Submitted by Priscilla Araujo (priscilla@ibict.br) on 2015-11-26T17:24:09Z No. of bitstreams: 2 license_rdf: 21267 bytes, checksum: 73e23c2acaaf13389e092bd813e3223d (MD5) Tese Fábio Staude 30_07_2014 versão final.pdf: 1310546 bytes, checksum: 42465122729d69d3d9766a9cade40a96 (MD5) / Made available in DSpace on 2015-11-26T17:24:09Z (GMT). No. of bitstreams: 2 license_rdf: 21267 bytes, checksum: 73e23c2acaaf13389e092bd813e3223d (MD5) Tese Fábio Staude 30_07_2014 versão final.pdf: 1310546 bytes, checksum: 42465122729d69d3d9766a9cade40a96 (MD5) Previous issue date: 2014-06-05 / A importância da cooperação interorganizacional dentro do processo de inovação tem sido cada vez mais reconhecida. De fato, todas as organizações, em algum momento, precisam considerar fontes externas de recursos como insumos para o processo de construção de competência tecnológica. Nesse sentido, através de um estudo de caso detalhado, esta tese analisa teórica e empiricamente como iniciativas colaborativas têm apoiado o órgão regulador nuclear brasileiro no desenvolvimento e implementação de inovações, a fim de verificar a relação positiva entre a colaboração e o desempenho inovativo organizacional. Ressaltando a importância tanto de fontes internas de conhecimento como da participação externa, o presente estudo envolveu a análise de documentos, levantamento preliminar de dados e entrevistas semiestruturadas com técnicos do órgão regulador responsável pela inspeção e controle de instalações e atividades associadas à utilização de fontes de radiação nas áreas médica, industrial e de pesquisa. A tese demonstra que as inovações desenvolvidas e implementadas na área de proteção radiológica e segurança nuclear brasileira estão associadas a iniciativas colaborativas voltadas ao aprimoramento da capacidade organizacional para cumprir suas obrigações de segurança, fornecendo algumas implicações significativas para os gestores envolvidos com a gestão da inovação. Os resultados também identificaram atores com um grau significativo de influência no processo de inovação. O estudo revela que o apoio prestado por esses atores tem uma forte influência sobre o desempenho inovativo do órgão regulador nuclear brasileiro, o que sugere que o Brasil deve adotar modelos mais interativos de inovação e transferência de conhecimento. Além disso, os resultados da pesquisa demonstram que esses atores-chave podem ter um papel relevante no contexto dos regimes de informação vigentes em sistemas setoriais de inovação. / The importance of inter-organisational cooperation within the innovation process has been increasingly recognized. In fact, all organisations, at some point, need to look to external sources for inputs to the process of building up technological competence. In this sense, through a detailed case study, this thesis examine theoretical and empirically how collaborative initiatives have supported the Brazilian nuclear regulatory body in the development and implementation of innovations, in order to verify the positive relationship between the collaboration and the organisational innovation performance. Emphasizing the importance of both internal sources of knowledge and external participation, the study encompasses documentary analysis, a preliminary survey and semi-structured interviews with the regulatory body employers in charge of controlling medical and research facilities and activities involving radiation sources. The thesis demonstrates that innovations developed and implemented in the Brazilian nuclear safety and security area are associated with collaborative initiatives, in order to improve the organizational capability to fulfill safety obligations, providing some important implications for regulatory body managers concerned with the management of innovation. The findings also identified actors with a significant degree of influence in the innovation process. The result reveals that the support provided by these actors has a significant influence on the innovation performance of the Brazilian nuclear regulatory body, suggesting that Brazil should adopt more interactive models of innovation and knowledge transfer. In addition, the findings show that these key actors can play a very distinctive role in the context of sectoral systems of innovation information regime.

The purpose of this thesis is to assess the implications of Information Communication Technologies (ICTs) on the agricultural supply chain in Greece by examining the relationships between farmers and their intermediaries, and their interactions during the buying and selling process. More specifically, the focus of the research takes place in Pouri, a small village in central Greece whose economy centers around Apple Farming, where we can observe the exchange of locally grown goods between farmers and intermediaries. The thesis consists of two parts; the first part examines how Greek farmers perceive the process of buying and selling agricultural products and how they respond to problems within their current structure; through observing processes, conducting interviews and collecting narrative stories to identify the issues, we assess whether it would be advantageous for farmers to implement ICTs as part of the solution. The second part consists of a review of the academic literature to examine the same or similar situations in the agricultural supply chain of other global regions and their economic contexts. Lastly, a thorough thematic analysis of the research data provides a better understanding of the issues facing farmers and their needs as they pertain to ICTs, to improve the agricultural supply chain and the entire rural sector.

In this qualitative study the buying activity for three smaller intermediaries in the Swedish fashion industry have been identified to compare similarities and differences. Further on we studied how CSR is integrated in the activity and which type of value these efforts create for the intermediary. The study was conducted through semi-structured interviews with CSR- and buying managers as well as a CSR- consultant who assists intermediaries in issues and strategies regarding CSR, to deepen our knowledge and gain further perspective of the area. The gathered empirical evidence has later been analyzed in connection with existing theories concerning CSR integration and value creation in order to reach a conclusion that also answers our research questions. The study has shown tendencies that CSR can be successfully integrated in an intermediary by letting it become a part of the company’s core activities and thereby permeate the entire organization. If the intermediary is successful with this part, value can be created in terms of brand strengthening and a good reputation as well as functioning as insurance for the future. We hope that this study can convey the importance of CSR for an intermediary and how it best can be integrated in the company’s buying activity.The following essay is written in Swedish. / I denna kvalitativa studie har arbetsprocessen vid inköp kartlagts för tre mindre mellanhänder i modebranschen för att jämföra likheter och skillnader. Undersökningen genomfördes med hjälp av semistrukturerade intervjuer med CSR- eller inköpsansvariga på respektive företag. Vidare har vi studerat hur CSR integreras i arbetsprocessen vid inköp och vilken typ av värde dessa ansträngningar skapar för mellanhänderna. För att fördjupa kunskapen och få ytterligare ett perspektiv på området intervjuades även en konsult som hjälper mellanhänder med frågor och strategier rörande CSR. Empirin har sedan analyserats med utgångspunkt i teorier om CSR, dess integration i arbetsprocesser och värdeskapande för att komma till en slutsats som svarar på våra forskningsfrågor. Studien har visat tendenser på att ett väl integrerat CSR uppnås genom att låta det bli till en del av kärnverksamheten och få engagemanget att genomsyra hela organisationen. Om mellanhanden lyckas med det kan det skapa värden i form av marknadsföring, bra rykte och fungera som en framtidsförsäkring. Vi hoppas att studien kan förmedla betydelsen av CSR för en mellanhand samt hur det på bästa sätt integreras i arbetsprocessen.

This thesis is focused on insurance business in Vietnam, life insurance and nonlife insurance market within the frame of past and present development. Important part of this thesis is also description of insurance intermediaries and reinsurance companies that are significant subjects in insurance market. Macroeconomic and sociodemographic conditions, in which insurance market operates, are described in first chapter. Vietnam insurance market is underdeveloped in comparison to European countries. On the other hand this sector is progressively developing and has large potential; especially in case government reforms will continue and will lead to international openness and free market economy in Vietnam.

The first aim of this thesis is to tackle the deficiencies within the system of financial regulation. Furthermore, it aims to assess the submitted and even the already adopted proposals. The aims cannot be achieved without an analysis of the causes of the global financial crisis 2007-2009, because it helps to understand a range of deficiencies in the system of financial regulation. A global financial crisis of that magnitude cannot be traced to a single cause but was instead the result of multiple interconnected causes, which are examined at the macroeconomic as well as microeconomic level.

La propriété intellectuelle est un des droits fondamentaux. Conformément à l’esprit résultant de la théorie de l’ordre de valeur objectif, les intermédiaires de l’Internet doivent assumer une obligation de protection active en matière de propriété intellectuelle. Cependant, en raison d’une relation de répartition des obligations entre les titulaires de droits de propriété intellectuelle, les usagers, l’État et les intermédiaires de l’Internet, l’obligation de protection qui incombe à ces derniers doit être limitée. Afin d’éviter que les obligations des intermédiaires de l’Internet ne soient ni excessives ou ni insuffisantes, un certain nombre de principes juridique et économique et de critères permettant d’adapter l’obligation aux objets de diffusion, aux modes d’exploitation ainsi qu’au caractère lucratif doit être prise en compte lors de la mise en place de ces obligations. Plus précisément, les intermédiaires de l’Internet ne doivent pas prendre en charge une seule et unique obligation mais de multiples obligations, y compris l’obligation de filtrage. Ces obligations forment un système complet leur permettant d’assurer de manière active la protection des droits de propriété intellectuelle / Intellectual property is one of fundamental rights. By developing and applying the objective value order theory, the internet intermediaries should assume the obligation to actively protect the intellectual property. Meanwhile, as shared obligations distributed among the government, the right holder, the internet intermediaries, and the user, the active obligation of IP protection that the internet intermediaries can carry out is limited. In order to insure the moderation of obligation, it would be preferable to respect the pertinent legal and economic principles, and distinguish the target of dissemination, the business model, and the profit factor in choosing the type of obligations. It should be noted that this active protection would not be accomplished only through a unique obligation. It should articulate several types of obligation, including but not limited to filtering obligation. These obligations, all together, form an obligation system which enables internet intermediaries to actively protect intellectual property

The thesis gives the analysis of the life insurance market in Ukraine. The first part is dedicated to the main characteristics of the Ukrainian insurance market with detailed specification of its participants, regulatory and theoretical basement of life insurance. The second part introduces deep analysis of the main insurance indexes of the market and also the analysis of particular insurance companies with reference to their market shares and product supplies. The last part compares evolution of the Ukrainian insurance market with other nations. Finally, the thesis points out the main problems of the life insurance market in Ukraine and their probable solutions.

Cette thèse traite des effets des modes de régulation faisant appel à des intermédiaires pour promouvoir des cadres souples d’organisation. Ces effets sont analysés à travers un cas d’intermédiation dans le champ sanitaire français : la participation de l’Agence nationale d’appui à la performance des établissements de santé et médico-sociaux (ANAP) à l’axe virage ambulatoire du Plan triennal 2015-2017 de transformation du système de santé. Ce cas est abordé à travers une approche en régimes de gouvernementalité fondée sur les travaux de Michel Foucault. L’application de cette approche au cours d’une recherche-intervention de trois ans en partenariat avec l’ANAP permet de dévoiler de manière inductive les caractéristiques spécifiques du Plan triennal en tant que régime de régulation, ainsi que le fonctionnement de ce régime à l’échelle nationale, régionale et des établissements de santé. Cette approche amène également à dépasser la seule mesure de l’efficacité de l’intermédiation pour s’intéresser à l’explication de cette efficacité et s’interroger sur son utilité par rapport aux besoins des différentes parties prenantes du système de santé. Dans son ensemble, ce travail doctoral a des implications d’ordre méthodologique, théorique et pratique. Sur le plan méthodologique, il est proposé une démarche d’évaluation des effets des dispositifs de régulation reposant sur le changement organisationnel. Sur le plan théorique, sont identifiés trois effets de l’intermédiation – de capacitation contingente, de conjonction des véridictions et d’apprentissage alèthurgique – qui complètent les modèles existants de cette activité organisationnelle en développement. Enfin, sur le plan pratique, cette thèse suggère qu’un usage constructif de l’appareillage conceptuel foucaldien est possible en sciences de gestion et illustre cet emploi en formulant six préconisations à l’attention des acteurs de la régulation sanitaire en France, ainsi que cinq pistes de recherche pour les chercheurs qui souhaiteraient accompagner ces acteurs à l’avenir. / This dissertation addresses the effects of modes of regulation relying on intermediaries in order to promote soft organizational frameworks. For that purpose, I analyze a case of intermediation taking place in the French healthcare field : the participation of the National Agency for the Performance of Healthcare Facilities (NAPHF) in the outpatient shift programmed by the 2015-2017 Transformation Plan of the healthcare system. My approach, which draws on the work of Michel Foucault, consists in examining the regime of governmentality that has been implemented in that case. Having used that inductive approach during a three-year research intervention in partnership with the NAPHF, I unveil the specific features that have enabled the regulatory regime of the Transformation Plan to operate at the national, regional and intra-hospital levels. Furthermore, that approach leads beyond measuring the efficacy of intermediation to explaining its effectiveness and to questioning its usefulness for answering the needs of the different stakeholders of the healthcare system. As a whole, this doctoral thesis bears methodological, theoretical, and practical implications. On the methodological side, I propose a method for evaluating the effects of regulatory tools aimed at fostering organizational change. On the theoretical side, I supplement existing models for understanding intermediation by identifying three effects of that organizational activity, which is currently expanding. Those effect are namely: contingent capacity-building, conjoined truth-telling, and alethurgic learning. On the practical side, my work suggests that management scholars may use the conceptual apparatus inherited from Michel Foucault in a constructive manner. I illustrate the potential benefits of that constructive stance by providing six recommendations for improving the regulation of the French healthcare system as well as five possible orientations for researchers who are seeking to help the actors of that system in the future.

Alors que le community organizing constitue aujourd’hui l'une des formes d'action collective les plus légitimes aux États-Unis, encourageant la participation de classes populaires urbaines que tout exclut du champ politique, les conditions de possibilité de cette participation improbable restent peu étudiées. À partir d'une enquête ethnographique et sociohistorique menée à Chicago, berceau historique de ce répertoire d’action, cette thèse se penche sur le groupe de professionnel·le·s, les community organizers, qui font exister une participation et une représentation politiques profanes. Pourtant, contrairement aux arguments classiques de la sociologie politique, ces professionnel·le·s refusent de parler au nom du groupe mobilisé, la community, se mettant activement en retrait derrière des porte-parole populaires qu’ils et elles sélectionnent et forment. Que dit l’étude de ce rôle des liens entre institutionnalisation, professionnalisation et politisation/dépolitisation ? Pour saisir les ressorts de cette dissociation originale entre professionnel·le et porte-parole et ses effets sur la division du travail politique, on montre comment ce rôle de « faiseur de représentants » émerge, se consolide et se légitime à partir des années 1970, à la frontière entre, d’une part, la tradition d'intervention sociale héritée des initiatives réformatrices des premières décennies du XXe siècle, et d’autre part les pratiques contestataires héritées des mouvements sociaux des années 1960 et 1970. La thèse expose ensuite comment ce rôle hybride, où revendication d’expertise professionnelle et travail de mobilisation et de politisation sont indissociables, se manifeste dans des pratiques quotidiennes de mise en représentation populaire. Celles-ci s’inscrivent dans un espace d’intermédiation largement déterminé par des relations d’interdépendance avec d'autres espaces et champs concurrents (champs politique et philanthropique, « espace des mouvements sociaux ») qui échappent aux porte-parole profanes. Enfin, en déplaçant la focale vers les trajectoires des community organizers, de leurs dispositions à l'engagement aux modalités de maintien dans le rôle ou de reconversion dans d’autres espaces professionnels en passant par l'incorporation en acte de ce sens pratique militant pragmatique, on voit néanmoins que devenir community organizer peut confirmer ou enclencher des dynamiques de politisation individuelle. / Community organizing is one of the most legitimate forms of collective action in the United States today, fostering the participation of urban working classes that are structurally excluded from the political field. And yet, the conditions of possibility of such socially unlikely participation have received little scholarly attention. Based on an ethnographic and sociohistorical inquiry conducted in Chicago, the historic birthplace of that repertoire of collective action, my goal in this dissertation is to address this gap by focusing on the group of professionals, called community organizers, who make popular and lay political participation and representation possible. The central paradox here is that, contrary to what the literature in political sociology usually argues, these professionals refuse to speak on behalf of the mobilized community, actively stepping back behind the spokespeople they select and train. What does the study of this role say about the links between processes of institutionalization, professionalization and politicization/depoliticization? In order to make sense of the original dissociation between the professional’s role and that of the spokesperson and understand how it affects the division of political work, the dissertation shows how the role of “leader-maker” has emerged, taken shape and been legitimized from the 1970s onwards, at the junction of, on the one hand, the reform-minded community organization tradition dating back to the early 20th century, and on the other, the legacy of the contentious politics of the 1960s and 1970s. I then shift the focus to what this hybrid role, where claims of professional expertise and mobilization and politicization cannot be disentangled, actually looks like in terms of daily practices developing popular representation. These practices occur within a space of political intermediation broadly shaped by networks of interdependencies with other competing sectors (the political and philanthropic fields, the “space of social movement”) which are beyond the lay spokespeople’s reach. By looking at organizers’ individual trajectories, however – from their social dispositions towards commitment to the actual incorporation of this pragmatic practical sense and the ways individuals can stay in the field or exit the role towards other career opportunities – the research shows that becoming an organizer can confirm or initiate dynamics of individual politicization.

Diese Dissertation umfasst drei Aufsätze über die Rolle von Informationsintermediären und Intermediäre mit Aufsichtsfunktionen in Kapitalmärkten. Der erste Aufsatz untersucht, ob sich verschiedene Leerverkäufer bei ihrer Auswahl von Zielunternehmen anhand von sichtbaren Merkmalen unterscheiden. Die Ergebnisse zeigen, dass Hedgefonds und Investmentmanager im Durchschnitt größere und jüngere Unternehmen bevorzugen, während sich Banken auf Unternehmen mit weniger Restatements der Finanzdaten und einem höheren Verschuldungsgrad konzentrieren. Der zweite Aufsatz beschreibt, wie Unternehmen auf aktivistische Leerverkäuferberichte reagieren. Es wird festgestellt, dass die Antwortrate erheblich steigt, wenn der Bericht von deutlich negativen abnormalen Renditen begleitet wird und wenn die Leerverkäufer neue Beweise vorlegen. Dies stimmt mit der Vorstellung überein, dass Leerverkäufer als Informationsintermediäre fungieren können. Eine Nichtbeantwortung ist außerdem ist mit einer weniger negativen Aktienkursreaktion bei Veröffentlichung und mit weniger nachteiligen Ergebnissen verbunden. Die dritte Aufsatz fokusiert sich auf so-genannte Monitoring Trustees. Sie sind bei der Überwachung von Banken behilflich, die in der Europäischen Union während der letzten Finanzkrise staatliche Beihilfen erhalten haben. In einer von Hand gesammelten Stichprobe werden die Merkmale und Aufgaben dieser neu implementierten Aufseher und ihre Rolle im Zusammenhang mit dem Berichtsverhalten der Banken untersucht. Die Ergebnisse deuten darauf hin, dass diese zusätzlichen Aufseher die Transparenz und das Berichtsverhalten der Banken bei der Finanzberichterstattung beeinflussen können, insbesondere wenn die Berichterstattung über Kreditverluste und Anpassungen der Geschäftsberichte berücksichtigt werden. Der zweite Aufsatz wurde im Journal of Accounting Research (https://doi.org/10.1111/1475-679X.12356) publiziert. / This dissertation comprises three essays on the role of information and monitoring intermediaries in capital markets. The first essay investigates whether different short sellers vary in their selection of target firms using observable firm characteristics. Results show that hedge funds and investment managers on average prefer larger and younger firms, whereas banks focus on firms with fewer restatements and a higher leverage. The second essay provides descriptive evidence on how firms respond to activist short seller reports and how these responses are associated with outcomes for the targeted firms. It finds that the response rate increases substantially when the report is accompanied by significantly negative abnormal returns and when the short sellers provide new evidence which is consistent with the idea of short sellers acting as information intermediaries. Not responding is associated with a less negative stock price response when the report is released and fewer adverse outcomes. The third essay shifts the attention to Monitoring Trustees who assist in the supervision of banks that have received state aid in the European Union during the last financial crisis. It explores in a hand-collected sample the characteristics and duties of these newly implemented monitors and it studies the role of these supranational monitors and the banks’ reporting behavior. Results suggest that these additional supervisors can influence the banks financial reporting transparency and reporting behavior when mainly loan loss reporting and restatements are accounted for. The second essay has been published in the Journal of Accounting Research (https://doi.org/10.1111/1475-679X.12356).