A mandate is “a business, or element of a business, in which the subsidiary participates and for which it has responsibilities beyond its national market” (Birkinshaw, 1996, p. 467). In the past MNCs set up subsidiaries as miniature replicas of the parent firm but with a changing global market the role of the subsidiary has developed into holding specific mandates. Much has been written about how subsidiaries gain mandates, but in this paper we focus on what causes a subsidiary to lose its mandate. By using AstraZeneca’s R&D unit in Södertälje as a case we examine the loss of mandates and to what extent technological capabilities are connected to the loss of mandates. The paper shows that explaining the loss of mandates is complex and requires consideration of several perspectives. We here provide a starting point for other researchers to continue upon.

The Indonesian manufacturing sector faces significant challenges in its attempt to upgrade and remain competitive in both domestic and global markets. Indonesian manufacturing firms are increasingly integrated into global markets via global value chain ties. Yet, little is known about how such involvement impacts upon the ability of Indonesian firms to upgrade. This study aims to understand the nature of upgrading processes within the Indonesian manufacturing sector through a comparison of the Indonesian garment and consumer electronics manufacturing firms. To gain a better understanding of upgrading processes, this study integrates the conceptual frameworks of technological capability (TC) and global value chains (GVC) in its analysis. While the GVC literature provides useful insights into the role played by global value chain leaders in assisting, or constraining, through the ways in which they govern value chain ties, the upgrading processes of local producers, the TC framework gives a valuable understanding of the role of capabilities of local manufacturing firms and their ability to undertake upgrading processes. By combining these two frameworks, this study asks the following question: what roles do governance and technological capability play in upgrading processes within the Indonesian garment and consumer electronics value chains?To address the research question, this study gathered both quantitative and qualitative data through surveys and in-depth interviews of Indonesian garment and consumer electronics firms. Firm level case studies are analysed to obtain detailed insights into the process and dynamics of upgrading, value chain governance and capability acquisition undertaken by Indonesian garment and consumer electronics manufacturing firms. Based on the evidence drawn from the survey and eleven case studies within the Indonesian garment and consumer electronics sectors, this study suggests that forms of value chain governance and types of technological capability both play important roles in upgrading processes. Furthermore, upgrading processes and dynamics take place not only in global value chains but also in domestic value chains. Insertion into domestic value chains may, in fact, promote the ability of some Indonesian garment and consumer electronics manufacturing firms to undertake functional upgrading. By demonstrating that the technological capability of the Indonesian garment and consumer electronics manufacturing firms can play an important role in upgrading especially when firms are engaged in domestic value chains but is less pronounced when firms are engaged through hierarchical ties into global value chains, the study provides a more dynamic perspective then standard studies on upgrading and value chain linkages. In terms of policy, this paves the way for a more active role of local manufacturing firms from developing countries to be recognised as contributing to upgrading processes.

Submitted by Adriana Alves Rodrigues (aalves@espm.br) on 2017-11-21T11:08:37Z No. of bitstreams: 1 Carolina Cristina Pinto Prado Araujo.pdf: 1448807 bytes, checksum: f672714f182b088c6ac0e4fb1ed544da (MD5) / Approved for entry into archive by Adriana Alves Rodrigues (aalves@espm.br) on 2017-11-21T11:09:19Z (GMT) No. of bitstreams: 1 Carolina Cristina Pinto Prado Araujo.pdf: 1448807 bytes, checksum: f672714f182b088c6ac0e4fb1ed544da (MD5) / Approved for entry into archive by Ana Cristina Ropero (ana@espm.br) on 2017-11-22T12:54:22Z (GMT) No. of bitstreams: 1 Carolina Cristina Pinto Prado Araujo.pdf: 1448807 bytes, checksum: f672714f182b088c6ac0e4fb1ed544da (MD5) / Made available in DSpace on 2017-11-22T13:02:04Z (GMT). No. of bitstreams: 1 Carolina Cristina Pinto Prado Araujo.pdf: 1448807 bytes, checksum: f672714f182b088c6ac0e4fb1ed544da (MD5) Previous issue date: 2017-03-31 / Researches has shown that companies in emerging countries often have a lack in basic technological capabilities. The export of football players has played an important role in the export agenda of the country. In addition, there is a need for studies that try to understand the relationship between capabilities and an external variable in emerging countries. This research contributes to overcoming these gaps by advancing knowledge about what technological capabilities are necessary and sufficient for the football club to succeed in exporting, through the application of an innovative method called Qualitative Comparative Analysis (QCA). It is verified that, International Marketing is a necessary condition for success in exporting, as well as, the conjunction of this factor with planning of the development of players or infrastructure or team of professionals, forms three paths that increase the possibility of export success. The research contributes to the theory of technological capabilities by means of the expansion of the domain and by indicating which combinations of factors are necessary and sufficient for the improvement of the export performance. / Pesquisas têm mostrado que às empresas de países emergentes faltam, com frequência, as capacidades tecnológicas básicas. A exportação de jogadores de futebol tem desempenhado importante papel na pauta de exportação do país. Alia-se a isso, a necessidade de estudos que tentem entender a relação das capacidades e uma variável externa, em países emergentes. Esta pesquisa contribui para a superação dessas lacunas pelo avanço do conhecimento sobre quais capacidades tecnológicas são necessárias e suficientes para que o clube de futebol tenha sucesso na exportação, por meio da aplicação de um método inovador chamado Análise Comparativa Qualitativa (QCA). Verifica-se que Marketing Internacional é condição necessária para que haja sucesso na exportação, bem como, a conjunção deste fator com planejamento do desenvolvimento de jogadores ou infraestrutura ou equipe de profissionais formam três caminhos que ampliam a possibilidade do sucesso exportador. A pesquisa contribui para a teoria de capacidades tecnológicas por intermédio da expansão do domínio e por meio da indicação de quais combinações de fatores são necessárias e suficientes para que haja melhora do desempenho exportador.

The building of agro-biotechnology capabilities in small countries: The cases of Costa Rica, New Zealand and Uruguay. Isabel Bortagaray 411 pages Directed by Dr. Susan E. Cozzens This dissertation has studied the role of institutional environments on the building of agro-biotechnological capabilities in small countries, through a comparative case study design. The key question was whether the institutional environments in Costa Rica, New Zealand and Uruguay have evolved in a way that have fostered or hindered the transition towards modern biotechnology at the level of firms and sector. Biotechnology provided a particularly interesting area of study because of the dramatic changes it has undergone since the 1970s and consequently, it facilitated to study the transition from second generation to third generation biotechnology. Innovation studies have trend to focus on pharmaceutical biotechnology. This research however, attempted to understand the dynamics behind biotechnology applied to agriculture, in countries with agricultural-based economies. In this context three small countries were selected: Costa Rica, New Zealand and Uruguay, based on some commonalities in terms of size (population), their reliance on agriculture, and some historical features that inter-connect them. The choice of biotechnology applied to agriculture enabled to study the extent to which the institutional environments have changed and processed change vis a vis fundamental technological development. The institutional environment was defined as composed by institutions (rules of the game), the web of organizations (players of the game), and policies. Technological capabilities were defined as composed by skills, processes and resources. Primary data was collected based on in-depth interviews to research organizations, hybrid research-related organizations, firms, and policy-making agencies in each country. These findings suggest that institutional thickness (number and variety of organizations and institutions), cohesiveness (shared sense of strategic purpose), and coherence between institutions and policies with regard to their goals and means are crucial for strengthening more complex, cumulative, encompassing (different biotechnologies with multiple focuses), and expanding biotechnologies.

This thesis aims to propose a policy-relevant science, technology and innovation indicator for developing countries. I firstly develop a model to examine the determination of innovativeness for a sample of 38 developing countries, based on endogenous growth theory and innovation systems literature. From econometric estimation, I find that R&D inputs, technology imports, and international connectedness are influential determinants of innovativeness in these countries. From this finding, I develop the Predicted Innovativeness Index for Developing Countries (INNÔDEX), a composite indicator that ranks countries according to their innovative capabilities.

Posto o contexto de competitividade no mercado global, é fato que nações e organizações buscam formas de inovar para permanecerem sustentáveis. Entretanto, para efetivar os anseios de serem competitivas e inovadoras, há uma necessidade de manter estratégias e uma estrutura de rotinas que as possibilite gerir e gerar as inovações, de forma a transformar suas capacidades tecnológicas em algo efetivo. O objetivo deste trabalho é a identificação de uma estrutura de um sistema de gestão de inovação adequada para atender o posicionamento estratégico de inovação. Utilizando o caso de uma empresa do setor do vestuário, elaborou-se um modelo para análise de capacidade tecnológica, focando tópicos relacionados à estratégia. Os dados foram coletados por entrevistas em profundidade com o corpo diretivo e por questionários de pesquisa respondidos por 50 líderes da empresa. Os resultados obtidos convergiram na estruturação de um sistema de gestão da inovação que contemple: a) estratégia de inovação; b) capacidade tecnológica que sustente funções de alinhamento e funções da organização – produtos/serviços, gestão de projetos, processo/tecnologia e infra-estrutura e c) sistema de gestão da inovação que tenha relações com alinhamento às estratégias de inovação de produtos e processo, estrutura adequada para inovar oriunda de gestão de projetos eficaz, desenvolvimento de produtos que identifiquem a empresa no mercado como inovadora e por fim, foco em seus mercados de atuação. / The competitive environment of global markets leads nations and organisations to engage in a continuous search for innovation, in order to maintain sustainability. However, to effectively become innovative, firms need to sustain a formal structure of strategies and routines that enable them to generate and manage innovation, enhancing their technological capabilities. This study aims to identify an innovation management system structure that better fits to the strategic positioning of a specific firm. The firm in which the case study is developed belongs to the clothing sector. Data were collected through in-depth interviews with the firm’s directive body and application of research questionnaires along with 50 respondents. Results allowed the development of an innovation management system considering three aspects, namely: a) innovation strategy; b) technological capabilities to sustain organisational functions – products/services, project management, process/technology, and infrastructure; and c) structure and alignment, in order to allow efficient project management, development of innovative products and market orientation.

Posto o contexto de competitividade no mercado global, é fato que nações e organizações buscam formas de inovar para permanecerem sustentáveis. Entretanto, para efetivar os anseios de serem competitivas e inovadoras, há uma necessidade de manter estratégias e uma estrutura de rotinas que as possibilite gerir e gerar as inovações, de forma a transformar suas capacidades tecnológicas em algo efetivo. O objetivo deste trabalho é a identificação de uma estrutura de um sistema de gestão de inovação adequada para atender o posicionamento estratégico de inovação. Utilizando o caso de uma empresa do setor do vestuário, elaborou-se um modelo para análise de capacidade tecnológica, focando tópicos relacionados à estratégia. Os dados foram coletados por entrevistas em profundidade com o corpo diretivo e por questionários de pesquisa respondidos por 50 líderes da empresa. Os resultados obtidos convergiram na estruturação de um sistema de gestão da inovação que contemple: a) estratégia de inovação; b) capacidade tecnológica que sustente funções de alinhamento e funções da organização – produtos/serviços, gestão de projetos, processo/tecnologia e infra-estrutura e c) sistema de gestão da inovação que tenha relações com alinhamento às estratégias de inovação de produtos e processo, estrutura adequada para inovar oriunda de gestão de projetos eficaz, desenvolvimento de produtos que identifiquem a empresa no mercado como inovadora e por fim, foco em seus mercados de atuação. / The competitive environment of global markets leads nations and organisations to engage in a continuous search for innovation, in order to maintain sustainability. However, to effectively become innovative, firms need to sustain a formal structure of strategies and routines that enable them to generate and manage innovation, enhancing their technological capabilities. This study aims to identify an innovation management system structure that better fits to the strategic positioning of a specific firm. The firm in which the case study is developed belongs to the clothing sector. Data were collected through in-depth interviews with the firm’s directive body and application of research questionnaires along with 50 respondents. Results allowed the development of an innovation management system considering three aspects, namely: a) innovation strategy; b) technological capabilities to sustain organisational functions – products/services, project management, process/technology, and infrastructure; and c) structure and alignment, in order to allow efficient project management, development of innovative products and market orientation.

Posto o contexto de competitividade no mercado global, é fato que nações e organizações buscam formas de inovar para permanecerem sustentáveis. Entretanto, para efetivar os anseios de serem competitivas e inovadoras, há uma necessidade de manter estratégias e uma estrutura de rotinas que as possibilite gerir e gerar as inovações, de forma a transformar suas capacidades tecnológicas em algo efetivo. O objetivo deste trabalho é a identificação de uma estrutura de um sistema de gestão de inovação adequada para atender o posicionamento estratégico de inovação. Utilizando o caso de uma empresa do setor do vestuário, elaborou-se um modelo para análise de capacidade tecnológica, focando tópicos relacionados à estratégia. Os dados foram coletados por entrevistas em profundidade com o corpo diretivo e por questionários de pesquisa respondidos por 50 líderes da empresa. Os resultados obtidos convergiram na estruturação de um sistema de gestão da inovação que contemple: a) estratégia de inovação; b) capacidade tecnológica que sustente funções de alinhamento e funções da organização – produtos/serviços, gestão de projetos, processo/tecnologia e infra-estrutura e c) sistema de gestão da inovação que tenha relações com alinhamento às estratégias de inovação de produtos e processo, estrutura adequada para inovar oriunda de gestão de projetos eficaz, desenvolvimento de produtos que identifiquem a empresa no mercado como inovadora e por fim, foco em seus mercados de atuação. / The competitive environment of global markets leads nations and organisations to engage in a continuous search for innovation, in order to maintain sustainability. However, to effectively become innovative, firms need to sustain a formal structure of strategies and routines that enable them to generate and manage innovation, enhancing their technological capabilities. This study aims to identify an innovation management system structure that better fits to the strategic positioning of a specific firm. The firm in which the case study is developed belongs to the clothing sector. Data were collected through in-depth interviews with the firm’s directive body and application of research questionnaires along with 50 respondents. Results allowed the development of an innovation management system considering three aspects, namely: a) innovation strategy; b) technological capabilities to sustain organisational functions – products/services, project management, process/technology, and infrastructure; and c) structure and alignment, in order to allow efficient project management, development of innovative products and market orientation.

No / This paper examines the linkage effects of foreign direct investment (FDI) on firm-level productivity in Chinese manufacturing. It is found that FDI generates positive vertical linkage effects in Chinese manufacturing at both the national and regional levels, and limited positive horizontal spillovers at the regional level. While OECD firms gain from both vertical and (probably) horizontal linkages, Hong Kong, Macao and Taiwanese firms benefit only from backward linkage effects. In the domestic sector, in which we are most interested, both state-owned enterprises (SOEs) and non-SOEs are hurt by competition from foreign firms in the same industries. While SOEs gain from vertical linkages with foreign firms, non-SOEs are unable to do so. The patterns of productivity spillovers from FDI in Chinese manufacturing seem to be determined by one key factor ¿ the technological capabilities of the firms involved. Important data limitations and policy implications of this research are discussed.

Made available in DSpace on 2016-10-13T14:09:55Z (GMT). No. of bitstreams: 1 Maite Alves Bezerra.pdf: 3089595 bytes, checksum: 4b732db01b39da0972cda3bb94b15ec7 (MD5) Previous issue date: 2014-03-27 / It is widely recognized that multinational enterprises' capabilities derive from its ability to acquire knowledge from different sources. However, with the recent emersion of emerging-market multinational enterprises (EMNE) scholars start asking how EMNEs capacities are built. As traditional MNEs, EMNEs seek knowledge in foreign markets. Although EMNEs tend to engage in technological asset-seeking, once they origin country lacks technological knowledge. Using the institutional and network approaches, I argue that the local institutional environment and the embeddedness in local networks jointly affect the reverse transfer of technological capabilities in EMNEs, specifically in Brazilian EMNEs. The sample is composed by a survey applied to 78 foreign Brazilian EMNEs subsidiaries and the data was analyzed through structural modeling equation, using the partial least square (PLS) approach. The results confirm that subsidiaries located in well-developed environments and highly embedded in local suppliers network are more likely to transfer technological product capabilities in to headquarter. Subsidiaries highly embedded in supplier and clients' local networks are more likely to transfer technological process capabilities to headquarter. However, the latter was only significant to subsidiaries established through acquisition. Another interesting finding is that Brazilian EMNEs subsidiaries seem to present low-performance in exploring local knowledge sources and that there is apparent evidence that Brazilian EMNEs engage more in market-seeking than knowledge-seeking FDI. Nevertheless, these evidences need to be better explored in future researches. With this research I hope to contribute to the extension of existing IB theory with a better understanding about reverse transfer of technological capabilities in EMNEs. / É amplamente reconhecido que as capacidades das empresas multinacionais derivam de sua habilidade de adquirir conhecimento de fontes distintas. Entretanto, a recente emersão das empresas multinacionais emergentes (EMNEs) fez surgir questionamentos acerca de como as capacidades que as levam a competir internacionalmente são constituídas. Assim como as MNEs tradicionais, as EMNEs buscam conhecimento em mercados estrangeiros. Porém estes conhecimentos tendem a ser de cunho tecnológico, já que possuem carência tecnológica em seu país de origem. Por meio das lentes teóricas das redes em negócios internacionais e da teoria de sistemas de inovação, é proposto que o desenvolvimento do ambiente institucional em conjunto com a imersão nas redes locais impactam o processo de transferência reversa de capacidades tecnológicas em EMNEs, especificamente brasileiras. A amostra do estudo é composta por 78 subsidiárias de EMNEs brasileiras instaladas no exterior. Os dados foram analisados por meio da modelagem de equação estrutural pelo método dos mínimos quadrados parciais (PLS). Os dados mostraram que a transferência reversa de capacidades tecnológicas em produto é mais propícia em subsidiárias localizadas em mercados avançados e altamente imersas na rede local de fornecedores. A transferência reversa de capacidades tecnológicas em processo é mais propícia a subsidiárias altamente imersas na rede local de fornecedores e de clientes, contudo a segunda se mostrou significante apenas a unidades estabelecidas por meio de aquisições. Os achados mostraram também que as subsidiárias tendem a ser mais imersas na rede local de clientes em ambientes desenvolvidos, ao passo que o ambiente não mostrou influência na imersão na rede de fornecedores. Outros achados de destaque foram o aparente baixo aproveitamento das fontes de conhecimento disponíveis às subsidiárias e a aparente tendência das EMNEs brasileiras de se internacionalizarem mais em busca de mercados do que em busca de tecnologia. No entanto esses achados necessitam de futuras análises. Espera-se com este estudo contribuir para a extensão da literatura de negócios internacionais existentes e para um melhor entendimento acerca da transferência reversa de capacidades tecnológicas em EMNEs.