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PDF (Phd Thesis Long-Term Orientation in Multi- Generational Family Firms: A Multiple Case Study Analysis By Vanessa Diaz Moriana A thesis submitted to Dublin City University in fulfilment of the requirements for the degree of Doctor of Philosophy Supervisors: Dr Eric Clinton and Dr Teresa Hogan July 2016 Declaration I hereby certify that this material, which I now submit for assessment on the programme of study leading to the award of Doctor of Philosophy is entirely my own work, and that I have exercised reasonable care to ensure that the work is original, and does not to the best of my knowledge breach any law of copyright, and has not been taken from the work of others save and to the extent that such work has been cited and acknowledged within the text of my work. Signed: ___________________ ID No.: 12210527 ii Preface I have presented aspects of this research at the Academy of Management (2015), Babson College Entrepreneurship Research Conference (2014), Family Enterprise Research Conference (2014), European Institute for Advanced Studies in Management (2014), International Family Enterprise Research Academy (2013), and Irish Academy of Management (2013, 2015). A paper written from this thesis entitled “The Impact of Long- Term Orientation on Family Firms’ Innovation: A Multiple-Case Study” is accepted for presentation at the 2016 Academy of Management Annual Meeting, August 5-9, in Anaheim, California, USA. Papers from this study have been awarded the Family Owned Business Institute research award (2013), Best Doctoral Contribution Award in the Family Enterprise Research Conference (2014) and Best Paper Award at the Irish Academy of Management (2015). iii Acknowledgements In many ways, a PhD is a journey. And the truth is I did not travel alone. I am delighted to have the opportunity to express my gratitude to those who have guided and supported me through this journey; without them I would not have gone this far. First, I would like to express my deepest gratitude to my supervisor, Dr Eric Clinton, for his expert guidance, confidence, and stimulating suggestions throughout the process. He has been an unrelenting source of intellectual inspiration for me. Thank you for always seeing the glass as half full. I also owe unending gratitude to my second supervisor, Dr Teresa Hogan, for her invaluable support. Thank you for allowing me to grow as a researcher and for nurturing my intellectual curiosity with great patience and encouragement. Thank you Eric and Teresa for believing in me. I am sincerely grateful to Prof Colm O’Gorman and Prof Justin Craig for their enthusiastic, inspiring, and supportive guidance in the academic world. Thank you for your advice and insightful feedback throughout this journey. Many others have been a great source of encouragement and guidance and I am profoundly grateful to all of the individuals who have influenced my thinking during this journey. Special thanks to Prof Tom Lumpkin, Prof Ken Moores, Prof Alfredo De Massis and Dr Brian Harney. Thanks are also due to the family firms that participated in this study, and who have kindly granted me their time and assistance throughout the journey. Without their commitment and generosity, I could not have embarked on this study. Thank you to Barry’s Tea, EPS, Flahavan’s and Glennon Brothers. To my many DCU colleagues and friends who have contributed in different ways, but especially to the DCU CFB crew: Catherine Faherty, Martina Brophy, Philip O’Donnell and Rima Fitzpatrick. Thank you for the intellectual and emotional support during these years; it is a privilege to work with you guys. Thank you also to Margaret Galuszynska who always goes beyond her role to help PhD students. Lastly, I would like to thank James, for his love and enthusiastic support no matter what. The completion of this PhD marks a new stage in our journey and I look forward to what our future holds. I am also thankful for the support and guidance of my parents who taught me the value of hard work. Finally, to Alana, who was born in the middle of this journey iv and has been my major motivation to complete this endeavour. Thank you for helping me to gain perspective on what is truly important in this world. This thesis is dedicated to her. Dublin, July, 2016 Vanessa v Table of Contents Declaration ................................................................................................................. ii Preface ……................................................................................................................ iii Acknowledgements ..................................................................................................... iv Table of Contents ….................................................................................................... vi List of Tables ……...................................................................................................... x List of Figures …….................................................................................................... xii List of Abbreviations ...…………………………………………………………….. xiii Abstract …….............................................................................................................. xiv Chapter 1: Introduction .…...………………………………………………......... 1 1.1 Research Background and Problem ……………………………………….… 1 1.2 Research Objectives ……………………………………………………….… 4 1.3 Research Methodology Overview ……………………………………….… 5 1.4 Contribution of the Research ……………………………………………….… 6 1.5 Structure of the Thesis ……………………………………………………….… 8 1.6 Chapter Summary ………………………………………………………… 10 Chapter 2: Literature Review ...………………………………………..…….. 11 2.1 Introduction ………………………………………………………….…….. 11 2.2 Overview of the Family Business Field ….…………………………...….…….. 11 2.3 Defining Family Business ………………………………………….….…. 13 2.4 Stewardship in Family Firms …………………………………………….….. 16 2.5 Conceptual and Theoretical Framework ....………………………………….….. 19 2.5.1 Long-Term Orientation (LTO) ......………………………………….….. 19 2.5.2 Entrepreneurial Orientation (EO) .……...………………………….…….... 26 2.5.3 Non-Economic Goals ...............……………………………..………...... 32 2.6 Research Questions ...………………………………………………..…...... 35 2.7 Chapter Summary ……………………………………………………......… 35 Chapter 3: Research Methodology ………………………………….…….. 37 3.1 Introduction …………………………………………………………….….. 37 3.2 Purpose of Enquiry …………………………………………………….….. 37 3.3 Research Paradigm …………………………………………………….….. 39 3.3.1 Paradigm Choice …………………………………………………….….. 40 3.4 Research Strategy: Qualitative ..…………………………………………...….. 43 3.5 Research Method: Case Study ...…………………………………………….... 46 3.5.1 Multiple Case Study ...…………………………………………..….. 47 3.5.2 Case Selection ……………………………………………...……….... 48 3.5.3 Unit of Analysis .……………….……………………………….…....... 51 3.6 Research Technique: Triangulation ...…………………………………........ 52 vi 3.6.1 Data Collection ……………………………………………….……….. 53 3.6.1.1 Interviews ………………………………………………….…….. 53 3.6.1.2 Secondary Data Sources ………………………………….…….. 56 3.6.1.3 Follow-Up Interviews ………………………………….…….. 57 3.7 Data Analysis ……………………………………………………….……….. 57 3.7.1 Data Coding ……………………………………………….……….. 58 3.7.2 Within-Case Analysis ……………………………………….……….. 63 3.7.3 Cross-Case Analysis ……………………………………….……….. 63 3.8 Criteria for Evaluating Research ……………………………………….……….. 64 3.8.1 Construct Validity ……………………………………………….……….. 65 3.8.2 Internal Validity ……………………………………….……….. 65 3.8.3 External Validity ……………………………………………….……….. 66 3.8.4 Reliability …………………………………………………….………….. 66 3.9 Ethical Considerations …………………………………………….………….. 67 3.10 Limitations of Methodological Approach …………………….………….. 68 3.11 Chapter Summary …………………………………………….………….. 69 Chapter 4: Within-Case Analysis ……………………………………….. 71 4.1 Introduction ……………………………………………………………….. 71 4.2 Within-Case Analysis Steps ……………………………………………….. 71 4.3 Summary of Case Profiles ………………………………………………... 72 4.4 Case 1: Barry’s Tea ……………………………………………………….. 73 4.4.1 Case Overview ……………………………………………………….. 73 4.4.2 Within-Case Analysis Barry’s Tea ……………………………………….. 76 4.4.2.1 Long-Term Orientation (Addressing RQ1) ………………... 76 4.4.2.1.1 Futurity ……………………………………………….. 77 4.4.2.1.2 Continuity ……………………………………….. 79 4.4.2.1.3 Perseverance ….…………………………………….. 81 4.4.2.2 LTO and EO (Addressing RQ2) ………………………………… 83 4.4.2.2.1 LTO and Innovativeness ………………………… 83 4.4.2.2.2 LTO and Proactiveness ………………………………… 86 4.4.2.2.3 LTO and Risk-Taking ………………………………… 89 4.4.2.3 Non-Economic Goals (Addressing RQ3) ………………………… 91 4.4.3 Case 1 Summary ………………………………………………………… 94 4.5 Case 2: EPS ………………………………………………………………… 96 4.5.1 Case Overview ………………………………………………………… 96 4.5.2 Within-Case Analysis EPS ………………………………………………… 99 4.5.2.1 Long-Term Orientation (Addressing RQ1) ……………………... 100 4.5.2.1.1 Futurity ……………………………………………...... 100 4.5.2.1.2 Continuity ………………………………………. 103 4.5.2.1.3 Perseverance ………………………………………. 105 vii 4.5.2.2 LTO and EO (Addressing RQ2) ...………………………...…… 108 4.5.2.2.1 LTO and Innovativeness ………………………………. 108 4.5.2.2.2 LTO and Proactiveness ………………………………. 111 4.5.2.2.3 LTO and Risk-Taking ……………………………..… 115 4.5.2.3 Non-Economic Goals (Addressing RQ3) ………………………. 116 4.5.3 Case 2 Summary ………………………………………………………. 118 4.6 Case 3: Flahavan’s ………………………………………………………. 119 4.6.1 Case Overview ………………………………………………………. 119 4.6.2 Within-Case Analysis Flahavan’s ………………………………………. 122 4.6.2.1 Long-Term Orientation (Addressing RQ1) ……………………. 123 4.6.2.1.1 Futurity ………………………………………………. 123 4.6.2.1.2 Continuity ………………………………………. 124 4.6.2.1.3 Perseverance ………………………………………. 126 4.6.2.2 LTO and EO (Addressing RQ2) …………………………….
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