The master thesis is dedicated to the use of innovation management in small and medium-sized enterprises. The theoretical part contains explanation of terms related to the innovation management, inventions, innovations, classification of innovations, measurement and effectivity of innovations. According to the opinions of many authors, the company that does not innovate is doomed to fail. That is why the often-used motto of companies is "Innovate or die". The chosen company which does not want to be named is described in the practical part. The enterprise is an important printing company with more than 20 years-long history. The aim of the master thesis is to describe and evaluated the realized innovation of the company. The output of the thesis contains plan of the processing map of the innovation, evaluation of the innovation by innovation index KLII and creation of the innovation benefits pyramid. The results of the thesis may contribute to lower costs of realization of future innovations, strengthening of the vision of the company and an increase of competitiveness.

Submitted by Lucas Schneider (lucas.z.schneider@gmail.com) on 2018-03-26T19:48:56Z No. of bitstreams: 1 Dissertacao v260318 rev Brito - Lucas Zucco Schneider.pdf: 947797 bytes, checksum: e86a9c37b0d4a210d93450bd1193b558 (MD5) / Approved for entry into archive by Mayara Costa de Sousa (mayara.sousa@fgv.br) on 2018-03-28T18:10:54Z (GMT) No. of bitstreams: 1 Dissertacao v260318 rev Brito - Lucas Zucco Schneider.pdf: 947797 bytes, checksum: e86a9c37b0d4a210d93450bd1193b558 (MD5) / Approved for entry into archive by Isabele Garcia (isabele.garcia@fgv.br) on 2018-03-28T18:47:33Z (GMT) No. of bitstreams: 1 Dissertacao v260318 rev Brito - Lucas Zucco Schneider.pdf: 947797 bytes, checksum: e86a9c37b0d4a210d93450bd1193b558 (MD5) / Made available in DSpace on 2018-03-28T18:47:33Z (GMT). No. of bitstreams: 1 Dissertacao v260318 rev Brito - Lucas Zucco Schneider.pdf: 947797 bytes, checksum: e86a9c37b0d4a210d93450bd1193b558 (MD5) Previous issue date: 2018-02-27 / A inovação tem sido amplamente reconhecida como um dos principais fatores que criam vantagem competitiva para as empresas. Contudo, embora as empresas continuem a estimular a adoção de práticas inovadoras em sua gestão, evidencias empíricas entre investimentos em inovação e consequentes resultados financeiros superiores ainda permanecem inconclusivos. O presente estudo visa, a partir de uso de abordagem multinível, avaliar a relação entre investimentos em inovação e o aumento de relevância de novos produtos no faturamento das empresas, e, seu consequente impacto no desempenho financeiro. Os resultados obtidos indicam que investimentos em inovação levam as empresas a terem maior participação de novos produtos em sua receita total. Entretanto, não foi encontrado relação significante entre a maior participação de produtos inovadores com crescimento e lucratividade dessas empresas. Limitações e implicações dessa pesquisa também são discutidos nesse trabalho. / Innovation has been recognized as one of the main factors behind competitive advantage over firms. Nonetheless, although innovation practices have been stimulated among several companies, the link between investments in innovation and financial performance of the firms is still a complex subject where the results remain inconclusive. This study evaluates this relationship by using a multilevel model between innovation, innovation performance and financial performance. Results obtained indicate that investments in innovation leads to a positive and significance increase of innovation performance of the firms, which could be measure by the increased participation on new products’ revenue over total revenue. However, the study could not assert the impact of innovation performance on the financial performance of the firms, measured in this work by growth and profitability. Limitations and implications of these findings are also discussed in this work.

Made available in DSpace on 2016-06-02T19:50:17Z (GMT). No. of bitstreams: 1 TeseDLR.pdf: 799587 bytes, checksum: c972cee64925cc76e31ad023ed3e4131 (MD5) Previous issue date: 2004-12-10 / Universidade Federal de Minas Gerais / The goal of this thesis is to identify innovation performances and technology strategies (TSs) adopted by medical equipment firms (those that are technology-based firms (TBFs) or not), located in São Carlos and Ribeirão Preto. Two hypotheses were delineated: (1) the medical equipment firms located in São Carlos and Ribeirão Preto that reached higher innovation performances in the last three years, differ from the ones that reached lower innovation performances in the dimensions of their technology strategies; and (2) the medical equipment technology-based firms located in São Carlos and Ribeirão Preto differ from the ones which are not considered as technology-based firms in the dimensions of their technology strategies. In order to analyze those hypotheses, data about TBF status, TS, and innovation performance were collected from thirty nine medical equipment producers located in São Carlos and Ribeirão Preto. An structured questionnaire was utilized for this purpose. The analysis of this information shows that the technology strategies adopted by the medical equipment firms that reached higher innovation performances are different in many aspects from the ones adopted by those that reached lower innovation performances. There are also differences between the TSs adopted by the medical equipment technology-based firms and the TSs adopted by those which are not considered as technology-based firms. Regarding the firms which reached higher and lower innovation, some indications were obtained that larger investments in internal activities of research and development and in external sources of technology, larger dedication to technology forecasting, and development of a wide portfolio of product and process technologies have allowed the firms to reach larger innovation performances. Regarding TBFs and Not-TBFs, it was observed that the TBFs have worked for the enlargement of their innovation and acquisition capacities of product technologies. Examples of their efforts: (1) large investments in internal R&D activities destined to innovations in product; (2) the number of engineers and scientists allocated to these activities; (3) the amount of key product technologies that those firms have; and (4) their large dedication to technology forecasting, etc. On the other hand, there were indications that N-TBFs (when they carry out some technological effort) dedicate themselves to the enlargement of their operation and adaptation capacities to operate their facilities more efficiently. / Este trabalho tem como objetivo principal verificar quais são as estratégias tecnológicas (ET) adotadas pelas empresas, empresas de base tecnológica (EBTs) ou não, do setor de equipamentos médico-hospitalares de São Carlos e Ribeirão Preto e seus desempenhos inovadores. Foram delineadas duas hipóteses: (1) As empresas do setor de equipamentos médico-hospitalares localizadas em São Carlos e em Ribeirão Preto que alcançaram maiores desempenhos inovadores, nos últimos três anos, diferem das que alcançaram desempenhos mais baixos em suas dimensões de estratégia tecnológica; e (2) As empresas do setor de equipamentos médico-hospitalares localizadas em São Carlos e em Ribeirão Preto consideradas como sendo de base tecnológica diferem das não consideradas como de base tecnológica em suas dimensões de estratégia tecnológica. Para analisar tais hipóteses, foi realizado um survey junto a trinta e nove empresas do setor de equipamentos médico-hospitalares localizadas em São Carlos e Ribeirão Preto. Para conduzir o survey foi aplicado um questionário estruturado nessas empresas. Os dados coletados foram todos tabulados e analisados estatisticamente. Os resultados mostram que as estratégias tecnológicas adotadas pelas empresas dos grupos daquelas de maior e menor desempenho inovador são diferentes em muitos aspectos; Também há diferenças entre as estratégias tecnológicas das EBTs e das N-EBTs (não- EBTs). Em relação às empresas de maior e menor desempenho inovador, basicamente obteve-se indícios de que maiores investimentos em atividades internas de pesquisa e desenvolvimento e em fontes externas de tecnologia, maior dedicação à previsão tecnológica e o desenvolvimento de um amplo portfolio de tecnologias de produto e de processo permitem às empresas alcançarem maiores desempenhos inovadores. Já em relação às EBTs e N-EBTs, observou-se claramente um esforço por parte das EBTs em ampliar suas capacidades de inovação e aquisição de tecnologias de produto. Como exemplos, esse esforço se concretiza por meio das altas parcelas de seus investimentos em atividades de P&D destinadas a inovações em produto, do número de engenheiros e cientistas alocados a essas atividades, da alta quantidade de tecnologias chaves de produto que essas empresas detêm, da intensidade com que realizam a previsão tecnológica, etc. Por outro lado, foram obtidos indícios de que as N-EBTs, quando realizam algum esforço tecnológico, voltam-se, principalmente, para a ampliação das suas capacidades de operação e adaptação, tendo por objetivo operar suas instalações produtivas mais eficientemente.

A gestão de riscos corporativos (ERM) tem assumido um importante papel no campo da administração de empresas, sendo apontada como fundamental no sentido de potencializar a probabilidade de realização dos objetivos estratégicos. Concomitantemente, a inovação tem se tornado um imperativo para o alcance de vantagens competitivas em um ambiente cada vez mais dinâmico e inter-relacionado. No entanto, ao mesmo tempo em que as empresas devem inovar para se manterem perenes, o resultado em inovação pode ser influenciado pelos diversos fatores de riscos presentes no ambiente de negócios. Neste sentido, o estudo tem como objetivo verificar qual a influência das práticas de gestão de riscos corporativos no desempenho em inovação, tendo como foco empresas brasileiras de grande porte. A pesquisa, de cunho descritivo, possui caráter quantitativo e foi desenvolvida a partir da aplicação da técnica de Modelagem de Equações Estruturais, baseada no método de mínimos quadrados parciais (PLS). Os resultados apontam para uma relação positiva e significativa entre as práticas de ERM e o desempenho em inovação das empresas, sendo o ambiente interno propício e o apetite a risco das organizações variáveis relevantes para esta relação. / The Enterprise Risk Management (ERM) has gained importance in the context of business administration, as a fundamental process in order to maximize the probability of achieving the strategic objectives. Concomitantly, innovation has become an imperative for achieving competitive advantage, in view of an increasingly dynamic and interrelated environment. However, while companies must innovate to survive, innovation can also be influenced by risks present in the business environment. Considering this frame, this study aims to understand the influence of enterprise risk management\'s practices on innovation performance, focusing on Brazilian large companies. The quantitative research, which presents descriptive nature, was developed using structural equation modeling technique, based on the method of partial least squares (PLS). The results point to a positive and significant relationship between ERM practices and innovative performance. In addition, the variables internal environment and risk appetite are relevant and statistically significant for this association.

Submitted by Renata Lopes (renatasil82@gmail.com) on 2018-08-06T11:16:46Z No. of bitstreams: 1 claricebreviglieriporto.pdf: 6344933 bytes, checksum: da5f358d5bfa14a39f003088a9bedc33 (MD5) / Approved for entry into archive by Adriana Oliveira (adriana.oliveira@ufjf.edu.br) on 2018-08-06T11:17:49Z (GMT) No. of bitstreams: 1 claricebreviglieriporto.pdf: 6344933 bytes, checksum: da5f358d5bfa14a39f003088a9bedc33 (MD5) / Made available in DSpace on 2018-08-06T11:17:49Z (GMT). No. of bitstreams: 1 claricebreviglieriporto.pdf: 6344933 bytes, checksum: da5f358d5bfa14a39f003088a9bedc33 (MD5) Previous issue date: 2016-12-13 / PROQUALI (UFJF) / As incertezas no mercado atual provenientes das turbulências ambientais e das relações altamente complexas e globalizadas levam as empresas multinacionais a estabelecerem múltiplas alianças para sustentar sua vantagem competitiva. Essas múltiplas alianças se constituem em redes ou portfólios de alianças. Simultaneamente, surge como imperativo a capacidade de inovar para assegurar um melhor diferencial competitivo, levando as empresas a adotar estratégias orientadas à inovação. A indústria automobilística mundial é caracterizada por grandes avanços tecnológicos e representa muito bem as novas formas de relacionamento e operação entre empresas respondentes de uma mesma rede de relacionamentos, inclusive alianças. A gestão da cadeia de fornecedores por meio desses novos arranjos organizacionais é representativa de inovações no setor onde as empresas buscam maior competitividade. As montadoras, empresas multinacionais, dependem do conhecimento dos seus parceiros para desenvolver e entregar produtos inovadores aos consumidores, sendo necessário então, compartilhar informações, recursos, produtos e serviços em todo o portfólio/redes de alianças. Para que esse fluxo ocorra da melhor forma é necessário que a empresa desenvolva a estrutura de governança e a capacidade de aprendizagem. As multinacionais da indústria automobilística são empresas globais, que atuam em diferentes países e estão sujeitas a diferentes pressões institucionais. Para manter sua vantagem competitiva, as empresas precisam compreender e seguir as normas locais, identificando os mecanismos institucionais. Por ser um setor constituído por portfólios de alianças a indústria automobilística possui uma forte cadeia econômica que tem impacto sobre o sistema econômico e social do país, tornando-se responsável por um grande número de empregos, arrecadação tributária e aquecimento do mercado de crédito. A partir desse cenário o objetivo final da pesquisa desenvolvida é: Propor um arcabouço analítico que possa auxiliar os executivos de empresas multinacionais em países emergentes, do setor automobilístico, orientadas estrategicamente à inovação, na análise e no gerenciamento dos seus portfólios de alianças com vistas a contribuir para o desempenho em inovação, considerando suas especificidades institucionais. Para atingir o objetivo foi realizada uma revisão da literatura abrangendo as principais teorias relacionadas ao tema: a teoria das redes, a institucional e a dos portfólios de aliança procurando verificar o impacto dessas no desempenho em inovação das empresas multinacionais. O arcabouço proposto é uma variação do modelo SNA – IF de Macedo-Soares (2015) onde foram acrescentados indicadores relativos ao contexto institucional e específicos ao caso de empresas multinacionais do setor automobilístico em países emergentes. O método adotado foi do estudo de caso múltiplo, envolvendo duas montadoras multinacionais instaladas no Brasil. Para a escolha das montadoras foi feita uma análise dos grupos estratégicos, utilizando a análise de fator, onde se identificou três grupos distintos. Para o estudo de caso foi escolhido uma empresa de cada um dos dois grupos mais relevantes. Utilizando-se de múltiplas fontes de evidências, como a análise documental e a análise dos questionários estruturados, se consolidou o arcabouço SNA – IF_Institution Version. Os resultados da pesquisa empírica comprovaram a adequação da aplicação do arcabouço SNA – IF_Institution Version no sentido de prover elementos que possam auxiliar os executivos das empresas do setor automobilísticos na análise e no gerenciamento dos seus portfólios de alianças com vistas a contribuir para o desempenho em inovação, face suas especificidades institucionais. / The uncertainties in the current market stemming from environmental turbulences and highly globalized and complex relations make multinational companies establish multiple alliances to support their competitive advantage. These multiple alliances are made up of networks or alliances. Simultaneously, the capacity to innovate becomes imperative, so as to assure a competitive differential, enabling companies to adopt innovation-oriented strategies. The world auto industry is characterized by great technological advances and successfully represents the new ways of relationship and operation between companies taking part in the same relationship network, including alliances. The management of the supply chain through these new organizational arrangements is representative of innovations in the sector where companies seek more competitiveness. The car companies, which are multinationals, depend on the expertise of their partners to develop and deliver innovative products to consumers, thus rendering it necessary to share information, resources, products and services in the entire portfolio/alliance network. In order for this flow to happen in the best way possible, it is necessary that the company develop the structure for governance and the capacity to learn. Multinationals of the auto industry are global companies, which are present in several different countries and are subject to different institutional pressures. So as to keep their competitive advantage, companies must comprehend and follow the local norms, identifying institutional mechanisms. Since it is a sector made up of alliance portfolios, the industry has a strong economic chain that has impact on the social and economic systems of the country, becoming responsible for a large number of jobs, tax collection and the strengthening of the credit market.From this scenario, the final objective of the research developed is: To propose an analytical framework which can help executives from multinational companies in emerging countries, from the auto sector, strategically guided to innovation, to analyse and to manage their alliance portfolios aiming to contribute for the performance in innovation, considering their institutional specificities. To reach such goal, a literary review encompassing the main theories related to the theme was conducted: The theories of networks, the institutional and that of alliance portfolios aiming to verify their impact on the innovation performance of multinational companies.The proposed framework is a variation of the SNA-IF model from Macedo-Soares (2015) to which we added indicators related with the institutional context and specific to the case of multinational companies from the auto industry in emerging countries. The adopted method was the multiple case study, involving two international car companies with factories in Brazil. To choose them, an analysis of the strategic groups was carried out, using the factor analysis, in which three groups were identified. For the case study, one company from each of the two more relevant groups was chosen. Using multiple sources of evidence, such as documental analysis and an examination of structured questionnaires, the SNA-IF_Institution Version framework was consolidated. The results from the empirical research prove the adequacy of applying the SNA-IF_Institution Version framework in order to provide elements that can help executives from the auto industry to analyze and manage their portfolios of alliances so as to contribute to the innovation performance, in face of their institutional specificities.

Introduktion: Studien behandlar små och medelstora företag (SMFs) inom fordonsindustrin. Kontexten berörs med hänsyn till att forskningsfronten saknar empiriska exempel avseende relationen mellan olika inbound open innovation aktiviteter och företagens innovationsprestation. Fenomenet inbound open innovation innebär att företag genom olika samverkansaktiviteter utnyttjar externa flöden av kunskap och teknologi, för att främja framkomsten av nya produkter och processer. Följaktligen utreder studien relationen mellan företagens innovationsprestation och aktiviteterna; (1) teknologisk rekognosering, (2) vertikal teknologisk kollaboration, (3) horisontell teknologisk kollaboration, (4) teknologisk anskaffning.   Syfte: Syftet med studien är att undersöka relationen mellan fyra former av inbound open innovation aktiviteter och innovationsprestation i små och medelstora företag, inom fordonsindustrin. Insikterna från studien ämnar stärka de små och medelstora företagens konkurrenskraft på en globaliserad marknad. Studien ämnar även främja helhetsbilden av vilken effekt olika inbound open innovation aktiviteter har i praktiken.     Teori: Studien baseras på tidigare forskning och teorier avseende inbound open innovation i små och medelstora företag (SMFs).      Metod: Studien bedrivs via en kvantitativ metodansats. Ett själv-administrerat frågeformulär har distribuerats ut via mail till 370 stycken VD:s. Insamlad data har bearbetats i SPSS genom flertalet statistiska tester, vilket utmynnade i att studiens fyra hypoteser testades och utreddes.   Slutsats: Studiens resultat påvisar att SMFs inom fordonsindustrin kan förbättra sin innovationsprestation genom att bedriva aktiviteterna teknologisk rekognosering, vertikal teknologisk kollaboration samt horisontell teknologisk kollaboration. Aktiviteten teknologisk anskaffning befanns inte ha någon signifikant inverkan på innovationsprestationen. Studiens insikter kan stärka de små och medelstora företagens konkurrenskraft på en globaliserad marknad. Insikterna främjar även helhetsbilden avseende vilken effekt olika inbound open innovation aktiviteter har i praktiken. / Introduction: The study concerns small and medium-sized enterprises (SMEs) in the automotive industry. The context is touched because the research front lacks empirical examples of the relationship between different inbound open innovation activities and innovation performance. The phenomenon of inbound open innovation means that companies, through different collaborative activities, exploit external flows of knowledge and technology to promote the emergence of new products and processes. Consequently the study investigates the relationship between innovation performance and the activities; (1) technological scouting, (2) vertical technological collaboration, (3) horizontal technological collaboration, (4) technological acquisition.   Purpose: The aim of the study is to investigate the relationship between four forms of inbound open innovation activities and innovation performance in small and medium-sized enterprises, in the automotive industry. The insights from the study aims to strengthen the competitiveness of SMEs in a globalized market. The study also aims to promote the overall picture of the impact of different inbound open innovation activities in practice.   Theory: The study is based on previous research and theories regarding inbound open innovation in small and medium-sized enterprises (SMEs).   Method: The study is conducted through a quantitative methodology. A self-administered questionnaire has been distributed by mail to 370 CEOs. The collected data has been processed in SPSS through different statistical tests, which resulted in the study's four hypotheses being tested and investigated.   Conclusion: The studies result shows that SMEs in the automotive industry can improve their innovation performance by conducting the activities of technological scouting, vertical technological collaboration and horizontal technological collaboration. Technological acquisition was found to have no significant impact on innovation performance. The findings can promote the competitiveness of SMEs in a globalized market. The insights also promote the overall picture of the impact of different inbound open innovation activities in practice.

This study develops an original theoretical model of critical managerially controllable factors that have high potential for achieving significant improvements in the (intermediate and ultimate) outcome(s) of product innovation efforts. To this end, the author draws on the relevant empirical literature and integrates four complementary theoretical perspectives, namely; the critical success factors (CSFs) approach, the resource-based view (RBV), the input-process-output (IPO) model, and the system(s) approach. The model (hereafter CFEMOs) aims to explicate the simultaneous direct and indirect/mediated interrelationships among the product innovation’s critical firm-based enablers (new-product fit-to-firm’s skills and resources, internal cross-functional integration, and top-management support), process execution proficiency, and performance outcomes (operation-level performance, product-level performance, and firm-level performance). Additionally, it aims to predict the variations of the process execution proficiency and the performance outcomes. The CFEMOs model was empirically tested using an online survey that was completed by 386 U.S. restaurants owners/senior executives on their recently innovated new menu-items. By utilising a partial least squares structural equation modelling, the statistical analysis substantiated that, compared to the models of the extant relevant empirical studies, the CFEMOs model has a broader scope and a superior predictive power. It simultaneously explains 72% of the process execution proficiency, 67% of the new menu-item superiority (quality, speed-to-market, and cost-efficiency), 76% of new menu-item performance (customer satisfaction, sales, and profits), and 75% of the new menu-item contribution to the overall restaurant performance (sales, profits, and market share). Furthermore, this study established that those restaurateurs who concurrently succeed in enhancing their internal cross-functional integration, top-management support, and new-product fit-to-firm’s skills and resources, descendingly ranked, would achieve high process execution proficiency, which subsequently would grant them superior operation-level performance, product-level performance, and firm-level performance. This thesis concludes by providing several key original contributions and crucial implications to product innovation research and practice, as well as offering several promising avenues for future research.

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

[pt] Países do mundo todo têm envidado esforços para alcançar um crescimento econômico sustentável para enfrentar um ambiente de negócios cada vez mais globalizado, complexo e incerto. Nesse contexto a inovação é considerada como uma das principais soluções e caminhos. O Brasil, no que concerne à sua capacidade de inovação, está muito abaixo das grandes potências inovativas do mundo. Apesar dessa realidade, o setor de agricultura tem demonstrado crescimento considerável na sua capacidade de inovação e produção de conhecimento de fronteira. No entanto, mesmo dentro desse setor, a busca por resultados mais inovativos tem sido uma preocupação constante das empresas. Nesse sentido, a prática da inovação aberta como processo catalisador da inovação, tem se mostrado uma necessidade. Assim, o estudo de caso múltiplo, realizado em três unidades descentralizadas, da Empresa Brasileira de Pesquisa Agropecuária - Embrapa, empresa importante do setor agropecuário, permitiu analisar e avaliar como os recursos internos e as alianças estabelecidas por essas Unidades, interagem e afetam seus desempenhos de inovação, de modo que consigam aumentar suas contribuições para a capacidade de inovação do Brasil. O estudo constatou que, embora as Unidades pratiquem a inovação aberta, a interação entre suas fontes de conhecimento internas e externas propiciam um aumento de suas capacidades e desempenhos de inovação, ainda que tais interações propiciem apenas uma paridade competitiva às Unidades e desempenhos inovativos na média, os resultados confirmam a importância da interação entre os dois embientes internos e externos. / [en] Countries around the world have made efforts to achieve sustainable economic growth in order to face an increasingly globalized, complex and uncertain business environment. In this context, innovation is considered as one of the main solutions and paths. Brazil, in terms of its capacity for innovation, is far below the great innovative powers in the world. Despite this reality, the agriculture sector has shown considerable growth in its capacity for innovation and the production of frontier knowledge. However, even within this sector, the search for more innovative results has been a constant concern of companies. In this sense, the practice of open innovation as a catalyst for innovation has been shown to be a necessity. Thus, the multiple case study, carried out in three decentralized units, of the Brazilian Agricultural Research Corporation - Embrapa, an important company in the agricultural sector, allowed to analyze and evaluate how the internal resources and the alliances established by these Units, interact and affect their performance innovation, so that they can increase their contributions to Brazil s innovation capacity. The study found that, although the Units practice open innovation, the interaction between their internal and external knowledge sources provides an increase in their innovation capacities and performances, even though such interactions provide only a competitive parity to the Units and innovative performances on average, the results confirm the importance of the interaction between the two internal and external environments.

Researchers, policy makers and practitioners alike have in recent years acknowledged a growing tendency towards opening up the innovation process by combining internal organizational assets with external actors’ resources. However, opening up the innovation process usually also entails revealing ideas, which may result in misappropriation. The purpose of this thesis is to investigate tensions related to the openness-appropriability relationship; this is done in three studies. The first study concerns a specific contextual factor that is likely to stress the openness-appropriability tensions: the location of external partners in innovation. The second study relates to the way managing openness-appropriability tensions affects performance, and the third study involves a theoretical discussion about the nature of the tensions occurring in the openness-appropriability relationship, i.e. paradoxical, dilemmatic, or dialectical. The first two studies apply quantitative methods, using survey data, while the third is a conceptual paper. The findings from the first study indicate that the use of different groups of appropriability mechanisms varies across various types of openness and that the location of external partners in innovation refines these linkages even more. The second study’s main takeaway is that the higher appropriability intensity, i.e. the extent to which appropriability mechanisms are put into practice, explains higher performance outcomes. The third study suggests that the tensions between openness and appropriability are more likely of paradoxical nature. From a theoretical perspective, findings indicate that paradoxical tensions between openness and appropriability may have a spatial dimension, and that these tensions should also be investigated in regards to performance. Managerial implications point out that opening up to innovation partners located abroad is likely to require more costly appropriability mechanisms. / <p>QC 20170126</p>