The purpose of this thesis is to contribute to New Product Development-literature by expanding the analysis of the R&D-manufacturing interface in complex product development in three areas, i.e. the outsourcing of manufacturing, uncertainty and time-criticality, and field service. The thesis focuses on interface challenges and solutions which concern three questions: How does the level of outsourcing of manufacturing affect the management of the R&Dmanufacturing interface in complex product development? How does the presence of uncertainty and time-criticality affect the management of the R&Dmanufacturing interface in complex product development? How does the need to consider field service requirements affect the management of the R&Dmanufacturing interface in complex product development? The background and point of departure is the realization that there are three areas which influence the management of the important, dynamic interface between R&D and manufacturing. First, the level of outsourcing of manufacturing is increasing in many industries, which makes it even more demanding to manage the R&D-manufacturing interface in complex product development. Second, complex product development may also be characterized by uncertainty and time-criticality, and previous research indicates that these factors need to be handled differently. Third, it is increasingly important to consider not only R&D and manufacturing, but also field service requirements. The research methodology rests on a multiple case study approach where the main case used in this thesis is an extreme case in terms of uncertainty, R&D intensity and volume levels, i.e. Micronic Laser Systems. The main findings of the thesis revolve around the identification of the challenges and solutions involved in complex product development. Based on five research papers, the thesis identifies challenges associated with each of the three research questions, and all challenges identified revolve around how to identify and understand conflicting requirements, to establish an understanding of changing prerequisites and their implications, and to ensure active involvement and a certain degree of competence overlap between organizational functions (internal as well as external). The solutions identified for handling these challenges have one thing in common, namely a focus on achieving controlled responsiveness and flexibility based on an understanding of tradeoffs, interaction, and informed decision-making. These solutions differ from those prescribed in conventional product development literature which tends to focus on upfront planning techniques and how to follow plans. The findings may be of value to a variety of managers in different environments, in particular for project managers who are involved in complex product development. The main reason is that this kind of product development exhibits challenges and solutions different from those described in conventional literature on new product development, at least in cases where there is some degree of uncertainty.

Despite their recognized significance for project success and innovation, the management of the early project phases is still an under-researched area in project management. For organizations to secure a continuous stream of innovation, the utilization of capabilities is crucial for managing the early phases of R&D projects. The purpose of this dissertation is to advance the understanding of the management of the early project phases in hypercompetitive environments. The thesis addresses the research question of how organizations manage the early project phases of R&D in hypercompetitive environments for frequent innovation by taking a dynamic capabilities perspective. The first conceptual study reviews the literature covering organizational change in hypercompetitive environments with a focus on projects as the vehicle to create the necessary flexibility. The study found that organizational aspects and capabilities have to go hand in hand as enabler and facilitator for a successful emergent change process. The second qualitative study investigates how organizations organize the early project phases of R&D in the pharmaceutical industry for an outcome of frequent innovation. The findings show that an optimization of combinative capabilities that balances dynamic, project and multi-project capabilities can be used as a powerful leverage to boost the outcome of frequent innovation. The third study investigates the philosophical stances and related methodologies used within the last 15 years of project management research at the example of IRNOP conferences. The findings show that ontological subjectivism and epistemological interpretivism are dominating. Moreover, case studies and qualitative methods were the most common methods, whereas mixed method studies were lacking despite their value for developing an increasingly complex research field. The final mixed method study explores how absorptive, innovative and adaptive capabilities within the early phases of pharmaceutical R&D affect project and portfolio performance. Based on the results of quantitative study, the set of capabilities has an overall effect on the set of performance outcomes and thus confirms the results of the qualitative study that a distinct capability mix is needed in the pharmaceutical R&D process. To conclude, the dissertation has comprehensively explored the management of the early project phases through four studies and by applying a multitude of methodologies.

Σκοπός της παρούσας εργασίας είναι ο προσδιορισμός των βασικών χαρακτηριστικών των ενεργών ΕΤΑ (Έρευνα και Τεχνολογική Ανάπτυξη) επιχειρήσεων στους κλάδους πλαστικών και μη μεταλλικών ορυκτών στην Ελλάδα. Τα στοιχεία της εργασίας προέρχονται από τους δημοσιευμένους ισολογισμούς των επιχειρήσεων και αναφέρονται στα έτη από το 2001 έως και το 2008. Η επιλογή του δείγματος έγινε με κριτήριο εάν έχουν δηλωθεί έξοδα για ΕΤΑ στους ισολογισμούς των επιχειρήσεων. Για να ερμηνευθούν οι διαφοροποιήσεις σς ένα συγκεκριμένο χαρακτηριστικό των επιχειρήσεων, την ένταση δραστηριοτήτων ΕΤΑ,εκτιμήθηκαν υποδείγματα πολλαπλής γραμμικής παλινδρόμησης με τη μέθοδο Ελαχίστων Τετραγώνων (OLS), τα οποία είναι σε μορφή πάνελ δεδομένων. Τα αποτελέσματα της εμπειρικής ανάλυσης παρουσιάζουν σημαντικές διαφορές στους δύο κλάδους. / This study considers some of the economic issues surrounding determining factors of active R&D (Research and Development) firms. It includes firms belonging in the Greek plastics and non- metallic minerals industry. Data are derived from firms' published balance sheets and are referred to years 2001-2008. The sample has been chosen depending on whether expenses for R&D had been reported in the balance sheets. In order to interpret why differences around R&D intensity exist among firms, there have been estimated multiple linear regression models using the OLS method in panel data. Results from empirical analysis have significant differences among the two sectors.

Huvudsyftet med denna studie är att ta reda på om mindre onoterade aktiebolag som arbetar med forskning och utveckling valt att tillämpa K2- eller K3-regelverket. Delsyftet är att undersöka vilka faktorer som kan inverka på valet. En förhoppning med studien är att denna kan vara till hjälp för de företag som står inför valet mellan K2 och K3. I studien har en kvantitativ metod tillämpats. Empiriskt material har samlats in genom årsredovisningar, via databasen Retriever samt via kontakt med ansvarig person på företagen i urvalet. Insamlad data har sedan analyserats med hjälp statistiska analyser. Variabler som kan tänkas påverka valet av regelverk har tagits fram utifrån redan erkända teorier samt ur tidigare forskning. Variablerna presenterats i en a priori-modell. En undersökningsmodell har sedan utformats då alla tänkbara variabler ur den teoretiska referensramen inte är möjliga att undersöka på grund av metodval. Resultatet i denna studie visar på att övervägande del av företagen valt att tillämpa K3-regelverket trots att det är K2-regelverket som är det regelverk som rekommenderas för denna kategori av företag. Dessutom gjorde studiens tidsram det omöjligt att samla in fler årsredovisningar än de som inkom, detta gav ett stort bortfall som troligtvis påverkat studiens resultat. En liknande studie i höst skulle ge ett bättre empiriskt material och därmed förhoppningsvis ett generaliserbart resultat. / The main objective of this study is to find out the reasons why small and limited companies working with R&D would decide to apply K2 or K3 regulations and to investigate what factors may influence that choice. One hope of the study, if completed successfully and thoroughly, is that it may serve as a guide in order to help companies faced with this choice. The study is based on a quantitative method. Empirical data was collected through annual reports, through the database, Retriever, and by having contact with the CFO. Further, the empiric data was analyzed using statistical analysis and the variables that could affect the choice of framework were found in acknowledged theories as well as previous research regarding accounting choices. The variables are presented in a “A priori-model”. A research model was formed since all possible variables from the theories could not be investigated due to methodological choices. The empirical data has been presented in the form of tables, charts and then discussed regarding previous research. The results of this study show that the majority of the companies decided to apply the K3 regulations, even though the K2 regulation were recommended for that category of company. In addition, the study's timeframe made it impossible to collect any more annual reports than what was received, this may affect the results of this study. A similar study in the fall would give better empirical data.

This research aims to explore if and to what extent the IPO-Year R&D investments of 32 Application Software companies return value, as measured through stock performance. By utilizing “Ordinary Least Squares Analysis” and the “Fama-French Three Factor Model,” this research explores how the initial R&D investments in “IPO-Year” impact stock returns during the three years post-IPO. This study is purposed to discover if and how long it takes for the initial R&D investment in the IPO-Year to materialize into stock performance for Application Software companies. However, the research and analysis indicates that R&D expenditures in an IPO-Year is not a statistically significant variable in influencing stock performance.

Patents, for being in possession of inside information relating to technological innovations that will be on the market in the coming years, are becoming increasingly important in scientific studies. Patent analysis studies can be quantitative or qualitative. With patents, someone can make an analysis of inventive step from a subject matter, be it a country, a company or a technology as well as its relations with the other "players" in the market. This research analyzes the correlations between investments in R&D of BRICS countries and patent applications to see whether these investments are replicated in the knowledge generated in those countries. It were also collected data publications and scientific articles, and the GDP to supplement the correlation study. Analyses are performed for each country and discussed the results. Few studies relate patents for areas in order to obtain an overview of a country facing its patents for a certain period. With this study, we sought to exactly analyze all the patents published in Brazil, identifying its areas and countries of origin or destination. Through the correlations between variables raised to the BRICS countries, this study analyzed the strengths and weaknesses of each country. / As patentes, por serem detentoras de uma informação privilegiada referente às inovações tecnológicas que estarão no mercado nos próximos anos, ganham cada vez mais importância nos estudos científicos. Os estudos de análise de patentes podem ser quantitativos ou qualitativos. Com as patentes, pode-se fazer uma análise da atividade inventiva do objeto de estudo, seja um país, uma empresa, ou uma tecnologia, bem como suas relações com os demais ―players‖ do mercado. Esta pesquisa analisa as correlações entre os investimentos em P&D dos países do BRICS e os depósitos de patentes, para verificar se esses investimentos são replicados no conhecimento gerado nesses países. São levantados também os dados de publicações e artigos científicos, bem como do PIB para complementar o estudo de correlação. São realizadas análises para cada país e discutidos os resultados obtidos. Poucos estudos relacionam as patentes por áreas com objetivo de obter um panorama geral de um país frente a suas patentes durante certo período. Com o presente estudo, buscou-se exatamente isso, analisar todas as patentes publicadas no Brasil, identificando suas áreas, e os países de origem ou destino. Através das correlações entre as variáveis levantadas para os países do BRICS, este estudo analisou os pontos fortes e fracos de cada país.

Made available in DSpace on 2016-06-02T19:51:34Z (GMT). No. of bitstreams: 1 1682.pdf: 417611 bytes, checksum: f3bb31cafc516608bc2bbdbf8237aa4d (MD5) Previous issue date: 2007-12-21 / Financiadora de Estudos e Projetos / This dissertation aims to evaluate technology spin-offs Brazilian economy in the context of internationalization of multinational companies. Since 1980, the multinationals modify its international production strategies stressing efforts in R&D and other high value-added activities and affiliated companies gain a more important role at the international strategy of the group. As an indirect result of the technological role of the affiliated in national economy technology spin-offs are an important subject that need to be more attention. This work analyses the chacteristics of spin-offs from different origins focusing on affiliated as the parent organization. / Pretende-se avaliar, neste trabalho, alguns dos efeitos da mundialização das empresas multinacionais presentes na economia brasileira. A partir da década de 80 as empresas multinacionais passaram a atuar de forma diferenciada em relação à produção internacional. Essa alteração está evidenciada no aumento do investimento direto estrangeiro e em mudanças na sua forma de organização. A empresa passa a atuar como um grupo maior divisão internacional do trabalho em base mundial, integrando funcionalmente suas diversas operações forâneas e a de seus fornecedores. Essa atuação diferenciada ganha forma também nas atividades tecnológicas (P&D). Contudo, os estudos que contemplam essa temática revelam a concentração geográfica desses investimentos, especialmente em economias desenvolvidas. A preocupação reside em entender a contribuição das atividades das multinacionais em uma economia como a brasileira que configura um dos principais receptores de Investimento Direto Estrangeiro dentre os países em desenvolvimento através da formação de spin-offs de base tecnológica. As especificidades dessas empresas na economia brasileira como sua organização fonte (parent organization), diferenciais de desempenho, e formas de atuação no cenário econômico nacional e internacional são relevantes para o seu fomento e desenvolvimento. O estudo foi baseado na análise de uma base de dados de 102 EBTs nacionais. A análise empírica mostrou que existem algumas características que estão presentes em todas as EBTs independentemente da origem, como a concentração setorial. Porém, algumas diferenças são signficativas e não devem ser negligenciadas. EBTs oriundas de outras empresas destacam-se em indicadores econômicos, enquanto aquelas advindas de universidades apresentam melhor desempenho tecnológicos. As EBTs oriundas de multinacionais apresentam singularidades, mas possuem peso relativamente menor nos indicadores econômicos das EBTs oriundas de outra empresas. Palavras-Chave: Spin-offs, EBTs, Multinacionais, P&D, Inovação Tecnológica.

Orientador: Gilberto de Martino Jannuzzi / Dissertação (mestrado) - Universidade Estadual de Campinas, Faculdade de Engenharia Mecanica. / Made available in DSpace on 2018-08-05T06:38:56Z (GMT). No. of bitstreams: 1 Sant'Ana_PauloHenriquedeMello_M.pdf: 1298571 bytes, checksum: 88a415f0bef9274781c2b8bba1a637b4 (MD5) Previous issue date: 2005 / Resumo: A confecção de uma agenda de C,T&I em energia é atualmente um tópico de grande relevância devido à ainda recente liberalização do mercado energético. Com o intuito de se mapear as tecnologias mais promissoras no desenvolvimento da matriz energética brasileira, o projeto de prospecção tecnológica em energia, realizado pelo Centro de Gestão e Estudos Estratégicos (CGEE), teve como finalidade à identificação de alguns conjuntos de tópicos tecnológicos considerados prioritários para investimentos em C,T&I no Brasil para os próximos 20 anos. Esta dissertação, baseada numa das etapas deste projeto, tem como objetivo analisar e validar a consulta Delphi em energia realizada com especialistas da academia, indústria e governo do Brasil. Após a validação desta técnica, um exercício de ranqueamento dos tópicos tecnológicos com as respostas da segunda rodada da consulta é montado para comparar com os resultados do ranqueamento efetuado pelo projeto do CGEE. De acordo com os resultados, a consulta Delphi em energia permite uma mudança de opinião em alguns tópicos tecnológicos, um aumento do consenso (medido através da variação do desvio padrão) e uma convergência dos respondentes menos especializados na direção das médias totais das respostas da primeira rodada; a comparação do ranqueamento com os resultados do CGEE não mostra diferenças significativas, sendo coerente também com os resultados de EuRenDel, 2004 / Abstract: Building a R&D agenda is nowadays an important issue due to the recent liberalization of Brazilian energy market. The chalenge now is to identify the most promising technologies in the development of a Brazilan energy matrix. The ¿Center of Management and Strategic Studies¿ (CGEE) has coordinated a project to identify some technological topics that are supposed to be the most promising to Brazil in the next 20 years. This thesis, based on the second part of this project, aims to validate and analyse the Delphi survey answered by specialists of academy, industry and government in Brazil. After the validation of the technique, a ranking of the technological topics in Delphi¿s second round was made to compare the results with the CGEE¿s ranking. Acording to the results, Delphy¿s technique allows a change of opinion in some topics, an increase of the consensus (measured by the standard deviation), and a convergence of answers from the first to the second round from the less specialized participant in the direction of the average of answers in the first round. The comparison with the CGEE¿s results didn¿t show any considerable differences, showing coherence with EuRenDel (2004) results / Mestrado / Planejamento de Sistemas Energeticos / Mestre em Engenharia Mecânica

“Análise do processo de cooperação tecnológica universidade-empresa: um estudo exploratório” é um trabalho em que se demonstra como vem acontecendo a cooperação universidade - empresa no Brasil no campo da Ciência e Tecnologia, principalmente, do ponto de vista acadêmico. Para tal, foi efetuada uma pesquisa exploratória junto a três universidades que se destacam nesta área e três empresas que têm atuado em pesquisas conjuntas com estas instituições. Para o desenvolvimento da análise, foi elaborado um modelo conceitual básico em que foi adotada uma divisão do processo de cooperação em quatro partes constituintes: motivações, barreiras e/ou facilitadores, processo de cooperação em si e satisfação resultante. Através do estudo realizado, foi possível visualizar como o processo, em seu todo ou em função das partes constituintes, está se estabelecendo. Os resultados da pesquisa permitiram detectar como motivadores centrais, para as universidades, a realização de sua função social, a obtenção de conhecimentos práticos e a incorporação de novas informações aos processos de ensino e pesquisa; para as empresas, o acesso a recursos humanos com elevada qualificação e a resolução de problemas técnicos. Constatou-se também a existência de organizações e agentes intermediadores no processo de cooperação, sendo que este apresenta como principais instrumentos operacionais as relações pessoais informais e formais e os acordos com alvo definido. A pesquisa ainda evidencia os fundos governamentais de apoio à pesquisa como o principal facilitador existente no processo de cooperação universidade-empresa e as diferenças de nível de conhecimento entre as pessoas envolvidas, a burocracia destas instituições e a duração muito longa do projeto como sendo as mais marcantes barreiras. Indicando, por fim, que o processo tem gerado satisfação entre os participantes, o que é refletido no desejo de continuidade com pesquisas cooperativas pelas instituições. De posse dos resultados da pesquisa, desenvolveu-se um modelo para entendimento da cooperação entre universidades e empresas em universidades brasileiras, em que se observam os fatores ligados a motivações, barreiras, facilitadores, processo em si e satisfação resultante. O estudo se encerra com a indicação de algumas medidas de melhoria para o processo; como, por exemplo, redução da burocracia universitária, divulgação da imagem e potencial das universidades, ampliação das relações entre o setor empresarial e o universitário e a simplificação do processo de obtenção de fundos governamentais de apoio à pesquisa. / “Analysis of the university-enterprise technological cooperation peocess: an Exploratory study” is a study showing that there has been a university-enterprise cooperation in Brazil, especially in science and technology, from an academic point of view. In order to show this, exploratory research has been carried out involving three major universities in this area as well as three enterprises that have done some joint research together with them. To develop the analysis, a basic conceptual model has been designed which adopts a division of the cooperation process in four parts: motivation, constraints and/or facilitators, the cooperation process itself and the resulting satisfaction. By carrying out such a study it was possible to visualize how the process, as a whole or depending on its parts, has been established. The results of this study have allowed to detect, as central motivators to the universities, the performance of their social role, the acquisition of practical knowledge and the addition of new information to the teaching and researching processes; to the enterprises, such motivators have been detected as the access to highly qualified human resources and the solution to technical problems. It has also been found the existence of intermediate agents and organizations in the cooperation process, which has got formal and informal personal relationships as well as agreements with a definite target as its main operational tools. Furthermore, this study highligths government research funds as the main existing facilitator in the university-enterprise cooperation process and the university geographical location, the bureaucracy of such institutions as well as the lengthiness of the project as the most remarkable constraints. Finally, it points out that the process has generated satisfaction among participants, which is reflected by the desire of the institutions to continue carrying out cooperative research. Based on the results of this study, a model to understand the cooperation between universities and enterprises at Brazilian universities has been developed, in which one can notice the factors linked to motivation, constraints, facilitators, the process itself and the resulting satisfaction. To conclude, the study indicates some measures to improve the process such as reduction of university bureaucracy, promulgation of university image and potential, an improvement on the relations between universities and enterprises, and a simpler process to get government research funds.

Submitted by Renata Lopes (renatasil82@gmail.com) on 2017-03-09T20:40:44Z No. of bitstreams: 1 julianagoncalvestaveira.pdf: 2007833 bytes, checksum: 42c853236922fd3e295e36bad7586914 (MD5) / Approved for entry into archive by Adriana Oliveira (adriana.oliveira@ufjf.edu.br) on 2017-03-13T17:17:53Z (GMT) No. of bitstreams: 1 julianagoncalvestaveira.pdf: 2007833 bytes, checksum: 42c853236922fd3e295e36bad7586914 (MD5) / Made available in DSpace on 2017-03-13T17:17:53Z (GMT). No. of bitstreams: 1 julianagoncalvestaveira.pdf: 2007833 bytes, checksum: 42c853236922fd3e295e36bad7586914 (MD5) Previous issue date: 2016-06-17 / A literatura aponta que a P&D e as medidas de capital humano seriam um dos principais insumos para a inovação. Além disso, é comprovada a importância desta sobre a produtividade e desenvolvimento. A partir de um modelo estrutural nos moldes do modelo CDM, esta tese analisa o impacto das atividades inovativas sobre a produtividade da firma industrial brasileira ao conectar o insumo da inovação, o produto da inovação e a performance econômica das empresas. Pretendeu-se ainda avaliar paralelamente duas medidas de insumo inovativo, o gasto interno com P&D e trabalhadores classificados como PoTec. Para tal, utilizar-se-á principalmente dados da Pesquisa de Inovação (PINTEC), disponibilizada pelo IBGE, e de trabalhadores da RAIS, disponibilizada pelo MTE, para construção de um painel de dados. Do ponto de vista econométrico, submete-se esta base de dados ao método probit de efeitos aleatórios de Chamberlain, para a estimação da decisão de investir em pesquisa e da função de produção da inovação, estimador proposto pelo Wooldridge (1995) para correção do viés de seleção, dentro da estimação da equação de intensidade de gasto em P&D, e, por último, o método de efeitos fixos, para a estimação da função de produção da firma. Constata-se a importância de se inserir na análise o controle de efeitos não observados e de uma medida alternativa ao gasto em P&D, para se obter estimativas consistentes. Para o caso brasileiro, observa-se que a intensidade do gasto com trabalhadores PoTec afeta positivamente a probabilidade de inovar para o mercado e destaca-se a importância da inovação para o aumento da produtividade da indústria nacional. / The following literature suggests that R&D and human capital measures are the main inputs for innovation. Furthermore, it is well established that innovation is fundamental for productivity and development. This study, from a structural model in line with the CDM model, analyzes the impact of innovative activities on the productivity of Brazilian industrial firms connecting innovation input, innovation output and firms' economic performance. This paper aims to evaluate two parallel measures of innovative input, internal R&D expenditure and workers classified as PoTec. For this purpose, mainly data from the Pesquisa de Inovação (PINTEC) will be used, which were released by the IBGE, and in regards to workers, RAIS data, provided by the MTE, in order to create panel data. From an econometric perspective, one can submit this database to Chamberlain's random effects probit model to estimate the decision to invest in research and innovation production function. For the R&D expenditure equation, one uses an estimator proposed by Wooldridge (1995) for selection bias correction, and finally, uses a fixed effects model for the estimation of the firm's production function. To provide consistent estimates, the importance of controlling unobserved effects and considering an alternative measure to R&D expenditure is noted. For Brazil, it can be observed that the intensity of PoTec workers positively affects the probability of innovation in the market and highlights the importance of innovation for increased productivity of the domestic industry. The results point to the importance of controlling unobserved effects and using alternative measures to R&D expenditure in order to provide consistent estimates. For Brazil, it can be observed that the extent PoTec workers positively affects the probability of leading to innovation in the market and it is important to highlight that innovation increases domestic industry productivity.