Submitted by Leonardo Oliveira (leonardo.augusto@fgvmail.br) on 2017-10-23T13:25:10Z No. of bitstreams: 1 DISSERTATION_LEONARDO_OLIVEIRA_V_FINAL.pdf: 1596350 bytes, checksum: 3181fe8e348909e630b20e2ed8ff7e9e (MD5) / Approved for entry into archive by ÁUREA CORRÊA DA FONSECA CORRÊA DA FONSECA (aurea.fonseca@fgv.br) on 2017-10-24T19:44:30Z (GMT) No. of bitstreams: 1 DISSERTATION_LEONARDO_OLIVEIRA_V_FINAL.pdf: 1596350 bytes, checksum: 3181fe8e348909e630b20e2ed8ff7e9e (MD5) / Made available in DSpace on 2017-11-10T18:24:39Z (GMT). No. of bitstreams: 1 DISSERTATION_LEONARDO_OLIVEIRA_V_FINAL.pdf: 1596350 bytes, checksum: 3181fe8e348909e630b20e2ed8ff7e9e (MD5) Previous issue date: 2017-08-17 / Our research draws on the Institutional Entrepreneurship Capability (DiMaggio, 1988) intending to uncover the sources of institutional entrepreneurship capabilities and if these capabilities developed at home can be used by overseas subsidiaries to deal with local institutions. Scholars have focused on describing Institutional Entrepreneurship, not analyzing it, assuming agency exists; they have failed to explain how actors overcome the institutional environment in which they are embedded to be able to alter it (Mutch, 2007). So far, we have not been able to find any research that has specifically defined and put together the organization´s characteristics providing the ability to influence and change institutions. This paper contributes to the Institutional Entrepreneurship literature by filling this gap. We first identify which specific resources are providing companies with institutional entrepreneurship capability, providing us with a framework for measuring the ability to influence and change institutions. We identify four dimensions of institutional entrepreneurship capability: Political Power; Technological Power; Social Power; and Financial Power. We further developed Hypotheses about which of these sources of institutional entrepreneurship capabilities can be transferred from headquarters to overseas subsidiaries, thus, contributing to international business literature by introducing the institutional entrepreneurship capability, of both headquarters and subsidiaries, on subsidiaries' analysis. We further develop a measurement model for Institutional Entrepreneurship Capability (IEC), determining the degree of its presence in firms by disaggregating and describing IEC power dimensions to obtain a model to measure this capability. It assesses firm capability to change existing institutional arrangements. As there usually exist several institutional entrepreneurs in any field, measuring their IEC is relevant to understand the field, and how institutional change takes place, considering firm-specific capabilities. Intending to bridge the gap between abstract theoretical constructs and empirical measures, we define IEC through a network of associations with its observable properties and proxies, determining possible measurement techniques. This study concerns the recent changes in the Brazilian energy sector, which resulted in a set of new rules and regulations for the production and distribution of electrical energy in the national territory. We have analyzed all public hearings ranging from 2010 to 2015 at the National Agency for Electrical Energy (ANEEL) that resulted in changes the regulatory framework. About this period, we have identified 86 public hearings, with the participation of 217 entities, including state-owned and private companies, associations and state and federal governmental entities and individual contributions. About these 86 public hearings, we have identified 625 participations totaling 3170 contributions. Results showed the proposed model for measuring Institutional Entrepreneurship Capability of firms had a good fit and that this construct explained 56% of the variance in Firms´ driven institutional change. A theoretical contribution was made on the transferability of IEC from headquarters to subsidiaries oversee. We proposed further research.

Cette thèse se donne pour objectif principal l’explication de l’hétérogénéité que l’on observe en matière de conformité au sein des multinationales. En particulier, je m’intéresse à ce qui pousse les filiales d’une multinationale à mettre en œuvre des pratiques conformes à la politique définie par le siège. Compte-tenu des pressions normatives croissantes exercées sur les multinationales, leur gestion de la conformité interne prend une importance stratégique. Et la responsabilité sociale d’entreprise (RSE) compte au nombre de ces normes émergentes. Mon travail repose sur des données uniques (dont des enquêtes, des données d’archive et des entretiens) sur la mise en œuvre de pratiques RSE que j’ai collectées de 2012 à 2014 au sein d’une multinationale. Dans l’ensemble, les résultats de mes trois essais démontrent que les niveaux hétérogènes de conformité que l’on observe au sein des multinationales résultent certes des différentes pressions internes et externes exercées sur leurs filiales, mais également (1) de leurs divers niveaux d’attention aux demandes normatives en fonction de la conformité de leurs pairs, (2) de leur internalisation de la politique groupe qui limite l’influence du siège et de leurs pairs et (3) des caractéristiques spécifiques et des niveaux d’institutionnalisation des diverses pratiques. / The main objective of this dissertation is to explain heterogeneity in conformity within multinational enterprises (MNEs). More specifically, I focus on what makes an MNE’s subsidiaries implement practices that are consistent with the policy designed by the MNE’s headquarters. Given the increasing normative pressures on MNEs, managing conformity within them is of strategic importance. Corporate social responsibility (CSR) is an example of such mounting norms. My work relies on a unique set of data (including surveys, archival data and interviews) I collected on CSR practices in one MNE between 2012 and 2014. Overall, the findings of my three essays show that heterogeneous conformity within MNEs stems not only from diverse internal and external pressures exerted on subsidiaries, but also from (1) the subsidiaries’ varying levels of attention to normative demands that depend on peers’ behaviors, (2) their heterogeneous internalization of the Group policy which reduces peers’ and headquarters’ influence and (3) the specific characteristics and institutionalization levels of different practices.

The thesis investigates how FDI intra-industry spillovers are affected by MNE ownership modes and sub-national locations. A conceptual framework is developed which utilises IB theories to propose how MNE ownership modes and sub-national locations are likely to matter for FDI spillovers. The research propositions are explored quantitatively using an unbalanced firm-level panel dataset of 1624 Indian manufacturing firms (1991-2008) with 5203 firm-year observations. The model estimation is carried out in STATA 13.0 in two stages; firstly, by using semi-parametric (Levinsohn-Petrin) method to derive the dependent variable (TFP of domestic firms); and secondly, by using fixed effects model estimated in first-differences to relate TFP of domestic firms' with different measures of foreign presence. Results from the first model reveal that WOSs and MAJVs have positive spillover effects whereas MIJVs have negative spillover effects in the Indian manufacturing sector. The second model finds that the net spillover effect in non-metropolitan regions is higher than in metropolitan regions. The thesis discusses the possible major policy implications of the results and considers possible reasons for the differences in the spillovers for different ownership modes and sub-national locations. / PhD Studentship, University of Bradford

No / Dominance effects are normally associated with multinational corporations (MNCs). However, we argue that a strong local competitor can create ‘dominance effects’ setting the institutional parameters for employment relations in multinational subsidiaries. Moreover such an effect can be persistent. In this case the Spanish-owned El Corte Inglés (ECI) used its power and influence to establish an employer's federation and two ‘yellow unions’. These yellow unions infiltrated the French-owned MNC Carrefour and most of the Spanish supermarket sector by the early 1980s and continue to dominate collective bargaining rounds and works council elections, marginalizing the main independent trade unions. This has resulted in poor pay and working conditions and a lack of effective employee representation across most of the Spanish supermarket sector. The fact that Carrefour established an international framework agreement to observe union rights in 2001 has as yet not changed this situation.

2016年巴拿馬文件曝光後，社會對於企業使用避稅天堂的關注度達到高峰。到避稅天堂設立子公司為企業國際化的手段之一，但究竟是具有什麼樣國際化特質的企業比較會用避稅天堂是本研究想要探討的議題。 以往關於避稅天堂的文獻多在研究避稅天堂特性，較少針對使用避稅天堂的企業特性進行研究。因此本研究以企業在避稅天堂外的海外子公司數、海外子公司的投資損益、中國的子公司數，探討與企業在避稅天堂設立子公司數之關聯。 企業在海外的子公司數越多、海外子公司的投資損益金額越大，代表企業國際化程度越高，越有動機使用避稅天堂。本研究的第一個假設為企業在避稅天堂以外的國家所設立的海外子公司數與在避稅天堂的子公司數呈正相關；第二個假設為企業在海外子公司的投資損益金額與在避稅天堂的子公司數呈正相關。另外，到中國直接投資經常被台灣企業當成國際化手段。企業在中國的子公司數越多，其國際化程度也越高。但兩岸的特殊關係與台灣過去實施管制，增加了企業經營的風險與成本，企業因此有動機到避稅天堂等第三地設立子公司。本研究的第三個假設為企業在中國的子公司數與在避稅天堂的子公司數呈正相關。本研究對象為台灣上市企業，研究期間為民國100年至民國104年。研究結果顯示，企業在避稅天堂外的海外子公司數越多、在海外子公司的投資損益金額越大、在中國的子公司數越多，在避稅天堂的子公司數目也會越多。社會普遍詬病企業利用避稅天堂避稅，但企業也會基於其他國際化因素使用避稅天堂。對此，企業及政府應該採取作為，消除大眾對企業使用避稅天堂的疑慮，增加企業國際化時的彈性。 / Since the leaked Panama Papers, the public’s attention to “who are using tax havens” has peaked. As setting up subsidiaries in tax havens is a usual practice businesses adopt when going global, this study identifies three “corporate traits” of such businesses and explores their link to the number of subsidiaries such businesses have in tax havens. The greater the extent of a business’s internationalization, the greater its motivation to use tax havens. This study assumes that both the number of overseas subsidiaries (excluding those in tax havens) and the net income of overseas investment positively correlate with the number of subsidiaries a business has in tax havens. Also, when a Taiwanese company has more subsidiaries in China (thus more internationalized), its motivation to register in tax havens tends to be even stronger facing the peculiar cross-Strait relations and regulations imposed by the governments. This study further assumes the number of subsidiaries set up in China positively correlates with the number of subsidiaries a business has in tax havens. In closing, this study shows that the number of subsidiaries a business has in tax havens positively correlates with (1) the number of its offshore subsidiaries (excluding those tax havens); (2) the net income of its overseas investment; and (3) the number of its subsidiaries in China. Having a presence in tax havens is sometimes an expedient in the internationalization process of a business. We suggest that both the government and the business recognize the upside of using tax havens rather than just play up its downside.

Production sites in international manufacturing networks tend to have different responsibilities and roles in the network. One common classification of plants is to divide the sites into one core plant and several other production units or subsidiaries, where the core plant has an active role in the creation and transfer of knowledge, innovation and know-how, concerning products and processes. Efficient knowledge management within the manufacturing network is seen as a key success factor for companies and consequently an issue of high strategic priority for firms. In a time where the firm's competitive advantage lies in the ability to efficiently transfer knowledge among the plants in the network, it becomes increasingly important for the core plant and its subsidiaries to possess the required capabilities to be able to address the complexity of knowledge management and successfully manage, transfer, receive and apply the knowledge. The aim of the study is therefore to explore how knowledge can be transferred from the core plant to its subsidiaries and which capabilities and prerequisites that are required by both the core plant and the subsidiaries to achieve an efficient knowledge transfer. To achieve the aim of the study, a literature review and a case study at GKN Aerospace has been performed, which included semi- structured interviews, observation and document studies. The case study explores knowledge management and knowledge transfers both from a general network perspective and through three applied knowledge transfers projects that have been performed at the case company. The studied projects are knowledge transfers and collaborations between the site in Trollhättan, which has a natural but informal role of supporting other sites in the network, and three different sites in the United states; El Cajon, Newington and Cincinnati. The empirical findings were categorized into two main parts; general knowledge transfers in the network and the specific projects. These findings were then compared to the theoretical framework in the analysis to provide a discussion around each research question. The analysis constitutes the foundation for the conclusions, discussion and recommendations. In the conclusion of this study the importance of formalizing the responsibilities and roles of the sites in a manufacturing network is highlighted. It is also crucial to assign a team of supporting experts, with the responsibility of performing and improving the knowledge sharing and transfer activities performed in the organization. To achieve a successful knowledge transfer between sites it is, further, essential to establish a clear and straightforward strategy in terms of knowledge management to facilitate the transfer and sharing in the network and reduce the complexity. Guidelines identified in this study, for working with knowledge transfers, are to use a structured process, a solid planning, assure the involvement of all parties and perform face- to- face meetings at the receiving site. / Fabriker i internationella tillverkningsnätverk tenderar att ha olika ansvarsområden och roller i nätverket. En vanlig klassificering är att dela in de i en core plant och flera andra produktionsenheter eller systerfabriker (subsidiaries) där core plant innehar en aktiv roll i skapandet och överföringen av kunskap, innovation och “know-how” när det kommer till produkter och processer. Effektiv knowledge management inom tillverkningsnätverket ses som en viktig framgångsfaktor för företag och är följaktligen en fråga med hög strategisk prioritet. I en tid då företagets konkurrensfördelar ligger i förmågan att effektivt överföra kunskap mellan produktionsenheterna i ett nätverk, blir det allt viktigare för core plant och dess systerfabriker att besitta de förmågor som krävs för att kunna hantera komplexiteten i knowledge management. Fabrikerna måste på ett framgångsrikt sätt kunna hantera, överföra, ta emot och tillämpa kunskapen. Syftet med studien är följaktligen att undersöka hur kunskap kan överföras från en core plant till dess systerfabriker samt de förmågor och förutsättningar som krävs av både core plant och systerfabrikerna för att uppnå en effektiv kunskapsöverföring. För att kunna uppnå syftet med studien har en litteraturstudie och en fallstudie, på GKN Aerospace, genomförts. Fallstudien inkluderar semi-strukturerade intervjuer, observationer och dokumentstudier. I fallstudien undersöks knowledge management och kunskapsöverföring både från ett generellt nätverksperspektiv och genom att studera tre tillämpade projekt som har genomförts på fallföretaget. De studerade projekten innefattar kunskapsöverföring och samarbete mellan fabriken i Trollhättan, som har en naturlig men informell roll i att stötta andra fabriker i nätverket, och tre olika produktionsenheter i USA; El Cajon, Newington och Cincinnati. De empiriska resultaten har kategoriserats i två huvuddelar; generella kunskapsöverföringar i nätverket samt de specifika projekten. Resultaten har sedan jämförts med studiens teoretiska referensram i en analys för att tillhandahålla en diskussion kring varje forskningsfråga. Analysen utgör grunden för studiens slutsatser, diskussion och rekommendationer. I studiens slutsatser lyfts betydelsen av att formalisera ansvar och fabrikers roller i ett nätverk. Det är också nödvändigt att tillsätta en grupp av supporterande experter med ansvaret att genomföra och förbättra kunskapsöverföringar samt dela och sprida kunskap inom organisationen. För att kunna uppnå en lyckad kunskapsöverföring mellan fabriker i nätverket är det, ytterligare, av vikt att etablera en tydligt och rättfram strategi i form av knowledge management för att underlätta kunskapsöverföring och -delning i nätverket samt för att reducera komplexiteten. Riktlinjer för att arbeta med kunskapsöverföringar, som har identifierats genom studien är användandet av en strukturerad genomförandeprocess, en gedigen planering, involverande av alla parter i kunskapsöverföringen samt att personligen träffa den mottagande arbetsgruppen på plats på den fabriken. / COPE - Core Plant Excellence

Made available in DSpace on 2016-10-13T14:10:01Z (GMT). No. of bitstreams: 1 Pierre Ribeiro Siqueira.pdf: 1967772 bytes, checksum: ade8653e22f44b04bdabb8077ae0cba8 (MD5) Previous issue date: 2015-07-30 / Multinational companies (MNCs) often are restructuring and making new prioritization of investment resource allocations in their subsidiaries. The Foreign Divestment (FD) is a strategic assignment and decisionsof the MNEs top management. However, the research topic of divestment is less researched in the literature of international business. In the infrastructure industry, specifically in the economic basic sanitation sector, there was an inflow of MNCs in Brazil in the 90s. After a decade, these corporations have lined up with a homogeneous reverse movement, when they sold their operations in Brazil. The aim of this study is an in-depth investigation of the causes that led to the FD decision, and therefore it has the least favorable sector to new features for universal provision of services. The literature review is based on international divestment as well as the features and institutional aspects that guided the way in which established firm competition. In addition, we discussed the firm internal factors and the psychic distance to the business economic viability. The study was based on a qualitative in-depth research to identify the FD phenomenon through semi-structured interviews with experts who were in decision-making positions in the international investment maturation period. The findings show that the divestments in foreign subsidiaries of MNCs in the Brazilian market had a strong correlation with global macroeconomic aspects of business economic viability in Brazil and competition rules imposed by sectorial idiosyncrasies. The methodology used content analysis and emerged new opportunities in future research on innovation and technological interdependence. / Empresas Multinacionais (EMNs) praticam frequentemente reestruturações e redefinições com novas priorizações de alocação de recursos de investimentos em suas subsidiárias. O Desinvestimento Direto Estrangeiro (DDE) é atribuição estratégica em decisões da alta gestão da EMN, entretanto, estudada com menor intensidade por acadêmicos especializados em Negócios Internacionais. Na área de infraestrutura, especificamente no setor econômico de Saneamento Ambiental, houve um fluxo de entrada de EMNs no Brasil nos anos 90. Após uma década, estas corporações realizaram um movimento inverso homogêneo ao venderam suas operações no Brasil. O objetivo desta dissertação consiste na pesquisa em profundidade das causas que levaram a decisão de DDE, e consequentemente tornou o setor menos propício a novos recursos para universalização da prestação dos seus serviços. Foram utilizados referenciais teóricos de desinvestimento internacional, bem como as características e propósitos institucionais que orientaram a forma em que se estabeleceu a concorrência. Adicionalmente, foram discutidos os fatores internos de firma e a distância psíquica para viabilidade econômica do negócio. O estudo baseou-se em pesquisa qualitativa em profundidade para identificar o fenômeno de DDE por meio de entrevistas semiestruturadas com especialistas que estavam em posições de decisão no período de maturação do investimento internacional. Os resultados mostram que os desinvestimentos das subsidiárias estrangeiras de EMNs no Brasil tiveram forte correlação com aspectos macroeconômicos mundiais, de viabilidade do negócio no Brasil e regras de concorrência impostas pelas idiossincrasias setoriais. A metodologia utilizada de análise de conteúdo fez emergir novas oportunidades de aprofundamento em pesquisas futuras sobre inovação e interdependência tecnológica.

Made available in DSpace on 2016-10-13T14:10:08Z (GMT). No. of bitstreams: 1 Marcelo Rocha e Silva Zorovich.pdf: 1492239 bytes, checksum: 0fa523647b63b49d42fbf11c0a92cf30 (MD5) Previous issue date: 2012-12-18 / The objective of this project is to verify which factors influence the formation of Centers of Excellence (COEs) in the Brazilian automotive industry. Specifically, the influence of the Innovation, the Business Network, the Technical Network, the Business Context as well as the Acquisition of Technology were analyzed. The proposed methodology was based on a quantitative research, through the application of a Survey along with the suppliers of the automotive industry. The statistical technique of Multiple Linear Regression model was used for data analysis by having the COEs as the dependent variable. Based on 91 questionnaires answered, the results conclude that the activities related to innovation, as well as the Acquisition of Technology and the Business Context contribute to the formation of COEs, rejecting the hypothesis related to the Technical Network and the Business Context in which the companies are inserted in. / O objetivo deste trabalho é verificar quais fatores influenciam a formação de Centros de Excelência na indústria automobilística brasileira. Especificamente, verificou-se a influência da Inovação, da Rede de Negócios, da Rede Técnica, do Contexto de Negócios bem como da Aquisição de Tecnologia. A metodologia proposta teve como base o método de pesquisa quantitativo, do tipo Survey, com aplicação junto aos fornecedores da indústria automobilística. Utilizou-se a técnica estatística de Regressão Linear Múltipla para a análise de dados, tendo os Centros de Excelência (COEs) como variável dependente. Com 91 questionários respondidos, o estudo conclui que as atividades ligadas à Inovação, à Aquisição de Tecnologia e à Rede de Negócios contribuem para a formação de COEs, rejeitando-se as hipóteses ligadas à Rede Técnica e ao Contexto de Negócios em que as subsidiárias estão inseridas.

Made available in DSpace on 2016-10-13T14:10:43Z (GMT). No. of bitstreams: 1 MARCELO ROCHA E SILVA ZOROVICH.pdf: 1492239 bytes, checksum: 0fa523647b63b49d42fbf11c0a92cf30 (MD5) Previous issue date: 2012-12-18 / The objective of this project is to verify which factors influence the formation of Centers of Excellence (COEs) in the Brazilian automotive industry. Specifically, the influence of the Innovation, the Business Network, the Technical Network, the Business Context as well as the Acquisition of Technology were analyzed. The proposed methodology was based on a quantitative research, through the application of a Survey along with the suppliers of the automotive industry. The statistical technique of Multiple Linear Regression model was used for data analysis by having the COEs as the dependent variable. Based on 91 questionnaires answered, the results conclude that the activities related to innovation, as well as the Acquisition of Technology and the Business Context contribute to the formation of COEs, rejecting the hypothesis related to the Technical Network and the Business Context in which the companies are inserted in. / O objetivo deste trabalho é verificar quais fatores influenciam a formação de Centros de Excelência na indústria automobilística brasileira. Especificamente, verificou-se a influência da Inovação, da Rede de Negócios, da Rede Técnica, do Contexto de Negócios bem como da Aquisição de Tecnologia. A metodologia proposta teve como base o método de pesquisa quantitativo, do tipo Survey, com aplicação junto aos fornecedores da indústria automobilística. Utilizou-se a técnica estatística de Regressão Linear Múltipla para a análise de dados, tendo os Centros de Excelência (COEs) como variável dependente. Com 91 questionários respondidos, o estudo conclui que as atividades ligadas à Inovação, à Aquisição de Tecnologia e à Rede de Negócios contribuem para a formação de COEs, rejeitando-se as hipóteses ligadas à Rede Técnica e ao Contexto de Negócios em que as subsidiárias estão inseridas.

本研究係利用經濟部投資審議委員會2007年「華僑及外國人投資事業營運狀況調查表（非服務業）」問卷資料，以1,013家僑外資在台非服務業廠商為分析對象，運用Probit Model進行實證分析，由廠商規模、行業分類、廠商成立年數、國際化程度、技術來源、在台設立區域營運總部、業務種類多樣化、兩岸經貿政策進一步鬆綁及降低關稅，儘速與他國簽署FTA等各個面向，探討兩岸經貿關係更加緊密後，影響僑外商在台子公司運籌中心地位之決定因素為何。經實證結果發現，國際化程度、技術來源、在台設立區域營運總部、業務種類多樣化及兩岸經貿政策進一步鬆綁等變數為影響僑外商在台子公司運籌中心地位之決定因素，除技術來源為在台自行研發之變數呈負向關係，傾向於採行降低及不變之營運策略外，其他變數皆與僑外商在台子公司運籌中心地位呈正向關係，傾向採提升之營運策略。 / This research made use of the 2007 Ministry of Economic Affairs Investment Commission survey entitled "Chinese and Foreign Investment Enterprises Operating Conditions Survey (non-service)" and targeted 1,013 non-service industry overseas foreign manufacturers in Taiwan as research subjects. The Probit model was used to carry out an empirical analysis based on the firm size, industry classification, the year the manufacturer was established, the degree of internationalization, technology source, established regional operational headquarters in Taiwan, business type diversity, steps taken to relax and lower tariffs and promptness in signing FTA and other oriented documents, with other countries. This study discusses why there were influencing factors in the decisions of overseas foreign investment subsidiaries in Taiwan logistics center positions after cross-strait economic and trade relations became closer. The empirical results show that the degree of internationalization, sources of technology, the establishment of the regional operational headquarters in Taiwan, business type diversity and further relaxation of cross-strait trade policy variables are the impacts of overseas subsidiary of foreign logistics center’s factors in determining status. In addition to the fact that the variables of technology sources developing on their own in Taiwan showed a negative relationship and tend to adopt reduced and unchanged operation strategies, other variables are compatible with overseas business subsidiaries in Taiwan logistics center position and showed a positive relationship and tend to enhance the operational strategies adopted.