte ställer samma typ av krav på resurser från LOFT.Även en rad olika utmaningar har identifierats kopplat till uppskalningen. Hur bibehålls delarna av detrelationella och stödjande partnerskapet som finns idag? Pedagogiken tar idag sin utgångspunkt i denpsykologiskt tillåtande och trygga miljön, vilket är något som inte får gå förlorat. Även utmaningar kringden finansiella delen, både ur ett partnerskapskommun- och projektägarperspektiv. Också det egna arbetetpå hemmaplan, som ställer krav på kommunens vilja, driv och passion för förändring. En uppskalningkräver att samtliga kommuner besitter förmåga och vilja att implementera ett innovationsledningssystem.Stödet som LOFT ger respektive partnerskapskommun grundar sig i genomlysningar gjorda i den enskildakommunen. Ett omfattande arbete som kräver resurser om det ska kunna genomföras på samma sätt i ett större partnerskap. Något som bör undersökas vidare. Vilken typ av organisering kan stötta och bibehålladessa viktiga pusselbitar av innovationspedagogiken som LOFT utvecklat? / Title: Increased innovation management through partnerships in the public sector.-A study about how the partnership LOFT can support municipal management in their developmenttowards increased innovation capacity and application of innovation management.Research questions: RQ1. How does innovation pedagogy work within the framework of LOFT?RQ2. What possible opportunities and challenges are there in expanding the LOFT partnership to increaseinnovation capacity within the public sector in Sweden?Purpose: The purpose of the study is to investigate possible opportunities and challenges with using thepartnership LOFT's innovation pedagogy in all 290 municipalities in Sweden, in order to be able to achieveinnovation capacity and application of innovation management in all of Sweden's municipalities.Method: The study's direction, research questions and purpose have been developed through co-production with the study's client, RISE. Based on the research questions, a case study design was thenadopted to study the partnership LOFT. The qualitative method thus came naturally, and an abductiveapproach has been applied. Data has been collected through observations, semi-structured interviews, andreflective project diaries. Triangulation has been applied to check results and thereby increase thecredibility of the study and its results.Conclusion: The innovation pedagogy within the framework of LOFT is based on the partnershipmunicipalities and their needs. The innovation pedagogy and the partnership form a structure that givesmunicipalities the opportunity to work long-term with innovation management. The innovation pedagogyincludes supporting efforts, networks, knowledge-raising efforts, creative climate and contributes tolearning in the own organization. The innovation pedagogy is also based on a basic idea of creating apsychologically permissive and safe environment, where the partnership municipalities dare to test, sharechallenges together with others and learn lessons to develop.The innovation pedagogy within the framework of LOFT is a well-developed concept. Opportunities todesign and package this concept in order to make it available to several municipalities have beenidentified. A challenge identified in connection with scaling up the partnership is that there will bedemands to expand the team that currently makes up the management of LOFT with more people to retainthe supporting function and continue to deliver value. In the case of a scale-up, this means that a new testbed should be developed in the form of "LOFT 2.0", where the successive scale-up will be able to takeplace. Developing teaching materials could make it possible to reach out to more municipalities and getwork started in the own organization earlier, as it does not place the same type of demands on resourcesfrom LOFT.Several different challenges have also been identified linked to the scale-up. How are the elements of therelational and supportive partnership that exist today maintained? Pedagogy today takes its starting pointin the psychologically permissive and safe environment, which is something that must not be lost. Alsochallenges around the financial part, both from a partnership municipality and project owner perspective.Also, the own work at home, which places demands on the municipality's will, drive and passion forchange. Scaling up requires that all municipalities possess the ability and willingness to implement aninnovation management system. The support that LOFT provides to the respective partnership  municipality is based on reviews carried out in the individual municipality. Extensive work that requiresresources if it is to be carried out in the same way in a larger partnership. Something that should beinvestigated further. What type of organization can support and maintain these important puzzle pieces ofthe innovation pedagogy that LOFT developed?

Sob as condições presentes de competitividade global, rápido avanço tecnológico e escassez de recursos, a inovação tornou-se uma das abordagens estratégicas mais importantes que uma organização pode explorar. Nesse contexto, a capacidade de inovação da empresa enquanto capacidade de engajar-se na introdução de novos processos, produtos ou ideias na empresa, é reconhecida como uma das principais fontes de crescimento sustentável, efetividade e até mesmo sobrevivência para as organizações. No entanto, apenas algumas empresas compreenderam na prática o que é necessário para inovar com sucesso e a maioria enxerga a inovação como um grande desafio. A realidade não é diferente no caso das empresas brasileiras e em particular das Pequenas e Médias Empresas (PMEs). Estudos indicam que o grupo das PMEs particularmente demonstra em geral um déficit ainda maior na capacidade de inovação. Em resposta ao desafio de inovar, uma ampla literatura emergiu sobre vários aspectos da inovação. Porém, ainda considere-se que há poucos resultados conclusivos ou modelos compreensíveis na pesquisa sobre inovação haja vista a complexidade do tema que trata de um fenômeno multifacetado impulsionado por inúmeros fatores. Além disso, identifica-se um hiato entre o que é conhecido pela literatura geral sobre inovação e a literatura sobre inovação nas PMEs. Tendo em vista a relevância da capacidade de inovação e o lento avanço do seu entendimento no contexto das empresas de pequeno e médio porte cujas dificuldades para inovar ainda podem ser observadas, o presente estudo se propôs identificar os determinantes da capacidade de inovação das PMEs a fim de construir um modelo de alta capacidade de inovação para esse grupo de empresas. O objetivo estabelecido foi abordado por meio de método quantitativo o qual envolveu a aplicação da análise de regressão logística binária para analisar, sob a perspectiva das PMEs, os 15 determinantes da capacidade de inovação identificados na revisão da literatura. Para adotar a técnica de análise de regressão logística, foi realizada a transformação da variável dependente categórica em binária, sendo grupo 0 denominado capacidade de inovação sem destaque e grupo 1 definido como capacidade de inovação alta. Em seguida procedeu-se com a divisão da amostra total em duas subamostras sendo uma para análise contendo 60% das empresas e a outra para validação (holdout) com os 40% dos casos restantes. A adequação geral do modelo foi avaliada por meio das medidas pseudo R2 (McFadden), chi-quadrado (Hosmer e Lemeshow) e da taxa de sucesso (matriz de classificação). Feita essa avaliação e confirmada a adequação do fit geral do modelo, foram analisados os coeficientes das variáveis incluídas no modelo final quanto ao nível de significância, direção e magnitude. Por fim, prosseguiu-se com a validação do modelo logístico final por meio da análise da taxa de sucesso da amostra de validação. Por meio da técnica de análise de regressão logística, verificou-se que 4 variáveis apresentaram correlação positiva e significativa com a capacidade de inovação das PMEs e que, portanto diferenciam as empresas com capacidade de inovação alta das empresas com capacidade de inovação sem destaque. Com base nessa descoberta, foi criado o modelo final de alta capacidade de inovação para as PMEs composto pelos 4 determinantes: base de conhecimento externo (externo), capacidade de gestão de projetos (interno), base de conhecimento interno (interno) e estratégia (interno). / Under the current circumstances of global competition, fast technological improvement and scarcity of resources, innovation became one of the most important approaches that an organization can explore. In this context, the company\'s innovation capability, meaning its capacity to introduce new processes, products or ideas in the company, is recognized as one of the main sources of sustainable growth, effectiveness and survival for organizations. However, just a few companies understood in a practical manner what is required to successfully innovate and most of them see innovation as a big challenge. This reality is not different in the case of Brazilian companies and Small and Medium Size Enterprises (SMEs) in particular. Studies show that the group of SMEs particularly demonstrates in general a deficit even bigger in terms of innovation capacity. In response to the challenge to innovate, a broad literature arose about many aspects of innovation. Although it is considered that only a few results are conclusive or presented comprehensive models in the research about innovation due to the complexity of the theme that deals with a multidimensional phenomenon boosted by several factors. Besides that, there is a gap between what is known by the literature in general about innovation and the literature about innovation at SMEs. The relevance of the innovation capacity and the slow progress of its knowledge base in the context of small and medium size companies which the difficulties to innovate can still be observed, the present study proposed to identify the determinants innovation capacity for SMEs in order to build a high innovation capacity framework for this group of enterprises. The approach for the established goal was through a quantitative method which involved the application of a binary logistic regression to analyze, under the SME perspective, the 15 determinants of innovation capacity identified in the literature review. A transformation of the categorical dependent variable into binary, being group 0 named innovation capacity without highlight and group 1 called high innovation capacity, was done to allow adopting the logistic regression analysis technique. Following this, a procedure was conducted to divide the sample in two subgroups, being one for the analysis containing 60% of the companies and the other for validation (holdout) with the remaining 40% of the cases. The general model fit was assessed by the measures pseudo R2 (McFadden), chi-squared (Hosmer e Lemeshow) and the hit ratio (classification matrix). After this evaluation that confirmed the general model fit, the coefficients of the variables included in the final model were analyzed in terms of its significance level, direction and magnitude. By the end, the final logistic model was validated through the hit ratio of the holdout sample. With the logistic regression analysis, it was able to verify that 4 variables presented positive and significant correlation with the SMEs innovation capacity and, therefore distinguished the high innovation capacity companies from those with innovation capacity without highlight. Based on this discovery, a final high innovation capacity model was built for the SMEs composed by the 4 determinants: external knowledge base (external), project management capacity (internal), internal knowledge base (internal) and strategy (internal).

La thèse traite de l’évaluation de la capacité d’innovation des petites et moyennes entreprises, quand elles intègrent l’innovation dans leur volonté de croissance. L’objectif est de comprendre les facteurs pouvant expliquer le lien positif entre l’innovation et la performance pour les PME. Ce lien complexe repose sur une multitude de facteurs, relatifs à la production et la valorisation de l’innovation. Nous avons focalisé notre attention sur l’analyse du management de l’innovation au travers de l’évaluation de la capacité d’innovation des PME.Il s’agit de comprendre en quoi le management de l’innovation, au travers de l’évaluation, peut favoriser la performance d’innovation en PME et, par conséquent, la performance des PME. Pour traiter ces questions, nous explorons, théoriquement et empiriquement, les facteurs constitutifs de la capacité d’innovation des PME, permettant d’expliquer la performance d’innovation des PME. L’exploration tient compte du champ de la PME, conformément aux recommandations liées à la contextualisation de l’innovation. L’influence du champ PME sur l’analyse de la capacité d’innovation et son évaluation est étudiée.Les résultats de la thèse apportent plusieurs éléments nouveaux de connaissance. Nous proposons, d’abord, une définition conceptuelle et opérationnelle de la capacité d’innovation des PME. Elle est construite autour de dimension statique et dynamique de la capacité d’innovation des PME. Cette définition améliore la compréhension des mécanismes facilitant la production et la valorisation de l’innovation au sein des PME.Les résultats éclairent, ensuite, le lien direct existant entre plusieurs dimensions de la capacité d’innovation des PME et la performance d’innovation des PME. Nous participons au débat sur l’intérêt du management de l’innovation pour les PME. Nous montrons que l’évaluation de l’activité d’innovation peut être réalisée autour de plusieurs dimensions de la capacité d’innovation. Ces dimensions de la capacité d’innovation ont un impact, positif ou négatif, sur la performance d’innovation des PME. L’impact est directement lié à la capacité des PME à gérer et mobiliser efficacement ces dimensions de la capacité d’innovation en fonction de son contexte propre. Il est, aussi, lié à la capacité de la PME à assurer le dynamisme de sa capacité d’innovation. Le dynamisme est assuré face aux évolutions de la PME elle-même et de son environnement pour assurer le maintien de la capacité d’innovation de la PME. Le management de l’innovation et l’évaluation de la capacité d’innovation des PME sont, donc, bénéfiques pour les PME. Ils permettent aux PME d’optimiser leur processus d’innovation et d’assurer leur évolution. Nous prolongeons, ainsi, les travaux sur le management de l’innovation et sur le management de l’innovation en PME.La thèse propose, enfin, une analyse du champ PME, de son influence sur la capacité d’innovation et de son évaluation. Nous concluons sur l’effet des spécificités des PME sur l’activité d’innovation, sur la construction de la capacité d’innovation et son évaluation. L’effet des spécificités des PME influence les dimensions de la capacité d’innovation et la performance d’innovation. Cependant, l’analyse de l’effet positif ou négatif des spécificités des PME sur l’innovation doit être nuancée. Les spécificités des PME et leur influence sur la capacité d’innovation dépendent du contexte particulier de l’entreprise et de son activité d’innovation. Le cas Alpha mobilisé illustre ce résultat. Des facteurs déterminants sa capacité d’innovation se sont transformés en véritables freins à l’innovation. Par conséquent, l’approche par la contingence est recommandée pour l’analyse de l’innovation en PME. Nous retenons particulièrement l’effet de la croissance de la PME et, donc, de son évolution propre, pour analyser et évaluer la capacité d’innovation de la PME. / The thesis deals with the assessment of SMEs innovation capacity, when they integrate innovation in their desire for growth. The objective is to understand the factors that can explain the positive link between SMEs innovation and performance. This complex relationship is based on multiple factors relating to the production and valorization of innovation. We focused our attention on innovation management SMEs innovation capacity assessmen.The aim is to understand how innovation management, through evaluation, can foster SMEs innovation performance and, consequently, SMEs performance. To address these issues, we explore, both theoretically and empirically, the factors that make up the SMEs innovation capacity to explain SMEs innovation performance. Exploration takes into account SMEs spécificities, in line with literature. We focus ont the influence of SMEs specificities on innovation capacity and its assessment.The thesis results rovide several new elements of knowledge. First, we propose a conceptual and operational definition of SMEs innovation capacity. It is built around the static and dynamic dimension of the innovation capacity. This definition improves the understanding of mechanisms facilitating the production and valorization of innovation within SMEs.The results then higlights the link between certain SMS innovation capacity dimensions and SMEs innovation performance. We participate to the debate discussing the interest of innovation management for SMEs. We show that the innovation activity can be carried out around several dimensions of innovation capacity. These dimensions of innovation capacity have a positive or negative impact,on SMEs innovation performance. The impact is directly related to the ability of SMEs to effectively manage and mobilize these dimensions of innovation capacity according to their own context. It is also linked to the SME's capacity to ensure the dynamism of its innovation capacity. The dynamism is assured regarding the evolutions of the SME itself and its environment to ensure the maintenance of SMEs innovation capacity. The management of innovation and the evaluation of the innovation capacity of SMEs are, therefore, beneficial for SMEs. They enable SMEs to optimize their innovation process and ensure their evolution. We extend the work on innovation management and innovation management in SMEs.The thesis proposes, finally, an analysis of SMEs specificities. SMEs specificities have an influence on innovation capcity and innovation performance. However, the analysis of the positive or negative effect of SMEs specificities on innovation needs to be nuanced. SMEs specificities and their influence on innovation capacity depend on the particular context of the company. The unique case mobilized illustrates this result. Therefore, the contingency approach is recommended for the analysis of innovation in SMEs.

This study investigates the underlying factors influencing the large variances in innovation performance among the Chinese regions. What is specified in the study is the issue of the knowledge divide in China as existing regional inequalities have appeared in conjunction with the production of knowledge and innovation in its transformation into an innovation-driven economy. While the Chinese innovation system has achieved some promising developments at the aggregate level over the past few years, the inequality between the coastal and inland regions are widening with substantial disparities in the level of innovation capacity. In order to understand the major reasons for this new trend in regional divergence, the study explores the different levels of innovation activities among the provincial-level regions of China and analyzes the determinants of regional innovation capacity, employing a comprehensive and unified framework of a regional innovation system. The overall results suggest that while the Chinese regional innovation systems have evolved over time, increasing human and capital resources in innovation and accumulated knowledge stock/the level of economic development, together with the development of innovation-enhancing policies, industrial cluster environment, and linkages between innovation actors, are all crucial determinants of regional innovation capacity, leading to significant disparities in the level of innovation capacity among Chinese regions.

A inovação sempre esteve presente em todas as civilizações, e aquelas que entenderam a sua importância dominaram uma tecnologia, prosperaram e colheram lucros extraordinários, gerando riquezas. No contexto do setor de serviços, a tecnologia da informação tem despontado nas últimas décadas como um agente propulsor da inovação para as organizações usuárias da TI. Porém, ao analisar as empresas fornecedoras de software brasileiras e gaúchas, um componente importante da TI, percebe-se um setor pulverizado e formado em grande maioria (96%) por microempresas e empresas de pequeno porte e que, apesar de indicadores de crescimento de demandas internas acima da média mundial de TI, apresentam dificuldades em tornar-se competitivas no cenário mundial. A saber, o Brasil ocupa a posição de 60º em 2013 no ranking de competitividade global no setor de TI, conforme 12º Relatório Global de Tecnologia da Informação, divulgado pelo Fórum Econômico Mundial(CANALTECH CORPORATE, 2014). Assim, o presente trabalho busca identificar as diferentes combinações de capacidades de inovação em empresas de software do Rio Grande do Sul e assuntos adjacentes à inovação. Para tanto, foram investigadas, por meio de um estudo exploratório, nove empresas produtoras de software, classificadas em dois tipos: prestadoras de serviços e software houses. Como resultado, observou-se nas empresas prestadoras de serviços uma atuação reativa em suas ações no que tange à inovação, além da dependência de seus clientes em relação à prestação do serviço, tornando-as dependentes destes em relação às estratégias de inovação. Percebeu-se ainda nesse grupo a predominância da capacidade de operação, e que, com o incremento de porte e/ou passar do tempo (idade), desenvolvem a capacidade de gestão. Já nas software houses, idenficou-se uma atuação mais proativa em relação ao desenvolvimento e monitoramento tecnológico, sendo consideradas mais independentes e autônomas quanto às suas estratégias de inovação. Nestas, foram observados dois padrões de capacidades de inovação. O primeiro, formado por empresas que possuem as capacidades de desenvolvimento e de gestão predominantes e com foco na gestão da inovação. Já no segundo padrão ocorre a predominância da capacidade de transação e as empresas são focadas em negócios, além de estarem em busca de novos produtos. Observou-se ainda, nas software houses, que idade e/ou porte não apresentam influência na configuração das capacidades de inovação, obedecendo o ciclo de vida de seus produtos. Em uma análise geral das empresas produtoras de software, identificou-se o quanto estas encontram-se distantes da geração de inovações que possam trazer lucros extraordinários; essas empresas, em sua maior parte, caracterizam-se pela predominância das capacidades de gestão e de operação, que, como consequência, geram inovações por melhorias em processos e/ou de cunho organizacional. Por fim, identificou-se um setor ambíguo, em que as empresas caracterizadas como prestadoras de serviços apresentam as características inerentes de serviços, e as empresas classificadas como software houses apresentam características do setor industrial. / Innovation has always been present in all civilizations, and those that understood its importance have dominated technology, prospered and harvested extraordinary profits, generating wealth. In the context of the service sector, information technology has emerged in recent decades as a leveraging agent of innovation for organizations that use IT. However, upon analysis of Brazilian software companies, an important component of IT, it can be observed that it is an extremely spread out sector, predominately formed by micro and small enterprises (96 percent), and that although it presents growth indicators of internal demands above the world average, it has difficulties in becoming competitive on the world scenario. Namely, Brazil occupied 60th position in 2013 in the ranking of global competitiveness in the IT industry, according to the 12th Global Information Technology Report, released by the World Economic Forum (CANALTECH CORPORATE, 2014). Thus, the present study seeks to identify the different combinations of innovation capabilities in software companies of Rio Grande do Sul and adjacent to innovation. Nine companies that develop software were investigated by means of an exploratory study and classified into two types: service providers and software houses. As a result, in terms of innovation, a reactive performance was observed in companies that provide services. Beyond depending on their customers in relation to the provision of the service, they are dependent on them in relation to innovation strategies. In this group, it was noticed the predominance of operating capacity, and that, with the increase in size and/or over time (age), they developed a management capacity. However, regarding software houses, a more proactive performance was observed in relation to development and technological monitoring, being considered more independent and autonomous regarding their innovation strategies. In these companies, two innovation capabilities patterns were observed. The first, formed by companies that have prevailing development and management capabilities and which focus on innovation management. Related to the second pattern the predominance of the transaction capacity can be seen and companies put a lot more focus on business, besides being in search of new products. Moreover, regarding the software houses, it has been observed that age and/or size do not have an influence on setting innovation capacities, in accordance with the life cycle of their products. In a general analysis of companies that develop software, it has been identified that they are far from the generation of innovations that can bring extra income; these companies, for the most part, are characterized by the predominance of their management and operating capabilities, which, as a consequence, generate innovations by improvements in processes and/or organizational nature. Finally, an ambiguous sector was identified, in which enterprises characterized as service providers present the inherent characteristics of services and the companies classified as software houses have features of the industrial sector.

A inovação sempre esteve presente em todas as civilizações, e aquelas que entenderam a sua importância dominaram uma tecnologia, prosperaram e colheram lucros extraordinários, gerando riquezas. No contexto do setor de serviços, a tecnologia da informação tem despontado nas últimas décadas como um agente propulsor da inovação para as organizações usuárias da TI. Porém, ao analisar as empresas fornecedoras de software brasileiras e gaúchas, um componente importante da TI, percebe-se um setor pulverizado e formado em grande maioria (96%) por microempresas e empresas de pequeno porte e que, apesar de indicadores de crescimento de demandas internas acima da média mundial de TI, apresentam dificuldades em tornar-se competitivas no cenário mundial. A saber, o Brasil ocupa a posição de 60º em 2013 no ranking de competitividade global no setor de TI, conforme 12º Relatório Global de Tecnologia da Informação, divulgado pelo Fórum Econômico Mundial(CANALTECH CORPORATE, 2014). Assim, o presente trabalho busca identificar as diferentes combinações de capacidades de inovação em empresas de software do Rio Grande do Sul e assuntos adjacentes à inovação. Para tanto, foram investigadas, por meio de um estudo exploratório, nove empresas produtoras de software, classificadas em dois tipos: prestadoras de serviços e software houses. Como resultado, observou-se nas empresas prestadoras de serviços uma atuação reativa em suas ações no que tange à inovação, além da dependência de seus clientes em relação à prestação do serviço, tornando-as dependentes destes em relação às estratégias de inovação. Percebeu-se ainda nesse grupo a predominância da capacidade de operação, e que, com o incremento de porte e/ou passar do tempo (idade), desenvolvem a capacidade de gestão. Já nas software houses, idenficou-se uma atuação mais proativa em relação ao desenvolvimento e monitoramento tecnológico, sendo consideradas mais independentes e autônomas quanto às suas estratégias de inovação. Nestas, foram observados dois padrões de capacidades de inovação. O primeiro, formado por empresas que possuem as capacidades de desenvolvimento e de gestão predominantes e com foco na gestão da inovação. Já no segundo padrão ocorre a predominância da capacidade de transação e as empresas são focadas em negócios, além de estarem em busca de novos produtos. Observou-se ainda, nas software houses, que idade e/ou porte não apresentam influência na configuração das capacidades de inovação, obedecendo o ciclo de vida de seus produtos. Em uma análise geral das empresas produtoras de software, identificou-se o quanto estas encontram-se distantes da geração de inovações que possam trazer lucros extraordinários; essas empresas, em sua maior parte, caracterizam-se pela predominância das capacidades de gestão e de operação, que, como consequência, geram inovações por melhorias em processos e/ou de cunho organizacional. Por fim, identificou-se um setor ambíguo, em que as empresas caracterizadas como prestadoras de serviços apresentam as características inerentes de serviços, e as empresas classificadas como software houses apresentam características do setor industrial. / Innovation has always been present in all civilizations, and those that understood its importance have dominated technology, prospered and harvested extraordinary profits, generating wealth. In the context of the service sector, information technology has emerged in recent decades as a leveraging agent of innovation for organizations that use IT. However, upon analysis of Brazilian software companies, an important component of IT, it can be observed that it is an extremely spread out sector, predominately formed by micro and small enterprises (96 percent), and that although it presents growth indicators of internal demands above the world average, it has difficulties in becoming competitive on the world scenario. Namely, Brazil occupied 60th position in 2013 in the ranking of global competitiveness in the IT industry, according to the 12th Global Information Technology Report, released by the World Economic Forum (CANALTECH CORPORATE, 2014). Thus, the present study seeks to identify the different combinations of innovation capabilities in software companies of Rio Grande do Sul and adjacent to innovation. Nine companies that develop software were investigated by means of an exploratory study and classified into two types: service providers and software houses. As a result, in terms of innovation, a reactive performance was observed in companies that provide services. Beyond depending on their customers in relation to the provision of the service, they are dependent on them in relation to innovation strategies. In this group, it was noticed the predominance of operating capacity, and that, with the increase in size and/or over time (age), they developed a management capacity. However, regarding software houses, a more proactive performance was observed in relation to development and technological monitoring, being considered more independent and autonomous regarding their innovation strategies. In these companies, two innovation capabilities patterns were observed. The first, formed by companies that have prevailing development and management capabilities and which focus on innovation management. Related to the second pattern the predominance of the transaction capacity can be seen and companies put a lot more focus on business, besides being in search of new products. Moreover, regarding the software houses, it has been observed that age and/or size do not have an influence on setting innovation capacities, in accordance with the life cycle of their products. In a general analysis of companies that develop software, it has been identified that they are far from the generation of innovations that can bring extra income; these companies, for the most part, are characterized by the predominance of their management and operating capabilities, which, as a consequence, generate innovations by improvements in processes and/or organizational nature. Finally, an ambiguous sector was identified, in which enterprises characterized as service providers present the inherent characteristics of services and the companies classified as software houses have features of the industrial sector.

A inovação sempre esteve presente em todas as civilizações, e aquelas que entenderam a sua importância dominaram uma tecnologia, prosperaram e colheram lucros extraordinários, gerando riquezas. No contexto do setor de serviços, a tecnologia da informação tem despontado nas últimas décadas como um agente propulsor da inovação para as organizações usuárias da TI. Porém, ao analisar as empresas fornecedoras de software brasileiras e gaúchas, um componente importante da TI, percebe-se um setor pulverizado e formado em grande maioria (96%) por microempresas e empresas de pequeno porte e que, apesar de indicadores de crescimento de demandas internas acima da média mundial de TI, apresentam dificuldades em tornar-se competitivas no cenário mundial. A saber, o Brasil ocupa a posição de 60º em 2013 no ranking de competitividade global no setor de TI, conforme 12º Relatório Global de Tecnologia da Informação, divulgado pelo Fórum Econômico Mundial(CANALTECH CORPORATE, 2014). Assim, o presente trabalho busca identificar as diferentes combinações de capacidades de inovação em empresas de software do Rio Grande do Sul e assuntos adjacentes à inovação. Para tanto, foram investigadas, por meio de um estudo exploratório, nove empresas produtoras de software, classificadas em dois tipos: prestadoras de serviços e software houses. Como resultado, observou-se nas empresas prestadoras de serviços uma atuação reativa em suas ações no que tange à inovação, além da dependência de seus clientes em relação à prestação do serviço, tornando-as dependentes destes em relação às estratégias de inovação. Percebeu-se ainda nesse grupo a predominância da capacidade de operação, e que, com o incremento de porte e/ou passar do tempo (idade), desenvolvem a capacidade de gestão. Já nas software houses, idenficou-se uma atuação mais proativa em relação ao desenvolvimento e monitoramento tecnológico, sendo consideradas mais independentes e autônomas quanto às suas estratégias de inovação. Nestas, foram observados dois padrões de capacidades de inovação. O primeiro, formado por empresas que possuem as capacidades de desenvolvimento e de gestão predominantes e com foco na gestão da inovação. Já no segundo padrão ocorre a predominância da capacidade de transação e as empresas são focadas em negócios, além de estarem em busca de novos produtos. Observou-se ainda, nas software houses, que idade e/ou porte não apresentam influência na configuração das capacidades de inovação, obedecendo o ciclo de vida de seus produtos. Em uma análise geral das empresas produtoras de software, identificou-se o quanto estas encontram-se distantes da geração de inovações que possam trazer lucros extraordinários; essas empresas, em sua maior parte, caracterizam-se pela predominância das capacidades de gestão e de operação, que, como consequência, geram inovações por melhorias em processos e/ou de cunho organizacional. Por fim, identificou-se um setor ambíguo, em que as empresas caracterizadas como prestadoras de serviços apresentam as características inerentes de serviços, e as empresas classificadas como software houses apresentam características do setor industrial. / Innovation has always been present in all civilizations, and those that understood its importance have dominated technology, prospered and harvested extraordinary profits, generating wealth. In the context of the service sector, information technology has emerged in recent decades as a leveraging agent of innovation for organizations that use IT. However, upon analysis of Brazilian software companies, an important component of IT, it can be observed that it is an extremely spread out sector, predominately formed by micro and small enterprises (96 percent), and that although it presents growth indicators of internal demands above the world average, it has difficulties in becoming competitive on the world scenario. Namely, Brazil occupied 60th position in 2013 in the ranking of global competitiveness in the IT industry, according to the 12th Global Information Technology Report, released by the World Economic Forum (CANALTECH CORPORATE, 2014). Thus, the present study seeks to identify the different combinations of innovation capabilities in software companies of Rio Grande do Sul and adjacent to innovation. Nine companies that develop software were investigated by means of an exploratory study and classified into two types: service providers and software houses. As a result, in terms of innovation, a reactive performance was observed in companies that provide services. Beyond depending on their customers in relation to the provision of the service, they are dependent on them in relation to innovation strategies. In this group, it was noticed the predominance of operating capacity, and that, with the increase in size and/or over time (age), they developed a management capacity. However, regarding software houses, a more proactive performance was observed in relation to development and technological monitoring, being considered more independent and autonomous regarding their innovation strategies. In these companies, two innovation capabilities patterns were observed. The first, formed by companies that have prevailing development and management capabilities and which focus on innovation management. Related to the second pattern the predominance of the transaction capacity can be seen and companies put a lot more focus on business, besides being in search of new products. Moreover, regarding the software houses, it has been observed that age and/or size do not have an influence on setting innovation capacities, in accordance with the life cycle of their products. In a general analysis of companies that develop software, it has been identified that they are far from the generation of innovations that can bring extra income; these companies, for the most part, are characterized by the predominance of their management and operating capabilities, which, as a consequence, generate innovations by improvements in processes and/or organizational nature. Finally, an ambiguous sector was identified, in which enterprises characterized as service providers present the inherent characteristics of services and the companies classified as software houses have features of the industrial sector.

Sob as condições presentes de competitividade global, rápido avanço tecnológico e escassez de recursos, a inovação tornou-se uma das abordagens estratégicas mais importantes que uma organização pode explorar. Nesse contexto, a capacidade de inovação da empresa enquanto capacidade de engajar-se na introdução de novos processos, produtos ou ideias na empresa, é reconhecida como uma das principais fontes de crescimento sustentável, efetividade e até mesmo sobrevivência para as organizações. No entanto, apenas algumas empresas compreenderam na prática o que é necessário para inovar com sucesso e a maioria enxerga a inovação como um grande desafio. A realidade não é diferente no caso das empresas brasileiras e em particular das Pequenas e Médias Empresas (PMEs). Estudos indicam que o grupo das PMEs particularmente demonstra em geral um déficit ainda maior na capacidade de inovação. Em resposta ao desafio de inovar, uma ampla literatura emergiu sobre vários aspectos da inovação. Porém, ainda considere-se que há poucos resultados conclusivos ou modelos compreensíveis na pesquisa sobre inovação haja vista a complexidade do tema que trata de um fenômeno multifacetado impulsionado por inúmeros fatores. Além disso, identifica-se um hiato entre o que é conhecido pela literatura geral sobre inovação e a literatura sobre inovação nas PMEs. Tendo em vista a relevância da capacidade de inovação e o lento avanço do seu entendimento no contexto das empresas de pequeno e médio porte cujas dificuldades para inovar ainda podem ser observadas, o presente estudo se propôs identificar os determinantes da capacidade de inovação das PMEs a fim de construir um modelo de alta capacidade de inovação para esse grupo de empresas. O objetivo estabelecido foi abordado por meio de método quantitativo o qual envolveu a aplicação da análise de regressão logística binária para analisar, sob a perspectiva das PMEs, os 15 determinantes da capacidade de inovação identificados na revisão da literatura. Para adotar a técnica de análise de regressão logística, foi realizada a transformação da variável dependente categórica em binária, sendo grupo 0 denominado capacidade de inovação sem destaque e grupo 1 definido como capacidade de inovação alta. Em seguida procedeu-se com a divisão da amostra total em duas subamostras sendo uma para análise contendo 60% das empresas e a outra para validação (holdout) com os 40% dos casos restantes. A adequação geral do modelo foi avaliada por meio das medidas pseudo R2 (McFadden), chi-quadrado (Hosmer e Lemeshow) e da taxa de sucesso (matriz de classificação). Feita essa avaliação e confirmada a adequação do fit geral do modelo, foram analisados os coeficientes das variáveis incluídas no modelo final quanto ao nível de significância, direção e magnitude. Por fim, prosseguiu-se com a validação do modelo logístico final por meio da análise da taxa de sucesso da amostra de validação. Por meio da técnica de análise de regressão logística, verificou-se que 4 variáveis apresentaram correlação positiva e significativa com a capacidade de inovação das PMEs e que, portanto diferenciam as empresas com capacidade de inovação alta das empresas com capacidade de inovação sem destaque. Com base nessa descoberta, foi criado o modelo final de alta capacidade de inovação para as PMEs composto pelos 4 determinantes: base de conhecimento externo (externo), capacidade de gestão de projetos (interno), base de conhecimento interno (interno) e estratégia (interno). / Under the current circumstances of global competition, fast technological improvement and scarcity of resources, innovation became one of the most important approaches that an organization can explore. In this context, the company\'s innovation capability, meaning its capacity to introduce new processes, products or ideas in the company, is recognized as one of the main sources of sustainable growth, effectiveness and survival for organizations. However, just a few companies understood in a practical manner what is required to successfully innovate and most of them see innovation as a big challenge. This reality is not different in the case of Brazilian companies and Small and Medium Size Enterprises (SMEs) in particular. Studies show that the group of SMEs particularly demonstrates in general a deficit even bigger in terms of innovation capacity. In response to the challenge to innovate, a broad literature arose about many aspects of innovation. Although it is considered that only a few results are conclusive or presented comprehensive models in the research about innovation due to the complexity of the theme that deals with a multidimensional phenomenon boosted by several factors. Besides that, there is a gap between what is known by the literature in general about innovation and the literature about innovation at SMEs. The relevance of the innovation capacity and the slow progress of its knowledge base in the context of small and medium size companies which the difficulties to innovate can still be observed, the present study proposed to identify the determinants innovation capacity for SMEs in order to build a high innovation capacity framework for this group of enterprises. The approach for the established goal was through a quantitative method which involved the application of a binary logistic regression to analyze, under the SME perspective, the 15 determinants of innovation capacity identified in the literature review. A transformation of the categorical dependent variable into binary, being group 0 named innovation capacity without highlight and group 1 called high innovation capacity, was done to allow adopting the logistic regression analysis technique. Following this, a procedure was conducted to divide the sample in two subgroups, being one for the analysis containing 60% of the companies and the other for validation (holdout) with the remaining 40% of the cases. The general model fit was assessed by the measures pseudo R2 (McFadden), chi-squared (Hosmer e Lemeshow) and the hit ratio (classification matrix). After this evaluation that confirmed the general model fit, the coefficients of the variables included in the final model were analyzed in terms of its significance level, direction and magnitude. By the end, the final logistic model was validated through the hit ratio of the holdout sample. With the logistic regression analysis, it was able to verify that 4 variables presented positive and significant correlation with the SMEs innovation capacity and, therefore distinguished the high innovation capacity companies from those with innovation capacity without highlight. Based on this discovery, a final high innovation capacity model was built for the SMEs composed by the 4 determinants: external knowledge base (external), project management capacity (internal), internal knowledge base (internal) and strategy (internal).

Submitted by SIDNEY DE LIMA PINTO null (sidneylima@yahoo.com) on 2017-08-23T13:59:31Z No. of bitstreams: 1 Tese - Sidney Lima - DINTER URCA-FEG-UNESP.pdf: 1585870 bytes, checksum: c978a2c1a2007a1b2395348fe5078d12 (MD5) / Approved for entry into archive by Monique Sasaki (sayumi_sasaki@hotmail.com) on 2017-08-23T16:50:44Z (GMT) No. of bitstreams: 1 pinto_sl_dr_guara.pdf: 1585870 bytes, checksum: c978a2c1a2007a1b2395348fe5078d12 (MD5) / Made available in DSpace on 2017-08-23T16:50:44Z (GMT). No. of bitstreams: 1 pinto_sl_dr_guara.pdf: 1585870 bytes, checksum: c978a2c1a2007a1b2395348fe5078d12 (MD5) Previous issue date: 2017-06-28 / Coordenação de Aperfeiçoamento de Pessoal de Nível Superior (CAPES) / Esta tese tem como objetivo a proposição de um modelo para avaliar a capacidade organizacional de Gestão da Inovação. Em indústrias dependentes de ativos de conhecimento e marcadas por rápidas mudanças, a dinâmica competitiva leva as empresas a questionarem paradigmas, padrões e modelos, de mercado, de negócio e de tecnologia, promovendo a inovação. Em consequência, o processo de inovação tem se apresentado como relevante campo de pesquisa acadêmica e da prática gerencial. Apesar disso, a teoria apresenta gaps de conhecimento, entre eles a compreensão da gestão estratégica do processo de inovação e da relação causal entre capacidades organizacionais e desempenho em inovação. Para dar suporte ao gerenciamento da inovação, se faz necessário identificar fatores internos da organização que contribuam para melhorar o desempenho do processo de inovação. O presente trabalho tem como objetivo principal a proposição e validação de um modelo de avaliação da Gestão da Inovação. Destaque-se que os estudos encontrados na literatura se concentram em um número restrito de capacidades organizacionais e seus efeitos moderadores sobre o desempenho em inovação e eventualmente deixam de considerar paradigmas que se estabeleceram na última década, tais como, capacidade absortiva, inovação aberta e ambidestria. Adicionalmente, os procedimentos e métodos que orientam a elaboração desses modelos têm sido documentados de forma imprecisa. Este trabalho utiliza uma abordagem qualitativa-quantitativa. Os construtos teóricos do Modelo foram identificados a partir de uma Revisão de Literatura, que permitiu a organização de um conjunto de variáveis utilizadas para a avaliação de aspectos intangíveis do processo de inovação, e subsidiaram a construção de um questionário. A teoria subjacente ao modelo foi validada por meio da aplicação de uma Análise Fatorial Confirmatória envolvendo 267 respondentes. A coleta de dados foi realizada junto a empresas do setor de software localizadas no "Porto Digital", parque tecnológico instalado em Recife, PE. Foram também realizadas entrevistas com 10 gestores. As evidências empíricas apontam para o fato de que o modelo proposto reflete as capacidades organizacionais que impactam no processo de inovação. As principais contribuições práticas consistem na elaboração de um instrumento para que gestores mapeiem as capacidades organizacionais que necessitam ser desenvolvidas de forma a aumentar o desempenho da organização em inovação. / This thesis aims at proposing a model to evaluate the organizational capacity of Innovation Management. In knowledge-dependent industries and distinguished by rapid changes, competitive dynamics leads companies to question paradigms, patterns and models of markets, businesses and technologies, promoting innovation. Therefore, the innovation process has been presented as a relevant field of academic research and management practice. Despite this, the theory presents knowledge gaps, among them the understanding of the strategic management of the innovation process and the causal relation between organizational capabilities and performance in innovation. To support the management of innovation, it is necessary to identify internal factors of the organization that contribute to improve the performance of the innovation process. The present work has as main goal the proposal and validation of an evaluation model of Innovation Management. It should be highlighted that the studies found in the literature focus on a limited number of organizational capacities and their moderating effects on innovation performance and eventually fail to consider paradigms that have been established in the last decade, such as absorptive capacity, open innovation and ambidexterity. In addition, the procedures and methods that guide the elaboration of these models have been inaccurately documented. This work uses a qualitative-quantitative approach. The theoretical constructs of the Model were identified based on a Literature Review, which allowed the organization of a set of variables used to evaluate intangible aspects of the innovation process, and subsidized the construction of a questionnaire. The theory underlying the model was validated through the application of a Confirmatory Factor Analysis involving 267 respondents. Data collection was carried out with companies in the software sector located in "Porto Digital", a technology park located in Recife, PE. Interviews were also conducted with 10 managers. The empirical evidence points to the fact that the proposed model reflects the organizational capabilities that impact the innovation process. The main practical contributions are the development of an instrument for managers to map the organizational capacities that need to be developed in order to increase the organization's performance in innovation. / CAPES: 9183/2012