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JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol.9, No.1, Jan/Apr, 2012, pp. 01-02 ISSN online: 1807-1775

Volume 9: Number 1 / Volume 9: Número 1

2012

Content / Índice

01-02

Editorial

03-04

1

Drivers of E-Government Maturity in Two Developing Regions: Focus on Latin America and Sub-Saharan Africa Princely Ifinedo, Cape Breton University, Nova Scotia, Canada

05-22

2

Using Grounded Theory as a Method for System Requirements Analysis Mohanad Halaweh, University of Dubai, Dubai, UAE

23-38

3

Management Model for the Development of Software Applied to Business Sustainability in the context of Global Climate Takeshy Tachizawa, Instituto de Ensino Campo Limpo Paulista, FACCAMP São Paulo, Brazil Hamilton Pozo, Instituto de Ensino Campo Limpo Paulista, FACCAMP, São Paulo, Brazil

39-60

4

Brazilian Scientific Journals that use the Open Journal Open System (OJS): A Quality Analysis Luisa Veras de Sandes-Guimarães, Fundação Getúlio Vargas, São Paulo, Brazil Sely Maria de Souza Costa, Universidade de Brasília, Brasília, Brazil

61-88

5

Knowledge Management, Market Orientation, Innovativeness and Organizational Outcomes: A study on companies operating in Brazil Alex Antonio Ferraresi, PUCPR, Paraná, Brazil Silvio Aparecido dos Santos, Universidade de São Paulo, São Paulo, Brazil José Roberto Frega, UFPR, Paraná, Brazil Heitor José Pereira, FIA, SP, Brazil

89-108

6

Intelligent tutoring system for distance education Jose Dutra de Oliveira Neto, Universidade de São Paulo, São Paulo, Brazil Elby Vaz Nascimento, Universidade de São Paulo, São Paulo, Brazil

109-122

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IT Outsourcing: Methodology for Selecting Suppliers: Criterion for Competitive Advantage José Celso Contador, UNIP, UNINOVE, São Paulo, Brazil Ademir Antonio Ferreira, UNIP, UNINOVE, São Paulo, Brazil Sérgio Alexandre Simões, UNINOVE, São Paulo, Brazil Wilson José Souza, UNINOVE, São Paulo, Brazil

123-146

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Mudanças nas Práticas do Programa de Gerenciamento da cadeia de Suprimentos (GSC) em uma Multinacional do Setor Siderúrgico Changing organizational practices during and after the implementation of supply chain management in a multinational steel company Daniel Pardini, Universidade FUMEC, Belo Horizonte - MG- Brazil Priscila de Jesus Papazissis Matuck, Universidade FUMEC Belo Horizonte – MG- Brazil

147-170

R. Gest. Tecn. Sist. Inf. /JISTEM Journal of Information Systems and Technology Management, Brazil

2 Content / Indice

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Preferências Hedônicas e Justificações Utilitárias na Introdução de Novos Produtos de Alta Tecnologia Hedonic Preferences and Utilitarian Justifications at the introduction of High Technology Rosa Maria Chaves Lima, Universidade da Amazônia, Belém, Pará, Brazil Emílio José Montero Arruda Filho, Universidade da Amazônia, Belém, Pará, Brazil Events / Eventos

189

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp. 05-22 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100001

DRIVERS OF E-GOVERNMENT MATURITY IN TWO DEVELOPING REGIONS: FOCUS ON LATIN AMERICA AND SUB-SAHARAN AFRICA Princely Ifinedo Cape Breton University, Nova Scotia, Canada _____________________________________________________________________________________

ABSTRACT This research focuses on the drivers of e-government (E-gov) maturity in two comparable developing regions of the world i.e. Latin America and Sub-Saharan Africa (LA&SSA). E-gov maturity refers to the growth levels in a country’s online services and its citizens’ online participation in governance. To date, few researchers have focused on the drivers of E-gov maturity in LA&SSA. Given the challenges faced by LA&SSA with regard to the implementations and deployment of technological innovations including E-gov, research such as this current one is needed to enrich insight in such contexts. Building on a prior framework and the modernization theory (MT), the impacts of macro-environmental factors of political, economic, social, and technological dimensions on E-gov maturity in LA&SSA are examined. A longitudinal data i.e. a 5-year panel data consisting of 160 observations or data points was used for analysis in conjunction with the structural equation modeling (SEM) technique. Such factors as human capital development, technological infrastructure, and rule of law were found to have positive impacts on E-gov maturity in LA&SSA. To a large extent, national wealth served as an enabler in the proposed research conceptualization and not as a direct driver of E-gov maturity.

The implications of the study's findings for research and policy making are discussed and future research areas noted.

Keywords: Electronic government (E-gov); E-gov maturity; Latin America; Sub-Saharan Africa; Panel data; Developing countries; Structural equation modeling

INTRODUCTION Electronic government (E-gov) is a transformative, technological innovation of the 21st century that pursues citizen’s satisfaction through the use of information and communication technologies (ICT) such as the Internet and the Web (Fountain, 2001; West, 2004; InfoDev, 2004; Ifinedo, 2011). E-gov presents citizens with improved access to government information and services. With better services and greater access, _____________________________________________________________________________________ Manuscript first received/Recebido em 12/09/2011 Manuscript accepted/Aprovado em: 20/03/2012 Address for correspondence / Endereço para correspondência Princely Ifinedo - Dept. of Financial & Information Management -Cape Breton University - P. O. Box 5300, Sydney, Nova Scotia, B1P 6L2, Canada Phone: 1 902 563 1227- Email: princely_ifinedo@cbu.ca; ifinedo@yahoo.com Published by/ Publicado por: TECSI FEA USP – 2012 All rights reserved.

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more productive relationships between citizens and governments are created and citizen’s attitudes towards governance are positively altered (Fountain, 2001; West, 2004; Wong & Welch, 2004). For instance, greater levels of participation, transparency, empowerment, and enhanced two-way communication between citizens and their governments are positive fall-outs of E-gov initiatives (Bertort et al., 2001; BoyerWright et al., 2008; UN Public Administration Programme, 2010).

It comes as no surprise that E-gov is accepted as a useful, modern tool for providing quality service to citizens and businesses (UN Public Administration Programme, 2010), reducing corruption and increasing transparency (Bertort et al., 2001; Cho & Choi, 2004), and increasing democratization (Katchanovski & La Porte, 2005; Ifinedo and Singh, 2011). In recognition of the growing interest in the area, researchers from across differing academic disciplines have started to examine the factors influencing E-gov diffusion and growth globally (Azad et al, 2010; Moon, 2002; Siau & Long, 2006; Singh et al., 2007; Wong & Welch, 2004; West, 2004).

Empirical evidence from both academic research (Azad et al., 2010; West, 2007; Ifinedo & Singh, 2011) and international agencies’ reports (InfoDev, 2004; Accenture, 2001; UN Public Administration Programme, 2010) indicated that emerging economies and developing countries in Latin America and Sub-Saharan Africa (LA&SSA) lag behind advanced countries in the deployment and use of E-gov. Indeed, Azad et al.

(2010, p. 88) citing Rodrik (2003) commented that “the recent challenges of implementing sustainable reforms [including those related to E-gov] in developing and transition economies have proved insurmountable and are largely attributed to weak and or non-existent” environmental factors or considerations pervading such contexts.

Similarly, Gebremichael and Jackson (2006) reflected on the myriads of challenges facing developing countries that are unable to harness the power of ICT for development by citing a lack of economic resources, governmental censorship and control, and a lack of infrastructure as some of the main reasons why countries in emerging societies lag behind the industrialized West.

Against the backdrop of the challenges facing citizens and governments in LA&SSA, researchers have called for more attention to the paid to the progress of Egov in such regions of the world (Campos & Nugent, 1999; Boyer-Wright & Kotterman, 2008; Chen et al., 2006; Gebremichael & Jackson, 2006; Schuppan, 2009).

This current study is motivated, in part, by such attention. It is hoped that by concentrating on E-gov maturity - an aspect that has not received much attention in LA&SSA- useful insights will emerge to enrich our understanding of E-gov progress in such parts of the world, over time.

With respect to the discourse of E-gov maturity around the world, this current research complements the study by Singh et al. (2007) that investigated a similar theme globally by including the effects of political, economic, social, and technological underpinnings on E-gov maturity. Nonetheless, this present research differs from Singh et al.’s work in three ways: a) this study focuses on solely on LA&SSA for reasons already espoused; b) it underscores the pertinence of such factors as rule of law and transparency levels, which were not considered in their study, c) this effort also seeks to increase the body of knowledge with regard to the mediating influence of the factors under focus. In other words, this research does more than examining the direct impacts of selected factors on the dependent variable as is usually the case in prior studies (Kovačić, 2005; Moon et al., 2005). Further, this current study complements the efforts

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7 Drivers of E-government Maturity in Two Developing Regions: Focus on Latin America and SubSaharan Africa

of Ifinedo and Singh (2011) who investigated a comparable theme in another region of the world: the transition economies of Central and Eastern Europe.

To guide this discourse, the modernization theory (MT) and the political, economic, social, and technological (PEST) analysis framework will be employed to provide the necessary conceptual underpinning for the study. Publicly available data from reliable sources such as the World Bank and the United Nations over a 5-year period will be used for data analysis.

LITERATURE REVIEW A few researchers have discussed E-gov issues in LA&SSA. For instance, Lau et al. (2008) used a conceptual framework to examine the adoption and development of Egov services in the three Latin American countries: Argentina, Brazil, and Mexico. The study by Campos and Nugent (1999) assessed the development performance and governance institutions in LA and elsewhere. Schuppan (2009) used case studies of three African countries i.e. Ghana, Uganda, and Kenya to discuss the impacts of institutional, cultural, and administrative reforms on E-gov projects in SSA. None of the foregoing studies focused on E-gov maturity, per se.

Research studies that focused on E-gov maturity in LA&SSA are rare. The one study that did, i.e. the research by Singh et al., 2007) used data from differing regions of the world, including LA&SSA. Researchers such as Campos and Nugget (1999), Lau et al. (2008), and Ifinedo and Davidrajuh (2005) have suggested that more relevant information can emerge when the views of countries from comparable regions of the world are studied. As countries in LA&SSA face comparable challenges with regard to accepting and implementing technological innovations, including E-gov (Bertort et al., 2001; Azad et al., 2010; Moon et al., 2005; Siau & Long, 2006), a focus on such emerging parts of the world is welcoming to the extant E-gov literature.

Conceptual background The modernization theory (MT) (McClelland, 1967; Barker, 2005) is relevant to this study as it seeks to identify pertinent macro-environmental variables that impact social change and development of societies. The theory has several facets including political enlightenment, secularization, economic growth, technological progress, inter alia. For the purposes of this study, emphasis will be placed on its aspect that addresses technological advancement across societies (McClelland, 1967; Goldthorpe et al., 1968). Technological innovations, i.e. E-gov serve as a major source of social change and progress (Goldthorpe et al., 1968; Barker, 2005). Accordingly, McClelland’s (1967) perspective on the MT is appropriate in providing a conceptual underpinning to this present research. McClelland asserted that modernization cannot happen unless a given society has a pool of requisite factors such as human resource, and political capital, among others. He also maintained that some societies were more advanced than others because of such prevailing contextual factors.

It has been accepted that relatively modernized societies have a higher tendency to adopt, use and benefit from emerging technologies and services than societies that are yet to reach such levels of sophistication (Goldthorpe et al., 1968; Barker, 2005). Given

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that E-gov is an innovative, modern tool for societal development and progress, countries including those in LA&SSA with the needed macro-environmental resources will be better poised to fully use E-gov to serve and engage their citizens and other stakeholders meaningfully. In contrast, where such resources are lacking or insufficient, the accomplishment of such countries’ governments are often limited to trivial benefits that characterize initial phases of such E-gov engagements (Layne & Lee, 2001; Norris, 2001; UN Public Administration Programme, 2010; Singh et al., 2007; Azad et al., 2010).

To complement the MT, the political, economic, social, and technological (PEST) analysis framework (Byars, 1991; Johnson & Scholes, 1993), which is essentially business management schema, will be used. The PEST is a tool or framework that organizations use to scan macro-environmental factors with the hope of improving their strategic decision making processes. The framework can be extended to trans-national analysis as well. In fact, others researchers have implicitly drew from the PEST analysis framework in their investigation of the impacts of socio-economic, political, and technological factors on E-gov development across countries (Katchanovski & La Porte, 2005; Azad et al., 2010; Kovačić, 2005; Singh et al., 2007; Moon et al., 2005). Importantly, Singh et al. (2007) proposed a framework, which informed this present study’s research model (Figure 1). Apparently, elements in the PEST analysis framework have been represented in their framework and in the one presented herein. Of note, the item related to government efficiency used in the Singh et al.’s conceptualization was replaced by the political factor of rule of law as government efficiency yielded an inconclusive result in Singh et al.’s research. This study’s research framework also highlights the mediating influence of the other factors on E-gov maturity.

SOCIAL Human capital development DEPENDENT VARIABLE ECONOMIC

Transparency levels E-gov maturity

Wealth (GDP per capita) TECHNOLOGICAL

Technological infrastructure

POLITICAL

Rule of law

Figure 1. The research model The relevance of each of the macro-environmental factors are discussed as follows: several prior studies have shown that political factors matter in the development and diffusion of E-gov efforts especially in LA&SSA (Azad et al., 2010; Chen et al., 2006; Srivastava & Teo, 2008; Wong & Welch, 2004). Also, economic

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9 Drivers of E-government Maturity in Two Developing Regions: Focus on Latin America and SubSaharan Africa

consideration is widely accepted as a major hindrance to E-gov growth globally (Moon et al., 2005; Ifinedo & Davidrajuh, 2005; Siau & Long, 2006; Singh et al., 2007). As well, social factors related to inadequate human capital resource, low educational attainment, and corruption/transparency levels have been shown to hamper E-gov growth around the world (Azad et al., 2010; Kovačić, 2005; Moon, 2002; Moon et al., 2005; Singh et al., 2007; Wong & Welch, 2004). Findings in Moon et al. (2005) and UN Public Administration Programme (2010) showed that poor or inadequate technological infrastructure such as telecommunication networks hinder E-gov diffusion. Admittedly, other macro-environmental factors such as national cultural values and norms could be incorporated into this discourse; however, the selected items were considered adequate for purposes of this preliminary study; moreover, the factors were also included because of their noted importance in prior studies.

The concept of E-government maturity According to researchers (Galliers & Sutherland, 1991; Layne & Lee, 2001; West, 2007), the concept of “maturity” denotes the state of a given level in a continuous process. It signifies a stage of growth from lower to higher stages or phases in a process.

In this research, E-gov maturity refers to the level of progress made by a country regarding its development and the sophistication of the features present on its government websites (West, 2007). E-gov maturity as used by Srivastava and Teo, (2008) combined E-gov development and e-participation measures; the former captures the degree to which governments’ websites that have incorporated advanced features capable of providing more efficient, participatory services to their citizens and other stakeholders. The latter assesses the capacity and the willingness of the state to encourage the participation of its citizens in decision-making and the willingness of the citizen to do so.

Thus, countries with high-end features in their web sites are generally seen to occupy higher stages in the growth model. The literature indicates that prior E-gov maturity researchers and international bodies have proposed conceptually similar E-gov maturity models (Layne & Lee, 2001; Srivastava & Teo, 2008). However, this current research uses the UN's E-gov framework (UN Public Administration Programme, 2010) as the other E-gov maturity models do not readily provide comparative, global empirical data.

Hypotheses Development In general, wealthier nations tend to have higher levels of human capital resource (UN Public Administration Programme, 2010; World Bank, 2011). In tune with the dictates of the MT such economically endowed countries tend to be in the forefront of enlightening their population and providing various opportunities for human capital development needed to facilitate social change and progress (Goldthorpe et al., 1968; Barker, 2005). Thus, it is to be expected that where relative wealth exists in LA&SSA, there will be a corresponding high level of human capital development. It is therefore predicted that: H1: In the context of LA&SSA, wealth will be positively related to human capital development.

Prior research has shown that the diffusion of innovative technologies is significantly influenced by the availability of wealth (as assessed by GDP per capita) (Caselli & Coleman, 2001; Norris, 2001, Ifinedo & Davidrajuh, 2005; Moon et al.,

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2005; Singh et al., 2007; WEF, 2011). Indeed, more affluent countries with better financial resources than counterparts lacking in such often make more progress regarding the types and scope of quality features and services provided or seen on their government websites (Singh et al., 2007; West, 2007; Ifinedo, 2011). Consistent with the MT, economically endowed countries in LA&SSA are more likely to be able to procure the necessary technical equipment and infrastructure required to develop and support E-gov initiatives (North, 1990; Norris, 2001; Singh et al., 2007). Likewise, the tenets in the MT imply that wealthier societies are more likely to be open and uphold free enterprise (Goldthorpe et al., 1968; McClelland, 1967). Empirical data indicates the existence of a positive relationship between the availability of economic endowments and the perceptions of transparency levels across countries (McClelland, 1967; Transparency International, 2010; WEF, 2011). It is predicted that: H2: In the context of LA&SSA, wealth will be positively related to E-gov maturity.

H3: In the context of LA&SSA, wealth will be positively related to transparency levels.

Global data suggests that wealthier countries are far more likely to be able to commit resources to enhancing their technological infrastructure than relatively poorer nations (Torres et al., 2005; WEF, 2011). McClelland (1967) and Goldthorpe et al.

(1968) also observed that more affluent countries tend to be more effective in their use of technological innovations to engender social change compared to relatively poorer nations’ capabilities in such areas. Along the same line of reasoning, proponents of the MT, other academic researchers, and international agencies have found an association between the economic well-being of nations and their attitudes toward the national governance variable of rule of law (InfoDev, 2004; Accenture, 2001; North, 1999; West, 2007). That is, the wealthier a country is, the more likely it is for its rule of law to be conducive for governance and business (Norris, 2001; Shih et al., 2005). It is predicted that: H4: In the context of LA&SSA, wealth will be positively related to the availability of technological infrastructure.

H5: In the context of LA&SSA, wealth will be positively related to favorable rule of law climate.

Low level of educational attainment and illiteracy negatively impacts social change (Barker, 2005) and the growth of an information society (Norris, 2001; Caselli & Coleman, 2001; WEF, 2011). The UN human capital index, which encompasses average years of schooling (across the three main levels) in populations, as well as literacy rates, captures this social measure across countries. Moon et al. (2005), Singh et al. (2007), and Ifinedo (2011) found the human capital index to be positively related to E-gov maturity across countries. It can be argued that the capability to utilize innovation such as E-gov for socio-economic development purposes is relatively high for countries with quality human capital resource. It is safe to believe that top-end features on government websites will be appreciated, demanded, and supported by individuals in countries with a pool of quality human capital compared to where such are lacking. It is predicted that: H6: In the context of LA&SSA, human capital development will be positively related to E-gov maturity.

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11 Drivers of E-government Maturity in Two Developing Regions: Focus on Latin America and SubSaharan Africa

Corruption is a social problem (Maingot, 1994). Transparency International (2010) publishes the Corruption Perceptions Index (CPI) of countries around the world by comparing the degree “to which corruption is perceived to exist among public officials and politicians.” Corruption and a lack of transparency denote abuses related to a lack of openness and abuse of entrusted power. Broadly speaking, more open societies with a more enlightened public sector governance structure affording more transparency to government operations would appreciate a need to take their E-gov schemes to levels where citizen participation, engagement and empowerment are encouraged. Research has shown that corruption/transparency perceptions are significantly associated with Egov progress and diffusion (Azad et al., 2010; Bertort et al., 2005; Cho & Choi, 2004; Kovačić, 2005). It is predicted that: H7: In the context of LA&SSA, transparency levels (i.e. low corruption perceptions) will be positively related to E-gov maturity.

Previous research studies indicated that innovative technologies spread where enabling technological infrastructure are present (Singh et al., 2007; Norris, 2001; Moon et al., 2005). Indeed, Moon et al. (2005) found that the more technologically advanced (i.e. a higher level of technological infrastructure) a country is, the more likely it is for the country to advance its E-gov projects and agenda. Indeed, Singh et al. (2007), Azad et al. (2010), Ifinedo (2011), and Ifinedo & Singh (2011) found that the availability of technological infrastructure positively influences E-gov maturity and growth across nations. It is predicted that: H8: In the context of LA&SSA, the availability of technological infrastructure will be positively related to E-gov maturity.

Rule of law refers to the sound political institutions, impartial systems, and legal protection of property rights in a country (Shih et al., 2005). It impacts the diffusion of e-commerce and E-gov (Oxley & Yeung, 2001; Welch & Wong, 2004; Katchanovski & La Porte, 2005; Ifinedo, 2011). Some of the reasons as to why countries in LA&SSA lag behind advanced countries in technological innovations such as E-gov have been attributed to weak and or non-existent national governance institution factors pervading the developing world (Azad et al., 2010; Gebremichael & Jackson, 2006; Schuppan, 2007). Thus, countries in LA&SSA with favorable rule of law climates will have little or no problems in instituting advanced features that facilitate citizen participation and empowerment in governance. The same may not be true where serious rule of law issues exist (Katchanovski & La Porte, 2005). Welch and Wong (2004) and Kovačić (2005) indicated that the authorities of countries with poorer “rule of law” may have little or no interest in providing advanced features on their websites that would encourage citizen engagement and empowerment as such enhancement may be deemed to engender dissent. It is predicted that: H9: In the context of LA&SSA, rule of law will be positively related to E-gov maturity.

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RESEARCH METHODOLOGY Data sources and measures The research data was obtained from reputable world organizations such as the United Nations and the World Bank. Prior comparable studies have used data from such sources (e.g. (Azad et al., 2007; Katchanovski & La Porte, 2005; Kovačić, 2005; Singh et al., 2007; Siau & Long, 2006; Ifinedo, 2011). Each country’s technological infrastructure level was assessed using a weighted index comprised of Internet users/1000 persons, PCs/1000 persons, telephone lines/1000 persons, online populations, mobile phones/100 persons, and TVs/1000 persons (UN Public Administration Programme). The human capital index was obtained from the UN Public Administration Programme (2010); it is derived from measures related to the educational attainment and literacy levels across countries. The rule of law variable was obtained from Kauffman et al. (2009). These researchers composed their data from qualitative and quantitative sources. The rule of law scores ranged from +2.5 and -2.5 with higher scores indicating better values.

The data for the transparency levels variable came from the Transparency International (2010); the scores ranged from 0 to 10 with higher numbers indicating less corruption and more transparent societies. The GDP per capita was obtained from the World Bank’s Development Index (World Bank, 2011). The GDP per capita variable was transformed and normalized with a logarithmic function. For the dependent variable, two index scores i.e. the online services and E-participation indices from the UN Public Administration Programme (2010) were aggregated (please see Singh et al., 2007). In line with the objectives of this study, countries from various parts of Latin America and Sub-Saharan Africa as categorized in the UN Public Administration Programme’s (2010) E-gov survey and the World Bank were chosen randomly for illustration purposes. In order to have a fair representation of countries from the two regions, E-gov scores at all levels i.e. above and below scores for the region’s average as well as scores close to the average were considered from the UN Public Administration Programme’s data source. Table 1 shows the selected countries in LA&SSA used in the research.

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13 Drivers of E-government Maturity in Two Developing Regions: Focus on Latin America and SubSaharan Africa

Table 1. Selected countries/regions in the study Latin America

Sub-Saharan Africa

Cuba

Mauritius

Chile

Kenya

Argentina

Zambia

Ecuador

South Africa

Peru

Botswana

Brazil

Nigeria

Uruguay

Ghana

Mexico

Cameroon

Colombia

Cape Verde

Bolivia

Senegal

Paraguay

Lesotho

Venezuela

Angola

Costa Rica

Chad

Honduras

Cote d'Ivoire

Nicaragua

Gabon

Guatemala

Ethiopia

Procedure and Method The data consists of items collected over a 5-year data period (2003-5, 2008, and 2010) in a span of 7 years. Essentially, the data used in this study is a panel data (also known as longitudinal or cross-sectional time-series data). This procedure is appropriate in capturing the development of E-gov maturity in the selected countries/regions, over time. The advantage in using a panel data lies in the fact that it accommodates variations regarding changes in used variables; a single year study (cross-sectional analysis) may not reflect such changes. The number (N) of observations/points in the data set is 80 for each region and 160 for all the countries in the study. Thus, this study’s sample size compares with similar studies in the literature (Azad et al., 2010; Wong & Welch, 2004).

Furthermore, a panel data takes the fixed-effects (FE) into consideration. With FE, it is assumed that each independent variable has its own individual characteristics that may or may not influence the dependent variable. Notably, FE removes the effect of those time-invariant characteristics from the predictor variables so that the predictors’ net effect can be assessed. Thus, the pooled time series data enables precise estimates and test statistics with more power in the regression to be obtained. Having said that, this study’s analysis will use the structural equation modeling technique, which is similar to the ordinary regression model (Chin, 1998).

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ANALYSIS AND RESULTS The Partial Least Squares (PLS) technique of structural equation modeling, which utilizes a principle component-based for estimation, was used for analysis. The approach is suitable for validating predictive models (Chin, 1998). The PLS assesses the psychometric properties of the measurement model, and estimates the parameters of the structural model. The specific tool used was SmartPLS 2.0 (Ringle et al., 2005). The required information related to measurement model (e.g. AVE, composite reliability was not shown as the study’s variables have single item). However, the descriptive statistics and inter-correlations among the constructs from the PLS analysis is presented in Table 2; the table’s information does not indicate that multicollinearity was a problem for the research.

Table 2. Descriptive statistics and the inter-construct correlations (N = 160) Construct

Mean

S.D.

1

2

3

4

5

1:E-governemnt maturity

0.22

0.18

1

2:Human capital development

0.96

0.64

0.50

1

3: Rule of law

0.26

0.18

-0.32

0.01

1

4:Technological infrastructure

0.28

0.08

0.68

0.61

-0.24

1

5:Transparency levels

3.18

1.52

0.40

0.20

-0.35

0.59

1

6: Wealth (GDP per capita) $USD

5553.56

3862.63

0.53

0.31

-0.34

0.70

0.58

6

1

S.D. = Standard deviations In the structural model, information related to path coefficients (β) and the squared R (R2) are made available. The strength of the relationship is indicated by the β, which can be interpreted exactly like standardized regression coefficients. The R2 shows the percentage of variance in the model to give an indication of its predictive power.

The SmartPLS 2.0 results for the βs and the R2 are shown in Figure 2. The path significance levels (t-values) are estimated by the bootstrapping method.

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15 Drivers of E-government Maturity in Two Developing Regions: Focus on Latin America and SubSaharan Africa

Human capital development

0.19**

0.31*** 2

R = 0.01 Transparency 0.58***

-0.04 ‡

levels

Wealth

0.08 ‡ 2

(GDP per capita)

R = 0.34 0.70*** Technological

0.49***

E-gov maturity

R2 = 0.52

infrastructure

-0.35*** R2 = 0.49

-0.19***

Rule of law

R2 = 0.12

Note: ** = significant at p < 0.05; *** = significant at p < 0.001; ‡ = not significant

Figure 2. The paths with results from SmartPLS The data provided significant support for hypothesis H1, which predicted that in the context of LA&SSA, wealth would be positively related to human capital development (β = 0.31). Hypothesis (H2) that suggested that wealth of countries in LA&SSA would be positively related to their E-gov maturity levels, was unsupported by the data (β = 0.08). The analysis confirmed the prediction indicating that wealth of countries in LA&SSA would be positively related to their transparency levels (β = 0.58). The data showed that countries in LA&SSA with higher levels of wealth tend to have higher technological infrastructure (β = 0.70) to support hypothesis H4. The result did not provide support for hypothesis H5, which suggested that in the context of LA&SSA, wealth would be positively related to favorable rule of law climate; however, the data analysis indicated a significant, negative relationship between the two variables (β = -0.35).

Hypothesis H6 was strongly supported to affirm the view indicating that in the LA&SSA region, human capital development was positively related to E-gov maturity (β = 0.19). Hypothesis (H7) indicating that for countries in LA&SSA, their transparency levels would be positively related to their E-gov maturity levels was unconfirmed by the path significance (β = -0.04). Strong support was provided for the prediction made in hypothesis H8 suggesting that in the context of LA&SSA, the availability of technological infrastructure would be positively related to E-gov maturity(β = 0.49).

Hypothesis H9 stated that, “in the context of LA&SSA, rule of law will be positively related to E-gov maturity”; however, the result did not support this prediction as the result indicated a significant, negative relationship between the two factors (β = -0.19).

Information related to the variances explained by the study’s constructs is presented in Figure 2. It is worth noting that all the research’ constructs explained 52% of the variation in the research model to indicate that the theorized conceptualization has relevance. Specifically, Chin (1998) noted that R2 values of 0.67, 0.33, and 0.19 for the percentage of variance in a model are substantial, moderate and weak, respectively.

Thus, the obtained R2 in this study with a value of 0.52 suggests that the percentage of variance in the research model is above moderate levels.

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DISCUSSIONS While IS and public administration researchers have provided information regarding the impacts of a variety of macro-environmental factors on the diffusion, growth, and maturity of E-gov globally, the review of the extant literature showed that studies designed to highlight perspectives from LA&SSA are not well represented. This current research is partly designed to fill this gap in the literature. Discussions related to the unconfirmed hypotheses will be presented first and the supported ones come afterward.

The research model did not provide evidence in support of the positive, direct associations between national wealth and E-gov maturity. Also, the transparency levels variable was not found to be positively related to E-gov maturity in the context of LA&SSA. Additionally, the data analysis showed that the relationship between wealth and rule of law was negative in nature; the same result was obtained for the relationship between rule of law and E-gov maturity. These unconfirmed hypotheses do not, in any way, affirm that such factors have no bearings on E-gov maturity issues in LA&SSA and elsewhere. For instance, the lack of support for the relationships between rule of law and E-gov maturity are counterintuitive propositions, which need further investigation.

One plausible reason for the unconfirmed predictions in the research may be due to incomplete and missing data of some of the measures used in the research. Another explanation could be that political factors e.g. government efficiency and rule of law may actually have inverse relationships with E-gov maturity across countries. One could posit that transparency levels may not be conceptually related to E-gov maturity; however, the findings in this aspect of E-gov research appear to be diverse. For example, some researchers (Azad et al., 2010; KovaÄ?iÄ&#x2021;, 2005; Singh et al., 2007; Ifinedo, 2011) have supported the pertinence of transparency/corruption levels on E-gov diffusion and maturity; others (e.g. Ifinedo & Singh, 2011) have not supported such a viewpoint. However, more studies are needed to debunk or reify insights on the relevance of the foregoing construct on E-gov issues.

It is worth mentioning that evidence suggests that governments in some countries with unfavorable rule of law have made tremendous gains with regard to using E-gov initiatives, including sophisticated features to control their citizens and for general propaganda purposes (Schuppan, 2007; Singh et al., 2007; Katchanovski & La Porte, 2005). This information could shed some light on the significant, negative results obtained in the research.

With respect to national wealth, global sources of information have shown that some remarkable progress on E-gov diffusion, expansion, and maturity has been recorded in relatively poorer countries around the world (Accenture, 2001; InfoDev, 2004; UN Public Administration Programme, 2010). The foregoing insight and the revelation made in this research to suggest that the availability of wealth, per se, may not be a direct driver of E-gov maturity in LA&SSA is welcoming and serves to engender our overall understanding of the impact of such a factor. Singh et al. (2007) presented a similar viewpoint in their study. Thus, this current research is indicating that

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17 Drivers of E-government Maturity in Two Developing Regions: Focus on Latin America and SubSaharan Africa

wealth matters insofar as it helps to influence the other factors or indicators of E-gov maturity (Ifinedo, 2011; Ifinedo and Singh, 2011).

Regarding the supported hypotheses, the results obtained and the conclusions made hereafter are presented in the context of the data collected. Of note is the fact that this research's conceptualization does not imply causation in the model. That being said, where wealth is sufficiently available, the human capital development of such societies tends to be relatively higher as the data analysis has shown. The data confirmed the notion that economic resources are likely to be vitally important to governments and their citizens in their bids to acquire requisite technological products (e.g. hardware and software) to further enhance E-gov initiatives. As well, wealth and the transparency levels in countries are positively related; prior sociological and E-gov studies have denoted the existence of such a relationship (Maingot, 1994; Cho & Choi, 2004; Kovačić, 2005).

Consistent with the MT, richer countries in LA&SSA are more likely to have the capacity to develop their human capital, have an enabling technological capital and engender openness in their contexts; the foregoing resources go a long way in engendering social change and progress as represented, in this instance, by advancement in E-gov initiatives than counterparts lacking in such resources (McClelland, 1967; Goldthorpe et al., 1968; Barker, 2005). The data showed that higher pools of quality human capital resource have positive effects on E-gov maturity; this finding is consistent with the stated hypothesis. In that regard, the result may be indicating that such quality human resource perhaps may have a better understanding of how to deploy and use advanced E-gov features to better serve their well being.

Greater capabilities and knowledge can permit a better understanding and appreciation of advanced technological products like those present in websites with higher-end features. Prior research has shown that human capital development boded well for E-gov expansion (Norris, 2011; Wong & Welch, 2004; West, 2007). The data is suggesting that countries in LA&SSA with more technological amenities were the ones that had more favorable E-gov maturity scores. It is reasonable to believe that citizen engagement and empowerment through sophisticated technology-enhanced platforms can only thrive where the necessary, enabling physical infrastructure are available (Norris, 2001; Azad et al., 2010; Moon et al., 2005; West, 2007) Implications for Research This research presents some useful implications for research. First, it has attempted to answer the call for researchers to focus on E-gov development issues in emerging societies of the world, including LA&SSA so as to deepen our understanding of issues in such contexts. In that light, this endeavor’s presentation of perspectives from LA&SSA is a welcoming contribution to the literature. Second, it contributes to, and seeks to make a case for the applicability of the MT to E-gov research; the results obtained in this study lend support to the tenets in the MT. This research clearly articulates the relevance of the PEST analysis framework for investigating technological innovations across trans-national settings. Future researchers could draw from and expand on the foregoing theoretical underpinnings and concepts in discussing comparable issues.

Third, this study’s findings lend credence to views and observations that have tested the impacts of relevant environmental factors i.e. wealth, human capital, technological infrastructure, rule of law, and transparency levels on E-gov diffusion,

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development, and maturity in the literature (e.g. Moon, 2002; Wong & Welch, 2004; Katchanovski & La Porte, 2005; Moon et al., 2005; Kovačić, 2005; Singh et al., 2007; West, 2007; Azad et al., 2010; Ifinedo & Singh, 2011; Ifinedo, 2011). Accordingly, research, in general, benefits from such accumulation of knowledge.

Fourth, previous research on E-gov issues in LA&SSA has used a single nation or a few countries in their analysis. By using a panel data of 32 countries in LA&SSA, this current endeavor provides rich and robust insight that a cross-sectional data may not afford. Fifth, strong support for the mediating roles of technological infrastructure and human capital resource on E-gov maturity was established. The role of national wealth as a foundation or an enabler for enhancing progress vis-à-vis E-gov initiatives is underscored. Sixth, as this current research’s findings mirror those reported by Ifinedo and Singh (2011) in their investigation of the determinants of E-gov maturity in the transition economies of Central and Eastern Europe, it is postulated that the challenges to E-gov maturity compare in emerging regions of the world. Such insights could inform the development of a “macro-environmental model of E-gov maturity”, which other researchers could benefit from as they investigate similar themes in comparable regions of the world.

Implications for practice This study also offers implications for policy makers, international agencies, and public administrators. In light of economic resources being conceptualized as the bedrock upon which other relevant factors such as human and technological capitals could impact E-gov maturity, it is necessary for international agencies and policy makers to find ways of assisting countries lacking in such resources in order to improve E-gov initiatives in the regions. Governments in LA&SSA are alerted to the salient factors that could constitute possible drivers of E-gov progress in their contexts.

Accordingly, more attention may be placed on such noted factors to enhance their E-gov advancement.

This research argues that if wealth is properly marshaled toward improving the quality human development as well as procuring required technological infrastructure, it is likely that positive outcomes on the E-gov development front will ensue. Financial support from relevant sources may be called upon to accelerate investments in infrastructural acquisitions that relatively poorer nations may be lacking in order to improve their E-gov capabilities. Policy makers and governments in comparable regions of the world such as South East Asia and elsewhere may benefit from the information provided herein. Against the backdrop of this study’s findings, it may be advisable for LA&SSA’s governments that are serious about obtaining favorable E-gov maturity to benchmark their own policies and efforts against counterparts identified by international bodies as having favorable E-gov indicators.

LIMITATIONS AND DIRECTIONS FOR FUTURE STUDY There are some limitations in this research. The study relied on secondary data sources; as such, it is difficult to ascertain with certainty the reliability and validity of items used in composing the various measures. The dependant variable i.e. the E-gov maturity indicator largely used the assessment of efforts on governments’ websites; the

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19 Drivers of E-government Maturity in Two Developing Regions: Focus on Latin America and SubSaharan Africa

views of citizens are not represented. This might be limiting given that citizens’ perceptions and expectations of E-gov initiatives may be dissimilar from those of their governments’. The lack of an internationally recognized ‘E-gov maturity’ indicator may have its drawbacks. Some of the items we used had missing entries for some of the countries and some data were not up-to-date; these might have negatively impacted the data analysis.

In selecting the countries for the research, the UN Public Administration Programme's (2010) E-gov scores were used to guide the selection. Notwithstanding, selection bias cannot be ruled out. The amount variation in the dependent variable i.e.

52% explained by the macro-environmental factors suggest that other relevant factors such as cultural norms and values, political actors' actions, citizen awareness and resistance not included in this study could be relevant for the study. Future studies should endeavor to work with a more comprehensive framework that includes such factors. This study was limited to a five-year observation period; it is advised that as more data become available, a much longer observation period should be considered to enhance insight. More information as to the pertinence of political factors in E-gov discourse is needed. Other researchers could replicate this study in other comparable contexts such as the Middle East or South Asia. Accumulated body of knowledge on the possible determinants or drivers E-gov maturity is welcoming to theory development and consolidation.

CONCLUDING REMARKS This research utilized perspectives from the modernization theory (MT) and PEST analysis to guide the discourse of the factors impacting E-gov maturity in LA&SSA. This study used a panel data of 32 countries in the regions to provide insight.

The analyses showed that that resources (e.g. wealth, human capital, and the availability of technological infrastructure) do matter in accelerating a country’s the ability and willingness to advance its E-gov projects with features that promote citizens’ participation and engagements. The mediating roles of human capital and technological infrastructure are underscored in the research model. In general, the supported predictions in the research are congruent with findings in similar prior studies and serves to enhance our understanding of the factors that could be perpetuating the slow progress of E-gov initiatives across LA&SSA and other comparable parts of the world.

The unconfirmed hypotheses open up an opportunity for further investigations. The relevance of the study’s findings to researchers, policy makers, and governments are presented. The replication of this endeavor in other emerging societies of the world is advised; such an exercise will improve knowledge related to the factors impacting Egov progress (or lack thereof) in such contexts.

Acknowledgement The author is grateful to C. M. Ringle, S. Wende, and A.Will for the use of their software, SmartPLS 2.0. The author is grateful for the constructive comments and suggestions received from two anonymous reviewers of an earlier draft of this paper.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp.23-38 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100002

USING GROUNDED THEORY AS A METHOD FOR SYSTEM REQUIREMENTS ANALYSIS Mohanad Halaweh University of Dubai, Dubai, UAE _____________________________________________________________________________________

ABSTRACT Requirements analysis (RA) is a key phase in information systems (IS) development. During this phase, system analysts use different techniques and methods to elicit and structure the system’s requirements. The current paper rationalises the use of grounded theory (GT) as an alternative socio-technical approach to requirement analysis. It will establish theoretically that applying grounded theory procedures and techniques will support and add value to the analysis phase as it solves some problems of the existing traditional and socio-technical system design methods.

Furthermore, to validate this proposal, a case study applying GT on a real project will demonstrate its applicability and success for requirement analysis. Implications of its application are also discussed.

Keywords: Grounded theory; IS development; requirements analysis; requirements engineering.

1.

INTRODUCTION

Traditional requirement analysis methods have failed because systems developers focus mainly on the technical functions and constraints of the systems.

Therefore, it is widely recognised that the success of IS development involves appreciation of the social and organisational aspects besides the technical aspects (Clegg, 2000; Doherty & King, 2005; Madsen and Vidgen, 2009; Mumford, 1997; Reddy et al. 2003; Sabine and Vidgen, 2009), which leads to design systems that are more acceptable by end users. For this reason, a lot of research has advocated the use of socio-technical systems design methods (see, for example, Berg and Toussaint, 2003; Doherty and King, 2005; Eason, 2007; Sommerville and Dewsbury, 2007), which aim to give balance to social and technical issues when a new system is designed (Mumford, 2000). Baxter and Sommerville (2010) pointed out that failure to adopt socio-technical approaches to systems design can increase risks in which systems will not make contributions to the goals of the organisation. They mentioned that systems often meet the technical ‘requirements’, but are considered to be a ‘failure’ because they do not deliver the expected support for the real work in the organisation.

Several socio-technical system design approaches have been used such as soft systems methodology (Checkland, 1981), ethnographic workplace analysis (Martin and _____________________________________________________________________________________ Manuscript first received/Recebido em 29/09/2011 Manuscript accepted/Aprovado em: 12/03/2012 Address for correspondence / Endereço para correspondência Mohanad Halaweh, Dr. Assistant Professor, College of Information Technology, University of Dubai, Maktoum Road, Deira, P.O.Box: 14143, Dubai – UAE Tel. +971 4 2072647 , Fax. +971 4 22 42813, Email: mhalaweh@ud.ac.ae Published by/ Publicado por: TECSI FEA USP – 2012 All rights reserved.

24 Halaweh, M. Sommerville, 2004), contextual design (Beyer & Holtzblatt, 1999), cognitive work Analysis (Vicente, 1999) and Alterâ&#x20AC;&#x2122;s (2006) work system method. However, Baxter and Sommerville (2010) discussed several problems with the existing approaches to sociotechnical systems design. For example, they noted that adopting socio-technical approaches involves collaboration between different disciplines, which is accepted.

However, the problem is mainly related to failures in understanding and communication among development team members who are from different disciplines â&#x20AC;&#x201C; one discipline does not fully understand what the other disciplines can do. Dekker et al. (2003), for example, have argued that practitioners of ethnography and contextual design fail to deliver products that can be used by other development team members. That is to say, some of the work carried out by ethnographers and those involved in contextual inquiry do not go far enough because essentially it is concluded after data collation, rather than analysing data so that it can be ready to be used by others (e.g. designers and programmers). Another communication problem was also found by Al-Rawas and Easterbrook (1996). They stressed that there is a communication problem between enduser and the development team due to technical notations used. They found that endusers face difficulty understanding the notations used to model their requirements by designers and developers. In particular, when 35 developers were asked whether their clients found the notations they used readable, only four of them said that they were understandable to end-users. This is because end-users are unfamiliar with formal specification languages used to model their requirements and thus they cannot validate their requirements. Vijayan and Raju (2011) and Geisser and Hildenbrand (2006) also pointed out that most systems failure is due to the poor communication between users and analysts. Another problem with existing socio-technical methods is related to the level of abstraction (Baxter and Sommerville, 2010); the tendency by some to decompose the system into two separate systems: social and technical. The depth of analysis for each of the sub-systems is then given different emphasis, with the focus often falling on the technical aspects (Eason, 2001) or on the social. Hollnagel (1998), for example, criticises the work on socio-technical systems for over-emphasising the context and the organisational factors. Instead, the focus should be on the interaction between the social and technical systems. A third problem highlighted by Baxter and Sommerville (2010) is related to the fieldwork. They state that although socio-technical methods, such as contextual design, emphasise usersâ&#x20AC;&#x2122; involvement; they are fairly silent on issues such as how to identify the system stakeholders in the first place, which users to select and what level of experience in design they need. Because of all these problems, the current paper rationalises the use of grounded theory (GT) as an alternative socio-technical approach for requirement analysis. It will show how these problems can be alleviated and addressed when GT is applied to RA. The next section provides an overview of the grounded theory method, and the third section provides literature on the requirement analysis phase of IS development and presents the related work. The fourth section shows how grounded theory techniques and procedures can be rationally used for requirements analysis. The fifth section provides a case study for its application in a real project. Section six provides discussion and implications, and the final section presents the conclusion.

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25 Using Grounded Theory as Method for System Requirements Analysis

2. OVERVIEW OF GROUNDED THEORY Grounded theory has been intensively used in IS and software engineering research (Coleman and O’Connor, 2007; Georgieva1 and Allan, 2008; Hansen and Kautz, 2005; Linden and Cybulski, 2003; Sorrentino and Virili, 2005; Seidel and Recker, 2009). It is a “qualitative research method that uses a systematic set of procedures to develop an inductively derived grounded theory about a phenomenon” (Strauss and Corbin, 1990, p.24). It was originally developed by Glaser and Strauss in 1967. GT assumes that the researcher should set the literature and any predefined constructs aside when he enters the fieldwork and this procedure enables theory to emerge from the data gathered from that fieldwork.

Although different schools of thought concerning grounded theory have arisen from the subsequent disagreement between the originators themselves, the current paper does not discuss those, as they are beyond the research scope. The aim is to show how grounded theory can be applied to requirements analysis by utilising the concepts proposed by Strauss and Corbin’s approach. This section presents the essential concepts, techniques and procedures of grounded theory that will be used in requirements analysis by following Strauss and Corbin’s approach (Strauss and Corbin, 1990).

Theoretical Sampling: sampling in grounded theory is based on concepts shown to have theoretical relevance to the developing theory. It relates to the sampling of new data based on the analysis of that collected from the initial interviews, where the concepts that emerge constantly guide the researcher as to the nature of future data, their sources and the issues to be discussed in subsequent interviews in order to develop the categories. The initial questions for the fieldwork are based on concepts derived from literature, which provide the researcher with a starting point and a focus; later, the sampling becomes more in-depth. Strauss and Corbin explain that the sampling should focus on sampling incidents and not on persons – in other words, collecting data about what informants do in terms of action/interaction, condition and consequence of the action. The researcher continues this process until the theoretical base is saturated, at the point where no new data and ideas emerge regarding the developed concepts and categories.

Coding is the key process in grounded theory. It begins in the early stages after the first conducted interviews. Throughout the coding process, the researcher needs to be sensitive, which means being able to identify what data is significant and to assign it meaning. This sensitivity comes from experience, especially if the researcher is familiar with the subject under investigation. The literature review is another source of theoretical sensitivity, and also the expressions of the interviewees themselves, in particular, when they repeat the same phrases and concepts. The coding process comprises three steps: Open coding is “the process of breaking down, examining, comparing, conceptualizing and categorizing data” (Strauss and Corbin, 1990, p.61). Concepts and their proprieties and dimensions are identified from data transcribed by the researchers.

This can be achieved either line by line or by focusing on main ideas in sentences or paragraphs. Each code represents a word or sentence containing a meaningful idea, and a group of codes (two or more) forms a concept. A concept is an abstract representation of an event, object or action. In open coding, events, objects and actions are compared with others in terms of similarities and differences in order to give them, when similar,

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26 Halaweh, M. the same name. The name or label that is assigned to a category should be selected logically and usually represents the data and is related to it.

Axial coding is the process of reassembling data broken down through open coding. Essentially, it is the process of relating categories to subcategories. Categories are higher in level and more abstract than concepts, and are generated by a constant comparison of the similarities and differences between such concepts. This is done by using what is called the ‘paradigm model’, which enables the researcher to think systematically about the data and relate them to each other. This model addresses the relationships between the categories by considering the following aspects: causal conditions, phenomenon, context, intervening conditions, action/interaction and consequences.

Selective coding is the process of integrating and refining the theory. The first step in integration is identifying the central or core category that represents the main theme of the research/phenomena. It must appear repeatedly in the data. The central category acts as a master that pulls the other categories together to form an explanatory ‘whole picture’ by using the paradigm model. In this step, the categories are refined at a high level of abstraction. The integration is not dissimilar to axial coding except that it is done at a higher, more abstract level of analysis, and the subcategories are linked to the core category.

Constant comparative analysis: This is a continuous process of identifying conceptual categories and their properties emerging from data by a consistent comparison of data to each other.

Conceptualisation and abstraction: GT aims to develop theories and concepts that can be generalised and applied to other situations. The generalisability of the grounded theory is partly achieved through a process of abstraction by moving from a detailed description to a higher level of abstraction; the more abstract the concepts, the greater the theory applicability.

3. LITERATURE REVIEW System requirements are descriptions of the services provided by the system and its operational constraints. These represent the needs of customers for a system that is required to solve problems (Sommerville, 2006). The process of finding out, analysing, documenting and validating these services and constraints is called requirements engineering (RE) (Sommerville, 2006). Zave (1997) considers requirements engineering as a branch of software engineering, which is concerned with the real-world goals for, functions of, and constraints on software systems. Nuseibeh and Easterbrook (2000) pointed out that there is an important philosophical element in RE. More specifically, there are epistemological assumptions, since RE is concerned with interpreting and understanding stakeholder perceptions, concepts and goals; and ontological assumptions about the question of what can be agreed on as objectively true. They also stated that the context in which RE takes place is always a human activity system. Therefore, they referred to several social sciences such as cognitive psychology, anthropology, sociology and linguistics, which contribute to RA and provide practical techniques for eliciting and modeling requirements.

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27 Using Grounded Theory as Method for System Requirements Analysis

Sommerville (2006) highlighted that the term ‘requirement’ is not used by some in a consistent way; while some view requirement at a high-level – abstract statement of a service that the system should provide or a constraint on the system – others view it as a detailed formal definition of a system function. Hence, Sommerville distinguished between the terms ‘user requirements’ and ‘system requirements’. The first refers to the high-level abstract requirements, which are statements written in natural language plus diagrams, describing what services the system is expected to provide and the constraints in which it must operate. In comparison, system requirements refer to the detailed description of what the system should do. Furthermore, requirements can be classified into functional and non-functional. The functional requirements for a system describe what the system should do. When expressed as user requirements, they are usually described in an abstract way. However, functional system requirements describe the system function in detail, its inputs and outputs, and exceptions. In contrast, nonfunctional requirements are not directly concerned with specific functions delivered by the system, rather they relate to emergent system properties such as reliability, response time and user interfaces design aspects Sommerville (2006).

Two major methodologies have been used for system development: structured analysis and design and object-oriented analysis and design (OOAD). Requirements analysis involves two main activities that are achieved by the analyst: requirements determination/ elicitation and requirements structuring (Hoffer et al., 2011). Different techniques used for requirements determination include questionnaires, interviews, observation, documents and reports, as well as other modern techniques such as joint application development (JAD) and prototyping. Analysts also use different models to structure and represent the requirements such as data flow diagram (DFD) and entity relationship diagram (ERD). In the case of OOAD, the analyst uses object/class diagrams, use case diagrams and other models (Hoffer et al., 2011).

A lot of research in IS development and the software engineering field have used the grounded theory method, as there is a widely held belief that it is a reliable method by which to elicit systems and user requirements (Coleman and O’Connor, 2007; Georgieva1 and Allan, 2008; Hansen and Kautz, 2005; Linden and Cybulski, 2003; Seidel and Recker, 2009; Sorrentino and Virili, 2005). Galal-Edeen (2005) indicated that a requirement engineer who produces a statement of system requirements is, in reality, engaged in generating ‘grounded theories’. Grounded theory was originally developed and used in social sciences and was later adopted by other fields such as information systems and software engineering. One issue might arise from this inheritance to other fields (e.g. software engineering): can the grounded theory method be applied to requirements engineering by a systems analyst (SA) or a psychologist researcher (for example) to analyse requirements, supposing that he/she knows the business problem and questions? To answer this question, Carvalho et al. (2005) conducted empirical research in software engineering to generate a process model using the grounded theory method. The same gathered data were analysed by two researchers.

The first researcher is a psychologist with a limited background in software engineering, but with knowledge of qualitative research methods and experience in the use of grounded theory. The second researcher is a software engineer, with a solid background in software engineering and experience in process modelling. The resulting model produced by the psychologist, however, significantly differed from that produced by an experienced process engineer using the same data.

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28 Halaweh, M. One of the main differences in the models emphasises that modellers should not rely solely on qualitative methods to analyse process data, but rather on their experience of the research area and the technical aspects that appear in the gathered data. The psychologist was more likely to miss artifacts and activities. The notion here is that even when using qualitative research methods adopted from the social sciences, the SA should have theoretical sensitivity of the research/business problem in order to produce practical and relevant results. Chakraborty and Dehlinger (2009) state that there is a lack of systematic procedures within requirements engineering that enable the bridging between qualitative data and the final description of the system. In addition, they pointed that the focus has been on the representation of the system by UML models as an example. This leads to reduced traceability between source data (i.e., the requirements) and the final proposed models. Therefore, they proposed using grounded theory in requirements engineering to alleviate this deficiency. They provided a demonstration of how the grounded theory method can be used to interpret the requirements for an enterprise system by applying the grounded theory coding process to an illustrative example (university support system). Although the illustration was useful, Chakraborty and Dehlinger (2009) did not show how elements of grounded theory (such as theoretical sampling, theoretical sensitivity, data saturation and constant comparative analysis) can be operationalised and applied to requirement analysis, and what is the added value of its application in this context as an alternative approach to the existing requirements analysis methods. The current research takes further steps to reveal technically how the concepts of GT support the requirements analysis process. It also emphasises the point that applying GT will aid in solving some problems of the existing requirement analysis methods discussed in the introduction, such as poor communication between the end user and the development team. This is because the latter use formal notations and modelling, which make it difficult to validate and review the requirements end user. There is also, besides other problems discussed in the introduction, a lack of communication and understanding between the development team members as it is not clear how the outcomes produced by the requirement gathering team can be used by others like designers and programmers.

4. REQUIREMENT ANALYSIS USING GROUNDED THEORY Figure 1 illustrates how grounded theory elements can be used as a technique for requirement analysis. As shown in this figure, the SA starts with a perception that there is a business problem or receipt of a request for proposal to modify the current system.

The analyst starts without any pre-assumed functions or components of the required system. In fact, this is essential, as information systems probably fail because system analysts and developers assume that the requested system is similar to those already developed by them and for which they know the requirements. However, by using GT, the analysts can listen to users and remain open to accepting new and unique requirements. This is the characteristic of GT that guides an SA to start without any predefined requirements, as each system has a certain specialty. Then, the analyst interacts with the stakeholders to determine what they would like in the new system.

Sampling in GT is purposive, which means that the stakeholders are selected based on their relevance and experience with the systems being developed. Recognising the right users assists the analyst in identifying the right systems requirements. This also conforms to the concept of a user-centred design, in that the analyst does not force his or her predefined requirements. Requirements are collected principally from interviews,

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29 Using Grounded Theory as Method for System Requirements Analysis

but possibly also from documents, observations and reports. Analysts gather the initial requirements from the first user and the gathered requirements guide him or her to discuss them with the second user, third user and so on. Perhaps after that, the analyst will return to the first user to solicit feedback regarding his or her systems’ needs, as it is an iterative process.

In fieldwork, the interplay between data collection and analysis is processed simultaneously by identifying the requirements emerging from the first interviews, so that they become more specified as time progresses, since the SA validates them with the next users. At the same time, theoretical sensitivity and sampling and constant comparison between requirements (functions, processes, objects and attributes are compared with others in terms of similarities and differences in order to group similar ones together, assign a name to them and eliminate repeated ones) are taken into account, finally resulting in the data becoming saturated. The concept of data saturation also applies to RA in that the analyst continues the process of gathering data and comparing this with other data until they become saturated and no further unique ideas can be elicited. Requirements can be initially collected from a small number of stakeholders (for example five). Then, if data collected from participants number six and seven are repeated and do not include any new ideas, then the requirements gathering stop here and it can be said that the requirements are saturated. Repeating the same data during data collection guides the analyst that this requirement (function, constraint) is a priority for the system.

Business Problem

-Theoretical Sampling -Theoretical Sensitivity -Constant Comparative Analysis -Data saturation

Apply

Data collection by Interview Focus groups Observation Documents & reports

Apply Data (requirements) Outputs in RA

Outputs in GT

Object, Function, Process, Attribute

Coding Process: Open Coding

Codes, Concepts, categories

“is a”, “ has”, “include”, “extend”

Axial Coding

Relationships between categories

Class, Super Class, Subclasses, Super entity Type

Selective Coding

Core categories (high level), subcategories

Saturated

Saturated

Not saturated Class, DFD, ER diagrams Analyst-developers communication

Not saturated Informal Model Analyst-user communication

Figure 1. Using grounded theory concepts in requirement analysis

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30 Halaweh, M.

A systematic process of coding begins once the requirements have been gathered.

The analysts continue to apply a constant comparative by comparing concepts that have common attributes and combining them to generate a category. This category can be a class in OOAD or a super entity type in ERD. As much as the analyst conceptualises at a higher level, he or she can generate superclasses, for example, in OOAD. The outcomes from each coding step are shown in Figure 1: codes and concepts, categories and relationships between them and categories and associated subcategories. These, ultimately, form the informal model. The corresponding outcomes in RA are shown in Figure 1. In open coding, the outcomes could be a list of functions, processes, entities, objects, attributes and classes. The outcome from axial coding is the association between classes (e.g., "is a") or association relationship between entities. The outcome of the selective coding is a refinement of the classes and entities found in open coding to a higher level, which includes super entities, superclasses and related subclasses, and the generalisation/specialisation relationships between them. The resulting categories and relationships (equivalent outcomes in RA such as classes and super classes) may not end up being fully saturated. Consequently, a second round of data collection and analysis is initiated, which leads to the developments of a new version of the model.

In qualitative research, in particular, grounded theory, the researcher is part of the research problem and is not independent. Hence, in this case, the analyst is part of the process and participates if something is missing from the user. Consequently, the role of the analyst is to complete the system requirements, as users may not always provide all of the requirements or may not focus on non-functional requirements such as performance and security, thus requiring interference from the analyst. However, this interference should come at the final stages after the users reveal all of their needs.

The resulting model from grounded theory is informal; this means that no standard notation or rules exist for drawing this model, as is the case in the ERD and DFD model (see an example of informal models in IS research-applied GT: Carvalho et al. 2005; Coleman and R. Oâ&#x20AC;&#x2122;Connor, 2007; Georgieva and Allan, 2008). Informal models are used throughout all communication between the SA and the end user, which are based on simple language and representation understood by the end user. On the other hand, the equivalent model in RA such as UML models (e.g., class diagram) is easily created from the informal models and used in communication between the analyst and developers. Table 1 shows the possible outcomes from the grounded theory and the equivalent elements in OOAD (e.g., class/object, use case diagrams), ERD and DFD.

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31 Using Grounded Theory as Method for System Requirements Analysis

Table 1. Outcome from grounded theory and the equivalent elements in OOAD, ERD and DFD Grounded Theory

OOAD

ERD

DFD

Codes (event, action, object,) concept

Object, use case, method

Entity/Entity type

Process, data store, data flow

Group of concepts (category)

Class

Entity type

Group categories upper/general category

Super Class

Super entity type

Relationships between categories and sub-categories (Consequences, causal conditions, action/interaction, intervening conditions)

“is a” “has” “include” “extend”

Verbs represents the association between entities

Context (properties)

Attribute

Attribute

Conceptualisation

Specialisation/ Generalisation

Specialisation/ Generalisation

DFD decomposing into subprocess

Data

Requirements

Requirements

Requirements

Theory/informal model

Object/class model

Data model

Process model

5. CASE STUDY In this section a case study is provided to prove that the GT theoretical concepts can be applied to RA. The case study is a real project aimed at developing a platform for serving a community of practice (CoP) for researchers in UAE. Communities of practice are groups of people who share a concern or knowledge or a passion for something they do and learn how to do it better as they interact regularly (Wenger, 1998). Many CoP platforms have been developed for people who have common interest in several domains such as healthcare, education, business and others. However, there is lack of CoP platforms for researchers. This project aimed to achieve that. The reason for developing a specialised CoP platform for researchers is that obviously each domain has its particular activities. For example, a group of researchers have interests and activities which are different from a group of professional physicians.

A total of seven semi-structured interviews were conducted with professors from two UAE universities, of mixed gender, active in business and IT research fields and aged between 30 and 50 years old. Based on the literature review on CoP domain, a set of questions were formulated which are open in nature. However, the current research did not rely solely on these questions; other issues and ideas which emerged during the interview were also considered. This approach was to enable the participants to reveal their needs freely without any direction. Collected data were analysed, which resulted in the informal model depicted in Figure 2 (see Halaweh et al., 2011, for more details).

The oval shape represents the category and the highlighted oval shape represents the core category. Boxes represent sub-categories, a line between categories, and sub-

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32 Halaweh, M. categories represents relationships which can be “association” or “consist of” or “has” relationship. The figure shows seven main categories. Additionally, it was found that collaboration is the core category as revealed by the data analysis. It represents the key need of the CoP researchers within UAE. This category includes three sub-categories: content management, communication and debating. Content management has also three sub-categories.

In grounded theory every piece of data gathered is coded. Each code represents a significant meaning. The code represents an object or action or process or concept, and similar and related codes can be refined and combined to form a category. For example, when one of the stakeholders was asked how he would like to participate in the activities of a community of practice (CoPs), he stated: Sharing research paper with others, like if one of the Faculty found a good paper he can post it and comment on it, and there could be a part to summarise the paper to save our time on reading, so when you access to the paper you will find the summary there.

There is a tool called delicious to share links, you can favorite your best links then you can share them, also instead of sharing the links locally you can share them within the Internet and you can create a category of links.

Reference Management

Cross Search

Tracking 1.COP Members 2. Statistics

COP Member Orientation

1. COP Members 2. References

3. Activities

3. Content

4. Loggings

4.News

1. Help/Tutorial Customisation

2. Guidelines 3. Etiquette & Ethics

CoP Researchers Needs

1. Language 2. Styling

Awareness/ Notification

Debating 1. Notice Board 2. Popup Massages

Collaboration

1. Forums

3. RSS Subscription/Broadcasting 2. Discussion Room 3. Blog Content Archiving

1. Document 2. Multimedia 3. References

Content Management Content Sharing

Content Creation 1. Document

1. Instant Messaging 2. Video Conferencing

1. Document

2. Multimedia 3. References

Communication

3.Email

2. Multimedia 3. References

Figure 2. Informal Model of features (categories) of CoP for researchers From the above short quote, significant keywords were highlighted through underlining, which represents a certain code (object, action). It may be elicited from this excerpt that sharing (i.e. action) is the main function that the participant needs to have in

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33 Using Grounded Theory as Method for System Requirements Analysis

CoP. Furthermore, he specified two types of sharing including links and research papers (i.e. objects). Throughout this process and continuous comparative analysis between codes obtained from other interviews, it appeared that there were similarities in some codes, which were later grouped together under one category. Data revealed by earlier participants were investigated by the next participants so they were constantly compared with other data to validate the requirements. For example, other participants referred to sharing multimedia objects as one of the activities that they would like to see in the CoP, so the current researcher formed a category and named it ‘Content’, which has three different types: document (mentioned as research paper in the above excerpt), multimedia and links (URL references). The researcher continued this process until all possible codes and categories were identified, and this resulted in the open coding stage being completed. Figure 2 shows all these categories in an informal model.

As mentioned before, the outputs of GT can be translated into RA outputs. Figure 3 shows how part of the informal model is converted into a class diagram. For example, the categories – collaboration, content, communication and debating (from Figure 2) – are labelled as classes in Figure 3. As an example, the class “Content” has attributes and functions. One of the functions is “share ()” and this was revealed by the data shown in the above excerpt (e.g. sharing research paper, share links).

The next stage in GT is axial coding, where relationships between categories are identified. For example, there is a relationship between collaboration and content, that is, any collaboration involves content. This relationship can be represented as association in the class diagram as shown in figure 3. Another example of relationships is between the class “Content” and the sub-classes document, multimedia and links. As shown in Figure 3, there is inheritance/generalisation relationship between the super class “Content” and the sub-classes: document, multimedia and links. The sub-classes inherit the functions (for example, the function share ()) and attributes of the super classes. Finally, in the selective coding, the researcher elicited the core category that was mentioned frequently by the stakeholders, whether this was implicitly or explicitly, which also represents the main function/service of the CoP. It was found that the core category is collaboration and this was represented as super class in the class diagram.

The full class diagram obtained from the informal model can be used later by programmers.

Figure 3. Class diagram translated from the GT informal model

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34 Halaweh, M.

6. DISCUSSION AND IMPLICATIONS Based on the application of GT in the project, it was found that there are strengths of using GT as a technique for requirements analysis.

Firstly, GT will assist the analyst in identifying the non-technical aspects associated with developing the system. The reason is that the nature of GT is used to understand the organisational and social phenomena. This may not be considered by analysts who do not apply GT as they focus rather only on the technical systems requirements. Analysts can advise the decision-makers and management about any potential problems associated with introducing the system. This may also help to specify appropriate system features and functions, installation and training policy. In addition, this can guide the development team to design a system that can overcome some of the social and organisational problems. The use of GT in this project revealed some social and cultural issues, which are relevant particularly to the UAE context such as language, weather and gender isolation in education. Some of the participants needed to have an option to change the platform language to Arabic. This is applied to the platform menus and interfaces, the created contents and the search options. However, because this issue can be added as a feature to the platform, it was represented in the informal model (under the Customisation category). However, there are other issues which are not provided by the systems as a service or feature. For example, the weather of UAE is very hot especially in the summer when the temperature sometimes reaches 50oC. The weather and geographical position of UAE make the mobility of people difficult during the summer time. This motivates participants to have a platform that enables them to collaborate online without the need to meet face to face. In addition, some participants argued that there is a justifiable need for CoP of researchers in UAE for gender mix constraint. The UAE governmental educational system segregates students based on gender at universities and this also requires isolating professors.

Females cannot easily meet males face to face for religious and cultural reasons.

Therefore, this limits the research collaboration and discussion. As highlighted earlier, the use of existing traditional socio-technical design methods sometimes falters because of the tendency to focus the in-depth analysis on each of the sub-systems separately, namely the technical aspects of the system or on the social systems. However, in grounded theory all data gathered are coded and treated equally when analysed without separation into technical or social aspects; the pieces of data are constantly compared with each other. Therefore, the resulting informal model is considered a socio-technical model; neither solely focusing on the context, nor purely technical. It is worth mentioning that one of the resulting categories from the gathered data related to the social aspects is not represented in the informal model as it is not a service provided by the system that needs to be validated by the user or used by another development team.

The category includes contextual and cultural issues which are relevant particularly to the UAE context as mentioned before such as weather and gender isolation in education.

Secondly, the resulting informal model from GT can be used as a communication tool between the stakeholders and the analyst (or development team) to validate the requirements which solve the problem found earlier related to difficulty understanding the formal models and notations by the end user. The real world represented by the informal model is closer to the end users, and they like visualisation as it gives a picture about the system components and boundaries. At the same time, it is not a formal

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35 Using Grounded Theory as Method for System Requirements Analysis

analysis model (e.g. class diagram, DFD and ERD), which may require some effort from the end user to understand its notation and rules.

Thirdly, another improvement that GT made to RA is that the transition from the elicited requirements to formal models is clear according to grounded theory as shown in the previous section. Analysts will find it easy to convert the resulting model of GT into formal models such as a class diagram as shown in Figure 3 and thus produce useful output for designers and programmers. The GT model works as an intermediary medium to facilitate moving from a large amount of detailed data to standard analysis models. This solves the problem that was mentioned before (Baxter and Sommerville, 2010) in that practitioners of ethnography and contextual design fail to deliver products that can be used by others because they essentially stop after collecting data.

Next, following the GT procedures will assist in gathering complete requirements, and building a system based on user requests, which, ultimately satisfies the users’ needs. GT supports the concept of a user-centred design, as the requirements are userbased driven, and no predefined requirements are forced. Furthermore, the core category(s) assists the analyst in specifying the functional requirements. The core category represents data that is repeated many times, which refers to the main system needs. It also represents an agreement on indispensable functions, those without which the system would be incomplete. In the current case study, the core category was “collaboration”, which is the central point of CoP purpose, namely collaboration between a group of researchers who have the same interests. In addition, applying the conceptualisation technique by moving from the descriptive details to more abstract concepts assists in defining the super and sub classes in class diagrams, for example. GT also guides the analyst based on theoretical sampling, in order to identify initial participants based on their relevance and experience with regard to the systems being developed. The data, moreover, collected from those participants guide the search for other requirements. In other words, the identified preliminary requirements specify whom to interview next and what requirements to look for. Participants are not selected randomly, rather there is more focus on the actual users who will benefit from and interact with the system. Also, data are continuously gathered until saturated, meaning no new ideas can emerge, or data are repeated frequently. Data saturation will assist the analyst in deciding when to stop gathering requirements or direct him to identify new sources of data if there is repetition in the data. All these issues were not clearly specified by the current socio-technical methods as mentioned before.

Although there are several advantages of using grounded theory for requirement analysis, there are some shortages. More specifically, based on the current project, using GT did not help to find much technical – low level – detailed functions of the CoP platform. The resulting categories form high level abstraction functions of CoP platform, which can be labelled as user requirements not system requirements as pointed out by Sommerville (2006).

7. CONCLUSION This research provided a proposal for using GT as an alternative technique for requirements analysis. It demonstrated through a case study the application of grounded theory procedures and techniques in an exemplary project. Although the current paper has presented logical justification for its use, and provided real example for its application, there is the possibility of failing to determine the technically detailed

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36 Halaweh, M. functions. Nonetheless, GT can be used as supportive technique to improve the communication between the analyst and the user, to improve communication between the development team members as it is easy to transform the informal models of GT into standard models, thus improving the communication between analyst and developers. It can also be used as a socio-technical technique for requirements analysis, in order to understand better usersâ&#x20AC;&#x2122; needs and to address the nontechnical issues related to information systems development.

One of the limitations of this research is that the current application of GT to RA did not produce low level technical functions of the system. Other future examples of application GT in different types of systems might succeed in producing low technical detailed functions.

This paper demonstrated through example how the outputs of GT can be translated into a class diagram. Future research might also provide evidence for the translation of GT outputs into other types of models such as ERD and DFD.

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38 Halaweh, M. Engineering, 5, 125-133.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp.39-60 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100003

MANAGEMENT MODEL FOR THE DEVELOPMENT OF SOFTWARE APPLIED TO BUSINESS SUSTAINABILITY IN THE CONTEXT OF GLOBAL CLIMATE CHANGES Takeshy Tachizawa Hamilton Pozo FACCAMP – Instituto de Ensino Campo Limpo Paulista, Sao Paulo, Brazil _____________________________________________________________________________________

ABSTRACT This article introduces a social and environmental management model based on the results of an empirical study that was conducted using the grounded theory method. It outlines a social and environmental mapping of the different economic segments of the Brazilian business universe to support decisions that are inherent to the sustainable management of the supply chain of organizations in terms of clean development mechanisms. It is in this context that the concept is included for the architecture of software and a model of social and environmental balance to track the demands for carbon credit required by an organization in the scenario of its business and that of the national economy.

Keywords: software for tracking social and environmental liability; architecture of sustainability data; clean development mechanism (CDM); Certified Emission Reductions (CER); social accountability balance.

1. INTRODUCTION The present study stemmed from the finding that organizations in the new business context share the understanding that there should be a common goal rather than a conflict between economic development and social and environmental responsibility, both in the present and for future generations. These converging pathways in the current scenario of global climate change are very colorfully dramatized.

The world of the present decade has indeed been affected by a planetary economy with scarce oil supplies and restrictions on greenhouse gas emissions. Facing these conditions usually means huge investments, especially in terms of the inevitable global climate changes. It is possible that the human population could reach as high as _____________________________________________________________________________________ Manuscript first received/Recebido em 10/01/2011 Manuscript accepted/Aprovado em: 10/06/2011 Address for correspondence / Endereço para correspondência Takeshy Tachizawa, Doutorado pela FGV. Professor da FACCAMP – Instituto de Ensino Campo Limpo Paulista, Pesquisador do Programa de Mestrado Profissional em Administração - Rua Guatemala 167 – Telefax (11) 4812-9400, CEP 13231 – 230 Campo Limpo Paulista – SP. Brazil, E-mail: usptakes@uol.com.br Hamilton Pozo, PhD pela University of California, FACCAMP – Instituto de Ensino Campo Limpo Paulista, Pesquisador do Programa de Mestrado Profissional em Administração - Rua Guatemala 167 – Telefax (11) 4812-9400, CEP 13231 – 230 Campo Limpo Paulista – SP. Brazil, E-mail: hprbrazil@hotmail.com Published by/ Publicado por: TECSI FEA USP – 2012 All rights reserved.

40 Tachizawa, T., Pozo, .H., nine billion in the coming decade. It took quarter of a million years to reach the one billion mark, rising to two billion in 1927, four billion in 1974 and six billion in 1986.

This context leads to changes in the behavior of consumers and the clients of organizations. This world, more densely populated and demographically unequal, will see significant traumas in the social and economic pyramid. Classes A and B may shrink while classes C and D grow, provoking changes in consumption and acquisition of goods produced by companies.

It is in this context that developing countries that are capable of implementing clean development mechanisms (CDM), such as Brazil, can make a contribution towards sustainability by reducing greenhouse gas emissions. In this scenario of sustainability, greater institutional interaction between government and the business community emerges due to the current climate changes. Given the new demands for ecological products that do not cause pollution, organizations from different economic sectors have to establish partnerships in joint projects throughout interconnected and sustainable supply chains (Tachizawa, 2011). The development of companies will also be heavily influenced by pressure from non-governmental organizations (NGOs), pressing them towards a future of sustainable development. To face this challenge, business organizations will be induced to rethink their operations. They will have to consider new strategies due to changing consumer behavior, partnerships with different government spheres, partnerships with other companies in the same business sector, joint action with NGOs, changes in how business organizations interact and communicate with the community and define strategies according to the characteristics of the economic sector in which they operate.

They must also consider the more rational and sustainable use of resources, which can now be expressed in tangible values by calculating a reduction in the emission of greenhouse gases. This calculation of unreleased or reduced amounts of gases has now become a commodity in the form of Certified Emission Reductions (CER), which can be directly traded between companies or as bonds traded on the market. In line with this scenario, the Human Development Index (HDI) was created by the United Nations Development Program (UNDP, 2008) for the purpose of challenging the narrow economic definitions of progress of which the GDP is composed. In addition to economic indicators, it includes social indicators and literacy statistics, life expectancy and buying power. The HDI has therefore become an important instrument for measuring living conditions, not only of countries, but also of smaller segments such as states, districts and towns.

It was in this context of the HDI that the idea arose to also include in the present article the use of clean development mechanisms (CDM) by Brazilian companies. The various economic operations of organizations were researched and related to their sustainability strategies. As a result of this analysis, a methodology was established for the social and environmental diagnosis and implementation of CDM, with a different focus for each type of organization in the Brazilian business sector. The reasons that justify its use as an instrument of management by companies are not only the result of compliance with current legislation, but mainly because of the possibility of directing decisions concerning sustainability so that they may converge with corporate goals.

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41 Management model for the development of software applied to business sustainability in the context of global climate changes

2. THEORETICAL FOUNDATIONS Problems such as famine, pollution, corruption, lack of ethics and environmental degradation have filled the pages of human history since the first cities were built in ancient times. To Henderson (2001), these problems have grown since the early nineteenth century as a result of changes in the scale of human values stemming from the Industrial Revolution. These changes, which are an essence of human history, have evolved into modern times as social responsibility.

This, in turn, can be understood as the form of management defined by the ethical and transparent relationship of a company with the general public and by the establishment of business goals that are compatible with the sustainable development of society. These goals should preserve environmental and cultural resources and respect diversity, while encouraging less social inequality (ETHOS, 2007). In this scenario the question of climate change and its major representative, the Intergovernmental Panel on Climate Change (IPCC, 1988) emerge. This institution was founded in 1988 by the United Nations Environment Program (UNEP) to provide the relevant scientific, technical and socio-economic information to help people understand climate changes, their potential impacts and the options to adapt to and mitigate them. It is an intergovernmental body that is open to the member countries of UNEP and the World Meteorological Organization (WMO).

Accordingly, at the national level, the Ministry of Science and Technology and the Ministry of the Environment set up the Brazilian Panel for Climate Changes. Along the same lines as the IPCC, this Brazilian initiative will bring together 300 renowned scientists and researchers from a number of important institutions such as the National Institute for Spatial Studies (INPE), EMBRAPA and universities. Known as the Brazilian IPCC, the panel intends to compile and analyze all Brazilian scientific production concerning a wide range of data on climate change in the country. The plan is to produce a report similar to that of the IPCC at the UN, but exclusively dedicated to the phenomenon in Brazil.

Indeed, the world scenario is stigmatized by a global economy with scarce oil resources, restrictions on greenhouse gases and huge demands for investments to deal with the impacts of climate changes. Developing countries can implement CDM projects that would make a contribution to global sustainability. This would result in a significant reduction and capture of greenhouse gases, which would lead to Certified Emission Reductions.

One of the main characteristics of these transition periods is the change in the concept â&#x20AC;&#x153;of what is important, what has value, the goals to be achieved and the means of measuring (indicators) the collective progress towards achieving these goalsâ&#x20AC;?

(Henderson, 2001).

According to the Organization for Economic Co-operation and Development (OECD, 1993), an indicator should be understood as a parameter or value derived from a parameter that provides information about the state of a phenomenon that has farreaching effects.

Therefore, the use of indicators that use the concept of sustainable development has become an international reference in the debate on development, showing above all

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42 Tachizawa, T., Pozo, .H., that increasing wealth is not always a sign of improved quality of life for the public at large.

Countries with high per capita incomes can have low development indicators, and vice versa.

The United Nations Commission on Sustainable Development in 1996 published a document entitled Indicators of Sustainable Development: Framework and Methodology, generally known as the Blue Book. This work introduced a set of 134 economic, social and environmental indicators (IBGE, 2004). ETHOS (2007) presents requirements for the use of indicators when the focus is sustainable development, in terms of measurability, availability of data, method of constructing metrics, monitoring, economic viability, commitment and legitimization by decision makers.

This context includes the ISO 9000 for quality and the ISO 14000 for the environment (Tachizawa, 2011), forms of social certification implemented in the United States and later on in Brazil, attesting to the fact that an organization, in addition to following correct internal procedures, it also engages in non-profit activities.

The OECD recommends that both public and private organizations should adopt principles that make their actions transparent. Social balance, as a tool that has so far been used little by organizations, is part of this transparency and freedom of information. However, the number of publications is growing every year (Raynard; Forstarter, 2002).

The Ethos Institute for Business and Social Responsibility (ETHOS, 2007) suggests a pattern of social balance, outlining the impacts of the company’s activities on the society and showing its relationship with different audiences. This model also includes presenting the report as suggested by the Brazilian Institute of Social and Economic Analyses (IBASE, 2007), and constitutes an alternative for presenting its business activities through social balance.

The São Paulo Stock Exchange (Tachizawa, 2011), due to growing interest of investors to move to the so-called “green” portfolios and to meet the demand of banks, pension funds and resource managers, organized a social responsibility and sustainability index (the ISE, Business Sustainability Index) based on the Dow Jones Sustainability Indexes of the New York Stock Exchange (DJ-SI). The commitment to sustainability by the interested public redirects power into the hands of the buyer. In many economic sectors, the purchase market exists only because there are more competitors and a surplus or excess of supply. Buyers are learning to use this new power.

Accordingly, it has become of fundamental importance to perfect the storage and retrieval of information, which is the reason why Draper and Dunlop (2002) sought to develop methods of identifying and accessing information in companies that users deemed useful at the strategic level. In this scenario, understanding the need for information in an organization constitutes a dominant theme in the business community.

The present study was motivated by the existence of a gap in what managers need in terms of sustainability and what happens in day-to-day operations. The aim of this study is to analyze the concept of a database containing a collection of similar records and the relationships they have with one another to enable businessmen to include the social and environmental aspect in the management processes of their organizations

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43 Management model for the development of software applied to business sustainability in the context of global climate changes

3. RESEARCH METHODOLOGY The empirical research data gathered throughout 2009 and obtained according to an inductive perspective formed the basis of this study. In this study, the grounded theory method (Glaser; Strauss, 1967) was employed. This is a mode of qualitative research that seeks to generate new theories through concepts, categories and properties.

The emphasis of grounded theory is on learning from data (interactive and conductive) generated by empirical research rather than from an existing (deductive) theoretical vision. Furthermore, the conceptual basis originating from the theoretical reasoning was used (see Topic 2). The major difference between grounded theory and other qualitative research methods is its specific focus on the development of a theory through a continuous interdependence between data collection and analysis. It is a method that provides a methodological structure that is frequently missing from other qualitative approaches without sacrificing its flexibility or scientific rigor. The grounded theory was developed for research into social sciences, stressing the inductive discovery of theories from systematically analyzed data. Other authors have developed and debated the method (Glaser; Holton, 2004; Strauss; Corbin, 1997) reaffirming that: (a) the main proposal of the method is the construction of theory and not only the coding and analysis of data; (b) as a general rule, the researcher should not define a conceptual framework that precedes the beginning of his research as a premise to ensure that the concepts may emerge without pre-defined conceptual bias; (c) the analysis and concept are obtained through constant data collection and comparison, in which every item of data is compared with existing constructs with a view to enriching an existing category, form a new one or establish new points of relationship between categories.

The universe of this study is a set of major organizations in the industrial, commercial and services sector that operate nationwide (Revista Exame, 2010). Data collection took place in the form of an electronic questionnaire forwarded to executives of the 1,150 biggest Brazilian companies as listed by the Melhores e Maiores (Biggest and Best) list of Exame Magazine (2010). To supplement the responses to the questionnaires, information was obtained from the corporate websites of the companies included in the research sample.

Responses from 458 companies out of the total of 1,150 were included in the study, the results of which are given in the Social Balance topic, and sustainability reports were accessed on the websites of the companies included in the sample for further analysis. Specific information obtained from the websites of ETHOS, IBASE, BOVESPA, IBGC, Revista Exame, Ă&#x2030;poca and specialized business publications was also included. This information helped to develop the conceptual architecture of the system.

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44 Tachizawa, T., Pozo, .H.,

4.

RESULT

For the conception of the architecture of social and environmental data, the study sought to analyze the responses of the 458 companies that answered the questionnaires (42% of the 1,150 previously selected companies), making it possible to understand the level of sustainability of organizations in the national economy.

Through the questionnaire and access to the company websites, data were obtained concerning the companies’ sectors, which were predominantly industrial. The primary data showed that 65.7% of all the companies in the sample are industrial, followed by the service sector at 21.6% and commercial companies making up the remaining 12.7% of the total.

To understand methodologically the proposal for the classification of organizations in terms of sustainability, a simple classification was considered at the outset (industrial, commercial and service organizations), with a more complete typology of organizations being adopted later, interlinked among themselves in the Brazilian business environment.

Organizations were considered industrial companies if they worked with steel, cement, paper and cellulose, operated in the metal and mechanical sector, metallurgy, the automotive sector and similar sectors (durable and consumer goods). They are companies that take inputs (raw materials in general) and transform them into finished products. Service providers are those that provide financial services (banks, finance companies, stockbrokers and insurance companies), engineering, publicity and advertising, hospitals, hotels and related companies. Commercial companies are those in wholesale and retail (stores, distributers and similar companies). Another factor included in the research had to do with a company’s focus on sustainability, the data shown in Table 1.

Table 1. Social and environmental actions measured in the study INDUSTRIAL

COMMERCIAL

44,7%

29,5%

11,9%

75,8%

43,1%

Health

37,8%

22,3%

35,4%

Community action

44,3%

31,1%

49,8%

DESCRIPTION Education

SERVICES 36,4%

Environment

Source: data obtained from empirical research

The responses showed a preponderance of actions to protect the environment by industrial companies (75.8%). The other companies, services (11.9%) and commercial (43.1%), placed less emphasis on the environment. Other social and community actions (volunteering, culture, safety, social inclusion, people with special needs, children and teenagers, senior citizens and animal protection) were quite evenly spread, with slightly more emphasis on the part of the commercial and service sectors.

In other words, “social and environmental demands and effects” vary depending on the sector to which a company belongs (see Table 2).

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45 Management model for the development of software applied to business sustainability in the context of global climate changes

Table 2. Environmental management practices social and environmental practices

Services

Industry

Trade

a) recycling of waste

low

high

media

b) waste disposal

null

high

low

c) control of waste and vibration

null

high

low

d) reducing the use of raw materials

low

high

average

e) energy conservation

null

high

average

f) recovery and recycling of liquid discharges

high

average

average media

high

average media

average

low

g) requirement for suppliers and distributors with low environmental preservation procedures h) water conservation high Source: data obtained from empirical research

In the evaluation of future stages of social and environmental management, as shown in Table 3, the companies emphasize the improvement of management practices and increased investments, including in CDM. Table 3. Goals and expectations of social and environmental management Description of the factors analyzed

Services

Industry

Trade

a) monitoring of environmental management

low

very high

average

b) increasing investments in environmental management

null

high

low

c) environmental auditing practices

null

high

low

d) use the results of environmental management and institutional marketing strategy low

very high

average

e) preparation of environmental labeling

null

high

average

low

high

low

the

organization

to

achieve

f) adoption of clean development mechanism, CDM Source: data obtained from empirical research

Investments for the coming years in technology to reduce noise losses and waste were the most emphasized, as shown in Table 4. The organizations under study in the Brazilian business universe were grouped into types: service, industry and commerce, in accordance with their affinity with the factors that were researched. This focus showed that in the services sector, organizations can have a â&#x20AC;&#x153;nullâ&#x20AC;? impact on the environment.

These organizations, when scrutinized closely, reveal that through bank loans they may have participated in the degradation of the environment. For instance, if the loans are authorized for organizations in the agribusiness segment and the contracts do not include criteria for sustainability.

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46 Tachizawa, T., Pozo, .H., Table 4. Future investments in social and environmental management Requirements and social effects

Services

Industry

Trade

a) procedures for reduction of losses and waste

low

high

media

b) procedures for noise reduction

null

high

low

c) industrial solid waste disposal

null

high

low

d) energy conservation

low

very high

media

e) treatment and monitoring of liquid effluents

null

high

media

f) training of manpower

high

media

media

g) monitoring of effluent gases and related gases?

low

high

media

h) optimization of design, product and packaging

high

media

low

i) adoption of clean development mechanism, CDM

low

high

low

Source: data obtained from empirical research

For this reason, these consolidated (passive social and environmental) factors show that the companies in the sample adopt, to a greater or lesser extent (depending on their size and line of business), procedures that are inherent to social and environmental management, such as: a) reducing the amount of raw materials required for manufacturing products or substituting the source of energy to reduce pollution levels; b) reducing the use of energy (conservation) required to manufacture products and reducing the amount of water (by conservation, recovery or recycling) required to manufacture a product; c) changing the composition, design and packaging of a product to make its use less harmful to health and the environment; d) monitoring, recovering and recycling gas emission and liquid discharge in industrial activities; and noise and vibrations; e) improving stocking, transport, handling distribution and disposal of dangerous products or materials and their packaging and disposing effectively of them, recycling solid residue, scrap, waste and garbage in general; f) providing training courses and a labor development program for social and environmental management procedures; g) choosing suppliers and distributors that have good social and environmental management practices.

4.1. Different effects of sustainability The social and environmental characteristics measured in the study showed different sustainability requirements for each type of company (see Table 5). The results of the analysis of these factors of influence made it possible to identify the intrinsic social and environmental characteristics of each type of organization.

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47 Management model for the development of software applied to business sustainability in the context of global climate changes

Table 5. Social and environmental characteristics measured in the study Requirements and social effects

Services

Industry

Trade

a) sustainability in the supply chain

low

high

media

b) impact of production on the environment

null

high

low

c) impact of the product in the environment

null

high

low

low

high

media

e) ISO14000environmental standards

null

high

media

f) ISO16000social responsibility standards

high

media

media

g) OHSAS18000safety standard

low

high

media

media

low

d) suppliers requirements

comply with social and environmental

h) publication of systematic social reporting (Ethos, GRI ..) high

Source: data obtained from empirical research

Social and environmental management practices, as shown in the research data, are strategies that the companies adopt differently. For instance, according to the data from the questionnaires, industrial companies show greater concern over environmental protection norms (ISO14000) and norms of hygiene and safety at work (OHSAS 18000). On the other hand, norms such as the ISO16000 are utilized in all the organizations, with special emphasis on the financial services sector (high social and environmental demand). Meanwhile, in industrial and commercial companies, this demand is lower, given the specific nature of their business operations. Correlating the data measured in the study (Tables 1-5) for each type of company (see Figure 1) and for each economic sector that was analyzed different effects of sustainability were found.

Figure 1 shows the different social and environmental effects in the companies from the three economic sectors under study.

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48 Tachizawa, T., Pozo, .H., Figure 1. Social and environmental effects for the respective economic sectors

Source: data obtained from empirical research

In Figure 1, axis “x” represents the type of company and “y” represents the degree of social and environmental effect potentially caused by the organization.

Analyzing the different types of organizations, there are service companies with almost null social and environmental effects, with their strategies being limited to institutional marketing practices in terms of publishing their social balances and social projects in the fields of education, culture, volunteer work and related actions.

At the other extreme, there are industrial companies that are potentially the cause of the highest social and environmental impacts, such as manufacturers of steel, cement, paper and cellulose, energy and similar products.

Between these two extremes are the other types of companies (commercial companies, producers of durable consumer goods, etc.) that are normally capable of adopting social and environmental strategies that are compatible with the degree of environmental impacts caused by their processes and social strategies, meeting the expectations of the community in which they are located.

4.2. Social and environmental variables and types of organizations The social effects on firms, a result of the analysis developed in the previous section, could be graded in 10 types according to their economic activities and therefore, according to their industry. Companies ranging from low socio-environmental impact, as a natural outgrowth of its economic activities, which take ethical behavior compatible with thisminor requirement in terms of social responsibility, even highly concentrated sector companies, which adopt the assessment of impacts of products, processes and facilities (systematic), seeking to anticipate public demands. Social organizations, service companies, and equivalent organizations were grouped in Table 6, as explained below.

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49 Management model for the development of software applied to business sustainability in the context of global climate changes

Table

6.

Service

organizations

in

the

context

of

sustainability

(Perceived characteristics of the factors under study)

Source: data obtained from empirical research

The social and environmental impact on companies, as a result of the analysis in the previous topic, was graded into ten types, in accordance with their economic activities and, therefore, their economic sector. This ranges from companies with a low social and environmental impact, as a natural result of their economic activities that behave ethically and compatibly with this requirement in terms of social responsibility, to companies in the highly concentrated sector, which evaluate the impacts of their (systematized) products, processes and facilities in a drive to anticipate public demands.

Commercial companies (retailers, wholesalers and similar companies), in the analysis conducted in Topic 4.1, were highlighted as shown in Table 7.

Table 7. Commercial organizations in the context of sustainability TYPE OF ORGANIZATION STUDY

PERCEIVED CHARACTERISTICS OF THE FACTORS UNDER

Business for sale (type C): The organization adopts practices to mitigate the potential social and environmental impacts of products sold. It tends to exert some leadership on issues of interest to the community and environmental projects (recycling, environmental education and community campaigns and the like). Retail organizations (small and large), wholesale (large and medium-sized), supermarkets, distributors, gas stations and the like.

Their social effects are felt in the hiring of goods (with certified wood furniture, goods with a green seal and the like) and services (social and environmental certification of suppliers), along with companies from other productive activities. The final consumer pressure to increase progressively, with customers from empiricalfriendly researchand green products. This pressure is passed on demandingSource: more data and obtained more environmentally socio inversely with industrial companies and service providers. Global organizations such as Carrefour Agribusiness organizations (see Table 8), normally have commercial activities and Wal-Mart, for example, are influenced by the purchasing power of its consumers who demand that supplement their supply These (or agricultural) organic and environmentally friendlychain. products.

This agribusiness makes such organizations purchasecommercial only from activities may becertified. totally outsourced. Social organizations, service companies and their suppliers previously

equivalents were grouped together in Table 8, as shown below.

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50 Tachizawa, T., Pozo, .H., In the industrial category, as shown in Table 8, companies generally require international green seal certifications or their equivalent, such as SA8000, AA1000, ISO14000 and congeners (international norms of social responsibility and environmental protection which have been standardized in Brazil by the ABNT – Brazilian Association of Technical Norms).

In this segment there are potential alternatives to reduce the greenhouse effect by reducing emissions and increasing energy efficiency through the use of renewable sources of fuel, improved technology and systems for the transport sector and production processes in general.

Table 8. Industrial companies in the context of sustainability TYPE OF ORGANIZATION

PERCEIVED CHARACTERISTICS OF THE FACTORS UNDER STUDY

Companies of average social and environmental effect (Type F): The organization adopts social and environmental practices to reduce the average impact of its products, processes and installations. It seeks to anticipate public concern. The company publishes social balances and adheres to previously set standards. This stance is required of companies that produce building materials, textiles, hygiene and cosmetic products or operate in the automotive sector.

Non-durable consumer goods industry (Type G): The evaluation of the impact of products, processes and installations needs to be systematized in an attempt to anticipate public concern. The company normally needs international certifications (green seal or equivalent certifications), such as the SA 8000, AA 1000 and similar certificates.

This is the case of companies in economic sectors such as food, agribusiness and other activities which have a high environmental impact.

Durable consumer goods industry (Type H): The evaluation of the impact of products, processes and installations needs to be systematized in an effort to anticipate public concern. International green seal certification is normally used, such as the SA 8000, AA 1000. This is the case of companies that belong to economic sectors such as car manufacturing, car parts, plastic and rubber, electronic goods, metallurgy, heavy construction and other activities that have significant environmental impact.

Industries that have a high social and environmental impact (Type I): The evaluation of the impact of products, processes and installations needs to be systematized in an effort to anticipate public concern. International green seal certification is normally used, such as the SA 8000, AA 1000. Corporate governance principles should be adopted and the standards cumulatively structured in the previous types of company should be adhered to. At this level, responsibility should be considered as a requirement to be “demanded” from large organizations, whose social and environmental characteristics mean that this stance is necessary. This is the case of companies that produce paper and cellulose, tobacco, pharmaceuticals, drinks, light chemicals and other similar products that have a considerable impact on the environment. These companies have highly concentrated capital and are large companies whose shares are traded on the stock market.

Industries that have very high social and environmental impact (Type J): The company needs international green seal certification, such as the SA 8000, AA 1000. this is the case of companies that belong to economic sectors such as agribusiness, steelworks, petrochemicals, heavy chemicals, mining, hydroelectric plants, thermoelectric plants and nuclear power plants, cement, armaments and ammunition, agro-toxics, transgenic seeds and others with a very high impact on the environment. Industrial companies are big users of electricity, which makes a significant impact on the country’s energy matrix. These companies have highly concentrated capital and are large companies whose shares are traded in the stock market.

Source: data obtained from empirical research

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51 Management model for the development of software applied to business sustainability in the context of global climate changes

In this type of organization, the commercial activities and services of those belonging to the agribusiness sector normally supplement their supply chain (i.e., although classified in the industrial segment, these organizations usually pervade the three supply chains). This agribusiness sector, which includes livestock and agriculture in general, suffers greatly from the influence of legal variables (CĂłdigo Florestal in Brazil, 1965). Industrial companies are disciplined by these laws. Naturally, they use up large amounts of raw materials from forests and are obliged to concentrate their activities within a radius in which exploitation and transport are deemed economical.

This requires them to provide an organized service to ensure the planting of new areas of forest either on their own land or on the land of third parties to replace the resources they consume while exploring the land.

These effects, which originated from legal variables (see Figure 2), can be combined with technological variables that can either positively or negatively affect the supply chain. For example, the forests that are planted to meet the requirements of legislation that curtail highly concentrated industrial activity can result in global environmental benefits. In other words, technology such as the reuse of eucalyptus bark discarded by the paper and cellulose industry can be used to produce ethanol (clean and renewable energy). Discarded materials can also be used as raw materials for the production of bio-plastics.

Steelworks, transport companies and others, using vegetable coal, wood or other raw materials from the forests, are obliged to maintain their own forests for rational exploration or to grow forests to supply their own industry, be it directly or through the ventures in which they take part. Companies that have a high social and environmental impact (type â&#x20AC;&#x153;jâ&#x20AC;?, as shown in Table 9) need to adopt CDM and monitor greenhouse gas emissions or the impacts of environmental exploration (both of which are included in ISO 14000). Paper and cellulose companies, for instance, can use discarded eucalyptus bark to produce ethanol.

These factors of sustainability that are under study (passive social and environmental factors) were later broadened to enable the grouping of ten types of organizations as proposed below.

4.3. Types of organizations and interface between supply chains In this drive to harmonize the production of goods and services with environmental preservation and social well-being, in accordance with the research data, the supply chains of the national economy are influenced by external variables (demographic, climate, technological and other such as physical, cultural, legal, political and social). These supply chains cover the whole productive cycle of the country in the form of service, industry and commerce. They are interlinked in a perpetual change that affects each supply chain differently, as summarized in Figure 2, below.

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52 Tachizawa, T., Pozo, .H., Figure 2. Effects of the climate variables on the supply chains

Source: data obtained from empirical research

These external impacts directly impact the countryâ&#x20AC;&#x2122;s economy and indirectly impact the different lines of business (supply chains). These effects vary depending on the economic sector, as shown in this study. One supply chain, such as the agribusiness chain, for example, suffers different effects of green house gases in its farming segment, acquiring supplies (fertilizers and labor) and trading its harvested crops. In this supply chain, preserving the forests is clearly important as they provide environmental services in the form of input such as pollination, pest control and control of invasive species.

Thus, if more GHG, such as carbon dioxide (CO2), are released into the atmosphere, they will cause the global temperature to rise, and this in turn will affect farming. In other words, high temperatures can drastically reduce the productive potential of farming cultures. There are also physical variables such as urban agglomeration, which leads people to leave the countryside and migrate to the cities. In addition to affecting the agribusiness chain, this leads to increased energy consumption.

This requires the country to adopt a stance to neutralize or minimize these effects and, therefore, the actions of companies so that in their supply chain they can: a) protect the climate system based on equity and in accordance with their common, but different, responsibilities; b) take the initiative to combat climate change and its effects; c) promote sustainable development and measures to combat climate change, preserving business and international trade; d) draft and publish the inventories of their sectors concerning gas emissions (so that they can be assembled Ci, o que sera que eles querem dizer com assembled? on a national level) and encourage programs to reduce these emissions.

They could also finance projects to reduce or trade the volumes of reduction in emissions resulting from the initiatives taken by companies and jointly enable countries to transact them reciprocally. They could also reduce emissions by increasing energy efficiency and using renewable sources and fuels and adopting better technologies and systems for the transport sector and production in general. They could also improve education, train and raise awareness of the problem of climate change and cooperate in a full, open and immediate exchange of scientific, technological, technical and socioeconomic information on the subject. Other effects in business organizations may be

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53 Management model for the development of software applied to business sustainability in the context of global climate changes

coached in terms of the need to coordinate mitigation and adaptation policies, which will result in global benefits. They can also take into account the fact that the impacts that will result from climate changes will create risks and business opportunities and the operational and trade levels for the company, the local community and at a global level in the consumer market, in both developed and developing countries.

The perceived impacts of risk may be greater in developing markets due to the low capacity of these markets to adapt to the impacts of climate change. Key drivers in the planning of this adaptation include competitive advantages, reduced costs, corporate responsibility, pressure from investors and shareholders, regulations and laws and the capacity for consumers to adapt. The suggested typology can help identify demands for carbon credits (Certified Emission Reductions - CER) and reductions in greenhouse gas (debt in relation to environmental liabilities) by each economic sector and consequently the country. Figure 3, below, shows the aggregation of these demands for each economic sector.

The consolidation of the supply chains of each economic sector and the sum of all these sectors in the country result in a national inventory of greenhouse gas emissions. Improving environmental quality and the sustainability of productive processes can mitigate the harmful impact of GHG on the planetâ&#x20AC;&#x2122;s climate.

Any attempt to alter the current model of energy consumption, based on fossil sources and deeply rooted in the productive process, ends up being hindered by the enormous economic implications. In this sense, the organizations from different economic sectors (services, industry and commerce) are influenced by the scientific evidence concerning the links between the greenhouse effect and climate changes. The resulting need to reduce CO2 and the growing demands of society for environmental quality encourage greater sustainability in the production processes of these organizations.

4.4. Analysis of sustainability This proposed typology is particularly useful for identifying opportunities for developing a CDM project that can be related to more than one type of organization (or economic sector): the generation of energy (both renewable and non-renewable), distribution of energy, demand for energy (energy efficiency and conservation projects), manufacturing industries, chemical industries, construction, transport, mining and mineral production, metals, fugitive emissions from fuels, fugitive emissions from the production and consumption of halocarbons and sulfur hexafluoride, use of solvents, management and treatment of residues, reforestation and forestation and farming.

The CDM, in this proposition, is a consistent instrument for diffusing and acquiring clean and productive technologies that, in another context, would cost much more to transfer and acquire. Energy intensive industries, for example, with high use of capital and little labor (such as steel, paper and cement) have many opportunities to increase efficiency.

The benefits of a public policy in energy efficiency can be aimed at the industrial sectors with lower economic potential and greater capacity to distribute wealth through providing employment. For larger intensive energy companies, the return on savings made through energy efficiency are profitable. .

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54 Tachizawa, T., Pozo, .H., The implications resulting from the accountability balance sheet and the Social and environmental Development Index - SDI of each sector make it possible to improve corporate practices in which business strategies increasingly depend on sustainability. Likewise, if the social and environmental databases include the geographic location of companies, sustainability could be monitored by region (the north of the country, for example, could be monitored for an undesirable surge in industrialization).

As the proposal is to create a database of Brazilian companies, a historical analysis of the SDI of these companies could be conducted, both in terms of aggregate statistics of the national economy and a given economic sector, showing which meet the proposed social and environmental goals. This could be done by consolidating the balance sheets of all the organizations in an economic sector and, at a higher level, consolidating the balance data by each type of organization proposed in the present study. This could be done at four levels: 1) at the first level wherethe balanced sustainability of the organization would be, which is the object of this study; 2) at the second level where the aggregate balanced sustainability data of the organizations in the sector under analysis are (for example, steelworks); 3) at the third level wherethe aggregate balanced sustainability data of the organizations belonging to the social and environmental sector under analysis are (for example, organizations in the highly concentrated segment); 4) and at the fourth level where the consolidated balanced data of all the sectors of the national economy could be.

This consolidation of social and environmental balanced data can help determine how to measure the stage of development of the country or a particular organization. It is a new form of measurement that places emphasis on the social and environmental aspect and sustainability and placing less emphasis on economic factors in a macroeconomic evaluation. Indeed, in addition to the economic variable there are the climatic, technological and demographic variables, in addition to others, that are directly affected by the current era of climate changes and global warming. This reflects on the repositioning of business organizations in terms of partnerships with different government spheres (federal, state and local), partnerships between companies in the same economic sector, joint actions by companies and NGOs, the changing behavior of consumers and clients, changes in how business organizations interact and communicate with the community and other related changes.

The institutional interaction between governments and companies should change drastically due to climate changes. Taking the example of type â&#x20AC;&#x153;jâ&#x20AC;? organizations, companies that make a huge social and environmental impact, there may be a change in energy consumption (steelworks and aluminum producers) that will require an energy matrix that will include alternative sustainable sources of energy such as wind, solar, biofuels, etc.

Companies that operate in the same economic sector, such as the manufacture of durable consumer goods (cars, car parts, plastics and rubber, electric and electronic goods and metals) which, according to the typology proposed in this study make similar social and environmental impacts, can work together to find a common solution to deal with global climate changes. In other words, given the demand for ecological and nonpolluting products, they can establish partnerships in the form of joint market projects throughout interlinked sustainable supply chains (specifications for parts to be fitted to a vehicle would be passed back down the supply chain until they reach the primary manufacturer of the basic raw materials).

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55 Management model for the development of software applied to business sustainability in the context of global climate changes

The performance of companies should be highly influenced by pressure from NGOs driving them toward a future of sustainable development.

CDM projects and the CER market stemmed from a global initiative to improve the environment and has become a way of reducing greenhouse gases and resulted in the Earth Summit in Rio de Janeiro in 1992. Therefore, the question of quality and sustainability, as outlined in this article, is a key part of this process. By adding commercial value to the results of gas emissions, the CDM immediately presses for greater competitiveness in conservation practices and the use of renewable energy sources. When the country is pressured by increased demand for energy resources (especially electricity), a range of new opportunities is opened up to the business community.

Businesses and ventures aimed at the energy sector, with absolutely consistent economic and environmental resources, could be decisive when it comes to the energy resources required for development and urgently bridging the regional gaps in Brazil.

The CDM is also a powerful tool when it comes to diffusing and acquiring more productive and clean technologies that, in another context, would cost far more. The general interest in the efficiency of results of CDM projects opens up important access to innovative and modern practices, resulting in evident gains in productivity and increasing business competitiveness.

In addition to the prior definition of the main sectors of national interest for developing CDM projects, it is also essential for the business community, with its concern over competitiveness, to participate effectively and regularly in the process.

Especially in the early stages, the development of CDM projects and the CER market, given their originality, will require considerable pooling of knowledge and capacity to meet their requirements and needs. It is a process that can only be learned by doing and which requires constant interaction and cooperation between public and private interests. This is a basic factor for Brazil to have a good position in the CER market and for the positive development of CDM projects. Due to the changing way in which business organizations interact and communicate with the community, they will seek to promote their business actions in the form of a social and environmental balance rather than financial statements (traditional financial statements in the form of balance sheets).

4.5. Social and environmental database This typology makes it possible to design a database and collect information concerning the business sustainability of the companies under study in the same virtual location. It is clear from the results of the study that any organization, no matter what its managerial style is, has social and environmental â&#x20AC;&#x153;effectsâ&#x20AC;? that differ as a natural result of its economic sector. These effects, according to the diagnosis of sustainability proposed in this study, can be represented in the form of social and environmental liabilities. To combat these effects, the company needs to implement counteractions in the form of duties and obligations (social and environmental assets).

4.5.1. Conceptual architecture of the database The social and environmental database is centered on the formulation of a social and environmental development indicator that would reflect the stage of development of

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56 Tachizawa, T., Pozo, .H., an organization in terms of sustainability. In other words, the modeling of this architecture can be consolidated in the form of a balance sheet (Chart 1), with different focuses of sustainability for different organizations.

The social and environmental balance sheet, made up of assets and liabilities, can be structured in the form of an electronic spreadsheet, containing a double entry diagram (“T” model). This would show on the one hand the social and environmental effects of the organization (the analysis factors are quantified, a priori, as liabilities), and on the other hand the sustainability decisions made by the organization management, with the corresponding economic burden (social and environmental costs, counted a posteriori as assets) to meet the social and environmental demands resulting from its supply chain (see Table 3).

Chart 1 – Example of Social and Environmental Balance Sheet ACTIVE (burden business, the basis for cost appropriation) 1. Sustainability and Clean Development Mechanism - CDM 1.1. Environmental and Social Responsibility standardization (ISO14000, 16000, SA8000 ...), OHSAS18000

1.2. Sustainability of Supply Chain and Clean Development Mechanism - CDM

1.3.Governance (IBGC, Bovespa, the Dow Jones Sustainability-ISE) 2.Human capital 2.0. training and development 2.1.Employees 2.2.customers 2.3. suppliers 3. career planning 3.1. top management 3.2. operational level 3.3. integration with training and performance evaluation 4. plan for jobs, wages and benefits 4.1. variable remuneration 4.2. profit sharing 4.3. integration training 5.Talent Management 5.1.Internet recruitment 5.2. listen, HR database 5.3. IT support 6. organizational configuration 6.1. matrix structure for projects 6.2. organization by processes 7. programs for organizational climate 7.1. systematic research 7.2. sporadic research 8. social actions 8.1. racial diversity 8.2. volunteering 9. Transparency and ethics 9.1. social balance 9.1. social and environmental report 10. ethical position

Mark with X 0,08 X

X

0,1 X X X 0,06 X X X

PASSIVE (social and environmental effects) Different community and external audiences in need of a better social image and information about the company's performance.

Requirement to implement projects to reduce emissions through increased energy efficiency with the use of renewable fuels and innovative technologies and processes.information about the company's performance.

Requirement to implement projects to reduce emissions through increased energy efficiency with the use of renewable fuels and innovative technologies and processes.

The reduction of emissions, and certified, you should consider additional benefit. That is, no CDM project would be the issue with project X and Y would be The difference X - Y additionality would be considered Company with the economic activity of high environmental impact (of their production processes and facilities).

High degree of automation in the control of energy generation and distribution.

Supply chain social and environmental effects to be monitored with suppliers and customers

0,03 X -

0,05 X 0,05

- Companies with intensive use of manpower; - Bad hygiene and safety.

Internal work with poor quality of life.

0,01 X 0,08 X 0,09 X X 0,01

10.1.code of ethics for customers and suppliers

X

10.2. code of ethics for relations with governments

X

requirement of the legislation regulating economic activity governamental interaction with the municipal, the state and the federal setor

Source: data obtained from empirical research

The liability should mirror the typology set in Tables 6-8, while the asset is the sustainability measures that should be taken by the organization (see Tables 1-5).

The sum of the metrics (central column where the incidence is marked with an X) of the ten factors of influence (sum of the subtotal of the items) is: 0.03 + 0.06 + 0.08 + 0.10 + 0.05 + 0.05 + 0.01 + 0.08 + 0.09 + 0.10 = 0.65 This steelwork’s“0.65” SDI (Chart 1) shows that there is a discrepancy between what would normally be required from a company with high social and environmental effects and which compensatory practices are actually adopted (including CDM),owing to the particular nature of this organization.

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57 Management model for the development of software applied to business sustainability in the context of global climate changes

Depending on the companyâ&#x20AC;&#x2122;s economic sector, cost requirements can be changed, since they vary because of the characteristics of the supply chain. These characteristics would encourage the company to adopt CDM, with strategies varying depending on the type of organization. Another implication of the social and environmental balance is the need for or excess of carbon credits required by the organization or, on a larger scale, by the sector as a whole to meet the requirements of zero carbon emissions (an asset equivalent to environmental liability).

4.5.2. Systemic Architecture As a result of the analysis conducted in this study, a typology of organizations has been proposed to serve as a foundation for a sustainability database and possible software for social and environmental inspection.

The unique metric of each company under study collected a posteriori from compliance with the established requirements as an environmental asset may vary in the SDI ranges of each economic sector. For instance, type A companies show SDIs ranging from 0-1; type 2 companies have values of 1.1-2.0 and so forth up to the levels of type J companies, which range from 9.1-10.

Following the social and environmental diagnosis, an SDI database can be prepared (see Table 9) of the companies of the Brazilian business universe, classified by economic sector a priori (with SDIs varying in previously established ranges), using the analyzed factors of environmental liabilities.

Table 9. Database with SDI metrics

Source: data obtained from empirical research Sector Commercial Average environmental effect High environmental effect Very high environmental effect

An alternative form of costing could simply be adding the absolute total of the elements that comprise the social and environmental assets and including the costs of sustainability. However, in this proposal, it was decided to mark these costs as a benchmark of the management of the company in the form of an SDI. In other words, the SDI, as proposed in this model, is an indicator derived from the expected social and environmental performance of the companies that make up the economic sectors under analysis. This would enable the establishment of a scale on which to place the companies at their different stages of sustainability. The sustainability balance sheet, composed of assets and liabilities, could be structured as a spreadsheet, including a double entry diagram (â&#x20AC;&#x153;Tâ&#x20AC;?- shaped model).

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58 Tachizawa, T., Pozo, .H., This would show, on the one hand, the social and environmental impact of the organization (factors that would be computer, a priori, as liabilities). On the other hand, it would show the sustainability decisions of the organization, and their corresponding economic burden (Ci, nao consigo entender essa infos em parentheses which would be computer a posteriori as assets). This would enable a comparison of the social and environmental requirements of the supply chain.

In this way it would be possible to calculate the social and environmental costs of an organization and the organizations that belong to the same economic sector.

Depending on the economic sector, an organization can alter its cost requirements, as these vary due to the nature of the supply chain. A specialized services company, for instance, would not need ABNT/ISO14000 CDM, nor would it require norms of good corporate governance. Instead, it could concentrate on other requirements that are better suited to this type of company, such as corporate citizenship, training programs for suppliers and ISO16000. Using this view of the sustainability balance, an example may be given of a type J company, which is an organization with a huge social and environmental impact. For example, in the case of financial institutions (banks, etc.), whose characteristics do not require much emphasis on environmental protection, there would be no requirement for ISO14000.

5. CONCLUSIONS The proposed model would reflect the stage of sustainability of the organization under study and outline social and environmental mapping of the different economic sectors in Brazil. This mapping is founded on a social and environmental diagnosis to support decisions concerning sustainable management of the supply chains of organizations.

The implementation of this model by companies and, consequently, in the context of the supply chain and, on a broader scale, of the country, can provide technical aid to nationwide training in CDM. This would enable directives for economic, social and environmental development in terms of: more energy sources and the use of renewable energy and fuel; conservation of energy and increased energy efficiency; substitution of fossil energy sources for renewable sources or sources with lower gas emissions and optimization of emissions in transport systems; co-generation of electricity and increased availability of energy through renewable sources, non-emission or low potential emission; reforestation and recovery of deforested or degraded areas, compatibility with the national and regional definitions of the use of soil and protected areas.

The model can also help to define corporate strategies for dealing with the impact of climate changes on business operations. It also opens up possibilities for companies to decide on the rational and sustainable use of resources as it is now possible to compute tangible values in the form of reduced green house gas emissions.

This calculation of avoided or recovered emissions would become a commodity. These commodities (tons of avoided or recovered CO2 gas emissions) can lead to CER being directly traded between companies or as bonds in the market. For companies and countries with goals to reduce emissions, the flexibility mechanisms of the Kyoto Protocol open up alternative choices for the improvement of the cost-benefit ration of the investments required to adapt to the new standards (changes in production processes

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59 Management model for the development of software applied to business sustainability in the context of global climate changes

or the acquisition of CER in the market as a result of CDM). These early credits, as defined by the Protocol, can be duly used to boost financing for public and private projects to reduce greenhouse gas emissions.

This approach suggests that different management focuses should be adopted for sustainability by different types of organizations since they suffer different social and environmental effects depending on their line of business. Another implication resulting from the social and environmental balance is the viability of adopting CDM and the need for or surplus of carbon credits required by the organization or by the economic sector as a whole in order to comply with zero carbon emission requirements. Likewise, there are alternative ways of demonstrating the stage of development of the country or individual organization, not only from an economic point of view, but in terms of sustainability and levels of social and environmental progress in macro-national and corporate terms.

Future studies can be conducted to confirm whether information concerning sustainability helps government regulators and inspectors to monitor progress and evaluate the use of a database containing the geographical location of organizations to monitor development on a regional basis.

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Acesso em 01 mar de 2011.

Disponível em: http://www.cptec.inpe.br/mudancas_climaticas/.

Alley, R. et al.(2011). “Contribuição do Grupo de Trabalho I para o Quarto Relatório de Avaliação do Painel Intergovernamental sobre Mudanças do Clima”. Sumário para os Formuladores de Políticas. 26/04/2007. 01 mar. 2011. Disponível em: http://www.cptec.inpe.br/mudancas_climaticas/.

Brazil. Governo Federal (1965). Lei nº 4.771, de 15 de setembro de 1965. Institui o Código Florestal, Brasília.

Bronn P. S.; Vrioni, A. B. (2001). “Corporate social responsibility and cause-related marketing: an overview”. International Journal of Advertising, v. 20, n. 2, p. 207-222.

Buytendijk, F.; Wood, B.; Geishecker, L. (2004). “Mapping Road to Corporate Performance Management”. Gartner Group, January.

Draper, S. W.; dunlop, M. D. (2002). “New IR-New Evaluation: the impact of interaction and multimedia on information retrieval and its evaluation”. Disponível em: http://www.cs.strath.ac.uk/~mdd/research/publications/nrhm/new_IR_new_eval.pdf.

Acesso em: 30 jan. 2011.

Ethos – Instituto Ethos DE RESPONSABILIDADE SOCIAL (2011). “Matriz de Evidências de Sustentabilidade, Banco de Práticas e Ferramentas de gestão: Indicadores Ethos”. Guia de Elaboração de Balanço Social. Disponível em: www.ethos.org.br.

Acesso em: 01 fev. 2011.

Glaser, B.; Strauss, A. (1967). “The Discovery of Grounded Theory”, Chicago: Aldine.

Glaser, B.; Holton, J. (2004). “Remodeling Grounded Theory”. The Grounded Theory Review, v. 4, n. 1.

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60 Tachizawa, T., Pozo, .H., Henderson, H. (2001). “Transcendendo a economia”. Tradução de Merle Scoss. 10ª ed.

São Paulo: Editora Cultrix, 274 p. Título original: Paradigms in Progress.

Ibase – INSTITUTO BRASILEIRO DE ANÁLISES SOCIAIS E ECONÔMICAS (2011). “Guia de Balanço Social”. Disponível em www.ibase.org.br. Acesso em: 01 mar 2011.

IBGE – INSTITUTO BRASILEIRO DE GEOGRAFIA E ESTATÍSTICA (2004).

“Indicadores de IBASE -Desenvolvimento Sustentável – estrutura e metodologia”.

Livro Azul. Rio de Janeiro.

IPCC – Painel Intergovernamental sobre Mudanças Climáticas (1988). Organização Meteorológica Mundial (OMM) e Programa das Nações Unidas para o Meio Ambiente (PNUMA). The Changing Atmosfere: implications for global security. Toronto, Canadá.

Marengo J, A.; Nobre, C. A.; Salati, E.; Ambrizzi, T. (2011). “Caracterização do clima atual e definição das alterações climáticas para o território brasileiro ao longo do Século XXI”. Sumário Técnico [online]. Acesso em 01 dez de 2010. Disponível em: http://www.cptec.inpe.br/mudancas_climaticas/.

NAE (2005ª): Mudança de Clima, Vol. I: Negociações internacionais sobre a mudança de clima; vulnerabilidade, impactos e adaptação à mudança de clima. Cadernos NAE, Núcleo de Assuntos Estratégicos da Presidência da República, NAE-SECOM 2005.

Brasília, 250p.

OECD – Organization for Economic Co-Operation and Development (1993). “Core set of Indicators for Environmental Performance Reviews”. A synthesis report by the Group on the State of the Environment. Environment Monographs N° 83. Paris: OECD, 1993. Disponível em: http://lead.virtualcentre.org/en/dec/toolbox/Refer/gd93179.pdf.

Acesso em 30 abr. 2011.

PNUD – PROGRAMA DAS NAÇÕES UNIDAS PARA O DESENVOLVIMENTO/ UNDP- United Nations Development Program (2008). “Relatório de Desenvolvimento Humano 2007/2008. Combater as alterações climáticas; Solidariedade humana num mundo dividido”. PNUD, UN Plaza, New York. Acesso em: 01 fev. 2011. Disponível em: http://www.pnud.org.br/arquivos/rdh/rdh20072008/hdr_20072008_pt_ complete.pdf.

Raynard, P.; Forstarter, M. (2002). “Corporate Social Responsibility: Implications for Small and Medium Enterprises in Developing Countries”. United Nations Industrial Development Organization, Viena, 2002. Disponível em: http://www.unido.org/filestorage/download/?file%5fid=29959 . Acesso em: 10 fev. 2008.

Revista Exame (2010). “Melhores e Maiores da Exame”. São Paulo: Editora Abril.

Strauss, A.; Corbin, J. (1997). “Grounded Theory in Practice”, Sage Publications, London.

Tachizawa, T. (2011). Gestão Ambiental e Responsabilidade Social Corporativa. 6ª edição. São Paulo: Atlas.

WBCSD - WORLD BUSINESS COUNCIL FOR SUSTAINABLE DEVELOPMENT (2011). Vision 2050: the new agenda for business. Acesso em 11.02.11. Disponível em: www.wbcsd.org

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp.61-88 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100004

BRAZILIAN SCIENTIFIC JOURNALS THAT USE THE OPEN JOURNAL SYSTEMS (OJS): A QUALITY ANALYSIS Luisa Veras de Sandes-Guimarães Fundação Getúlio Vargas, São Paulo, Brazil Sely Maria de Souza Costa Universidade de Brasília, Brasília, Brazil _____________________________________________________________________________________

ABSTRACT This study aims to assess the quality of Brazilian journals that use the Open Journal Systems (OJS) in order to be published. For this purpose, the main criteria used to assess quality were sought in the available literature, and a selection was made of those considered to be of great relevance. The universe of the research was comprised of journals that were correctly registered under their respective subject heading in the system website by June 2010, a total of 236. The sample’s nature is intentional and, according to the established criteria, 78 journals were selected for the study. The quality aspects evaluated were: editorial board, authors, rules for article submission, peer review, age, format, language of publication and the journal impact. The criteria were assessed by indicating the presence/absence of the quality indicator or by attributing a poor/reasonable/good, quality scale, according to the criterion assessed. The results indicate that the criteria established for authors, rules for article submission, and format were positively evaluated. The editorial board was also positively assessed, although 38% of the journals analysed did not present the composition of this group on their websites. The peer review criterion was negatively assessed, since only 17% of the journals correctly inform how the article evaluation process occurs and what criteria are used in the assessment of the submitted articles. Furthermore, it was identified the existence of a moderate positive relation between the H-index of the journals and their ages, and that there is no correlation between the language of article publication and the H-index of the journals.

Keywords: Scientific Electronic Journal, Open Access, Scientific Literature, Open Journal Systems (OJS), Quality of Journals.

_____________________________________________________________________________________ Manuscript first received/Recebido em 28/10/2010 Manuscript accepted/Aprovado em: 24/02/2012 Address for correspondence / Endereço para correspondência Luisa Veras de Sandes-Guimarães, Master’s student in Public Administration and Government at Fundação Getúlio Vargas in São Paulo Fundação Getúlio Vargas (FGV), Escola de Administração de Empresas de São Paulo (EAESP), Endereço: Rua Itapeva, 474, Bela Vista - 01332-000 – São Paulo, SP – Brasil, Telefone: (11) 3799-7777, Email: luisa.guimaraes@gvmail.br, Sely Maria de Souza Costa, PhD in Information Science at Loughborough University. Senior Lecturer at Universidade de Brasília (UnB), Faculdade de Ciência da Informação (FCI), Endereço: Campus Darcy Ribeiro, Asa Norte – 70910-900 – Brasília, DF, Brasil., Telefone: (61) 33071205 Fax: (61) 3273-8454, Email: selmar@unb.br Published by/ Publicado por: TECSI FEA USP – 2012 All rights reserved.

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1. INTRODUCTION The scientific journal is one of the most frequently used channels for communication among academics and researchers in scientific communities. According to Meadows (1999), the foremost reason for the emergence of the scientific journal was the need to establish a more efficient means of communication between scientists.

Tenopir and King (2001) have shown that articles published in journals constitute the most important informational resource used by scientists in their work, both in their teaching and research activities.

It is important to note that, in order to consider the results of research work as scientific knowledge, these must first be evaluated by peers and published in a scientific journal, book or other established means of scientific communication.

However, the subscription costs of scientific journals have increased substantially over the last few decades, unlike the budgets of most libraries, which have not. This makes it difficult to maintain the same number of journal subscriptions and has created an access barrier to published knowledge (King & Tenopir, 1998). Other authors such as McCartan (2010), McGuigan and Russell (2008), DigitalKoans (2010) and Luethi (2008) support this argument.

One example of the impact of the crisis that the price of journals has created is that of the University of Princeton which recently began to prohibit its researchers from ceding to publishers the copyright of their articles (except when a waiver is granted), thereby maintaining free access to almost all of their institutional publications. They justify this measure by stating that: Universities pay millions of dollars a year for subscriptions to academic journals. People without subscriptions, which can cost up to $25.000 a year for some journals or hundreds of dollars for a single issue, are often prevented from reading research work that was funded by the taxpayer.

Individual articles are also commonly locked behind pay walls (The Conversation Media Group, 2011, September 28).

This situation coincides with the development of information and communications technologies, especially from the second half of the 20th century.

There was an increase in the creation of electronic journals, which made the publication of research results a far more agile and dynamic process. One of the most recent effects of information technologies in scientific communication is related to the open access to this type of literature.

Alberts (2002) highlights that, since scientific research is basically publicly funded, these results, scientific knowledge, should be recognized as a global public asset and be freely accessible to everyone. It should also be taken into account that what the great majority of researchers really want is not financial returns, but rather to have their work widely disseminated, so that these may gain greater visibility within the scientific community (Harnard, 1995, 2011).

This situation favored the emergence of a movement in the scientific community in support of open access to scientific information. This initiative established two strategies to enable open access which are defined by Harnard et al (2004) as the Green Road (self-archiving in open access repositories) and the Golden Road (open access electronic journals)

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An important Brazilian initiative to provide open-access was the adoption by the Brazilian Institute of Information in Science & Technology (IBICT) of the Electronic System for Journal Editing (SEER). This is a customization of the Open Journal Systems (OJS) software, aimed at constructing and managing all the editing stages of an electronic journal (Márdero Arellano, Santos & Fonseca, 2005).

There has been a rapid growth in the use of this system to create and edit journals. In Brazil the use of SEER made it possible to create 300 new journal titles by March 2008. By June 2010 this number had increased by 160%, giving a total of 780 journals, rising to 924 by November 2011, an increase of 18.5%. The fact that the system is freely available and easy to use may lead to the non-observance of questions relating to the quality of scientific journals.

The question, therefore, that this study aimed to answer was: does the quality of Brazilian scientific journals that use the SEER correspond to the criteria that are generally considered when creating and maintaining these journals, such as the profile of the editorial board, the authors, rules for the submission and assessment of manuscripts, regularity, language and impact?

The relevance of this study lies in its potential to create knowledge in an area that is little explored by the present literature and to offer suggestions that may serve as a basis to improve editorial policies of scientific journals in Brazil.

2. THE QUALITY OF SCIENTIFIC JOURNALS Assessing the quality of scientific journals is not a new subject in the academic environment. In 1964 the United Nations Educational, Scientific & Cultural Organization (UNESCO) prepared a model to assess Latin-American journals, which served as the basis for most of the assessments and models that subsequently emerged.

Ferreira and Krzyzanowski (2003) list some of the first research works on the subject, which are summarized as follows:  1968 – Arends bases her work on the model created by UNESCO in 1964 and proposes that assessment criteria should be related to: the presentation of the material; the regularity of the publication; the period that the journal has been edited; periodicity, receptivity of the journal with regards to collaboration from other institutions; indexation, amongst others.  1982 – Braga and Oberhofer propose a model, based on the one prepared by UNESCO, where the criteria for assessment would cover normalization, periodicity, indexation, dissemination, authority, and so on. These criteria present different scorable variables and the level of performance of a journal depended on the number of points scored (very good, fair, poor).  1985 – Yahn, when assessing Agricultural journals, changed the Braga and Oberhofer model adding the assessment of the journal’s content, as well as a format assessment.  1986 – Martins carried out an assessment on 224 journals in the fields of Science and Technology, with the intention of checking if these conformed to items JISTEM, Brazil Vol.9 No.1, Jan/Apr. 2012, pp. 61-88

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related to normalization, as described in the precepts established by the Brazilian Technical Standards Association (ABNT).

These studies on quality assessment were essential to alert the scientific community to questions regarding the quality of journals. Later, other authors changed or created new criteria that complement the existing literature on the subject and adapt them to the new standards and changes of the 21st century.

Stumpf (2003) carried out a study on 26 journals in the area of Communications where, with the collaboration of professors and researchers of this field, she assessed the journals in accordance with the following criteria: quality of the journal; the prestige that the journal has within the community; quality of the articles published; contribution that the journal makes to the subject; rigor in assessing articles; regularity of the publication; graphic presentation and distribution. Each researcher or professor awarded a score from 1 to 5 of for each item that was assessed.

Ferreira, Neubhaher, Reis & Gomes (2009) assessed electronic scientific journals in the field of Law, more specifically journals that use the SEER platform and are classified as A or B in the Qualis evaluation. The assessment was made based on criteria of normalization, periodicity, indexation and navigation. The journals were rated and classified in accordance with their performance (varying from “Poor” to “Very Good”).

Trzesniak (2006) suggests that the creation and development of the Qualis evaluation system, sustained by the Brazilian Federal Agency for the Support and Evaluation of Graduate Education (CAPES), made the process of assessing journals better known and respected by researchers in different fields. The Qualis evaluation system assesses the quality of journals and assigns them one of following classifications: A1 (highest), A2, B1, B2, B3, B4, B5 and C (lowest). In the words of Trzesniak (2006, p. 347): “At present, it is unusual for a researcher, when submitting an article, not to take into consideration the journal’s Qualis classification. It is increasingly common for an author to take an interest in how the Qualis assessment is made and on what criteria this system is based”.

As a result, editors have begun to take a much greater interest in the formal aspects of a scientific journal, which are taken into consideration when quality is assessed, such as: the International Standard Serial Number (ISSN), guidelines for publication, instructions to authors, the regularity and periodicity of the publication. In addition to these formal aspects, Yamamoto and Costa (2009, p. 196) believe that: […] the assessment made editors seek to qualify the journals under their responsibility from the point of view of content. Indirect indicators are the valorization of a more transparent and qualified system of arbitration (describing the process, providing the names of counselors and consultants), providing opening for institutions other than those of origin, with emphasis on those who are in other Units of the Federation and, most importantly, seeking to index their journals in consecrated databases.

An analysis of the present literature about the quality of scientific journals enables us to conclude that this feature may be evaluated by focusing on the process or on the result. In the first instance, factors related to editorial process should be considered, such as the training and expertise of the editorial team (editors, the editorial board and editorial council), rules for the submission and evaluation of manuscripts, assessment deadlines and how approved articles will be made available, among others.

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In an assessment that is focused on result, it is important to know what level of impact that articles published in a particular journal exerts on the scientific community and, thereby, in what measure these contribute to the growth of a particular field of knowledge. Following this line of thought, the more often articles in a journal are quoted by other authors, the greater the impact level of that journal.

These methodologies are not excluding, since an adequate editorial process will certainly contribute to the quality of the articles that are published. Therefore, the higher the level of quality of the articles, the more probable it is that the journal will attain a high level of impact.

2.1 Assessing a journal by focusing on the process and by focusing on the result.

An assessment focused on the process includes two quality dimensions regarding scientific journals, which Trzesniak (2006) described as the quality of the product’s goal and the quality of the productive process. When considering the first dimension, a quality assessment usually analyzes the following items: a) a highly qualified scientific editorial board, that successfully covers the journal’s whole thematic reach, that is both institutionally and geographically diverse (aspects that are relatively easy to assess) and that is involved in revising “computer scripts” (an effective involvement is not easy to evaluate ….); b) well qualified ad hoc consultants with institutional and geographical diversity (Trzesniak, 2006, p. 350).

To establish the quality of the productive process, the items normally included in an assessment are as follows: compliance with the proposed periodicity (bi-monthly, trimonthly, etc.), and inclusion of the dates of receipt and acceptance of articles (Trzesniak, 2006). A journal’s productive process is an indication of the efficiency or sluggishness of the assessment process of articles.

In addition to the characteristics mentioned previously, an assessment focused on process also ascertains the quality of the instructions given to authors. It is hoped that journals provide information regarding the conditions required to consider an article for evaluation, for example, by explaining: the models of formatting and normalization that are used (references, citations, etc.); the language in which articles should be submitted; number of pages required, and so on. It is also helpful if the journal explains the process by which a manuscript should be submitted. In addition, it is important that the journal lets the authors know how the process of evaluation occurs for submitted articles and what criteria are used in such assessments.

In the case of an assessment focused on results, it is necessary to establish the journal’s impact. Such a procedure requires organizing and maintaining specific databases, an activity that hitherto has usually only been carried out in developed countries. In the case of Brazil, SciELO1 tends to transform itself into an indexer

1

Scientific Electronic Library Online. According to Meneghini (1998, p. 219), “an instrument to enable national production to become more visible and accessible via electronic means and, at the same time, to create a data base by which it will be possible to assess the country’s scientific output and increase its international visibility.”

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capable of generating information related to the journal’s impact. However, this is still the only experience of its kind in this country.

Calvert and Zengzhi (2001) believe that some quality criteria assessed in journals are basically extrinsic, and that only some actors involved in the publication of a journal consider them important to assess its quality. Such criteria would be: composition, the journal’s reputation, the Editor’s affiliation, the Editor’s reputation, the Editorial Board, assessment policy for articles, and the journal’s outlook. Instead, focus should really be on journal content and the quality of the articles it publishes (Calvert & Zengzhi, 2001).

In order to assess the quality and impact of journals, it is usual to employ bibliometric techniques. One recent example of a bibliometric study involving citation analysis was carried out by Machado-da-Silva, Guarido Filho, Rossoni & Graeff (2008).

These authors assessed Brazilian scientific journals in the Administration field, using the impact factor and relating this index with the classification of these journals in the Qualis system of CAPES. They analyzed 21 journals and proceedings from the Brazilian Academy of Management Meeting (EnANPAD) edited from 2005 to 2007, dividing the journals into three groups, according to the Qualis ranking: ‘A’ Old National (that had already received the assessment score of ‘A’ for some time); “A’ Recent National (the assessment score from 2007); ‘B’ National.

The authors confirmed that the citations and the impact factor are higher in the ‘A’ Old National group. With regards to the other two groups, no significant difference was found in the impact factors of either. In addition, they were able to ascertain that self-citation had no particular influence on the impact factor. The authors also stated that impact factor is a viable and relevant criterion when assessing journals. This does not mean, however, that only this criterion should be used, but rather that it should be recognized as being important and used in conjunction with others assessment criteria (Machado-da-Silva et al., 2008).

Mugnaini and Strehl (2008) mentioned that recently the only data that gave an idea of the impact of scientific journals were those generated from the data bases contained in the Web of Science, compiled by the Institute for Scientific Information (ISI). However, as time went by, other databases that are also able to index citations emerged, such as SciELO, Scopus and Google Scholar. Thus, the ISI continues to share space with other index services, since it is no longer the only mechanism used to calculate the impact of scientific production.

3. METHODOLOGY The aim of this study was to analyze the quality of Brazilian scientific journals that use SEER. For this purpose, the main criteria used to assess quality were sought in the available literature, and a selection was made of those considered to be of great relevance. We worked with quality indicators of processes and results, used by agencies that promote education and research in Brazil. The research work is descriptive by nature and used the survey method, adopting a quantitative approach.

The universe of the research consisted of Brazilian scientific journals that use the SEER system and which, at the time when data were collected, were registered

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67 Brazilian Scientific Journals that use the Open Journal Systems (OJS): a quality analysis

under their respective subject heading at the afore-mentioned system website (http://seer.ibict.br). In June 2010, it was possible to access 236 journals, registered under their particular subject headings, although 780 journals were registered in the system. That is to say, 544 journals did not specify their area of knowledge. For this reason, the universe considered was composed of 236 journals.

Selecting which journals would be included in our sampling was done based on previously established criteria, characterizing an intentional sampling. The selection criteria used were the following: a. Journals from the most productive areas, according to the bibliographic production indicators of the post-graduate programs made available by CAPES, and related to the triennium of 2004-2006; b. Journals that began to circulate either in print or in electronic form in 2006, or before2.

It should be underlined, however, that these criteria could result in only betterquality journals being selected. However, it is necessary to confirm if at least these journals, because they belong to the most productive areas of knowledge and have been in circulation for long enough to become consolidated, present the minimum standards of quality required for scientific journals.

The field productivity was calculated based on the number of researchers and the number of articles produced during the triennium period. Based on the productivity indexes, a calculation was made to establish the measure that adequately represented the central position of the distribution of the areas within their greater areas of knowledge.

The areas that were above this central measure would be considered as productive.

It was ascertained that all the great areas of knowledge were shown to have a very strong positive or negative asymmetry. This means that the distribution is shown to be concentrated in values of high or low magnitude. That is, within each great area, there are many areas of low productivity or many areas of high productivity.

In these cases, the average is not the best central distribution measurement according to Barbeta (1999, p. 108): In general, given a set of values, the average is the most adequate measurement of the central position, when it is assumed that these values have a reasonably asymmetric distribution, while the median emerges as an alternative to represent the central position in very asymmetric distributions.

The average is strongly influenced by discrepant values. [Authorâ&#x20AC;&#x2122;s emphasis]

Therefore, since the distribution asymmetry is strong, the median was chosen to represent the central position of the distribution, since the average is influenced by very high or very low values. The most productive areas should therefore present greater productivity than the median of their greater area.

A list was then made of all the journals that belonged to the most productive areas of knowledge, which came to a total of 184 journals. Of these, 84 were excluded

2 An estimate of the minimum age of the journals was based on criteria consolidated in the reference documents for each area of knowledge published on the CAPES website.

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because they had been published for less than four years, which reduced the total number of journals to just 100.

After the journals were filtered according to their starting year of publication, it was seen several presented problems, such as: publication being delayed for up to one year or more, problems of access, and a non-scientific profile. Thus, a further 22 journals were excluded from the survey, leaving a final sampling of 78 journals (33% of the universe) (see complete list in Appendix A).

3.1 Variables analyzed The variables studied in this survey consist of a series of selected criteria considered to be relevant to ascertain the quality of a scientific journal. These criteria were identified through literature, mainly by the works of Ferreira (2005) and Trzesniak (2006, 2009), as well as other sources cited during the presentation of the research results.

3.1.1 Editorial Board Affiliation: This refers to the number of members with no ties to the institution responsible for editing the journal.

Qualification: Level of academic degree held by members of the editorial board. The following scale was used: graduation; masterâ&#x20AC;&#x2122;s degree; doctorate.

Productivity: Number of articles published by members of the editorial board during the triennium of 2007-2009. Due to the high number of members, 1,340 in all, this part of the analysis was carried out with 10% of the total, that is, 134 members, divided equally among the journals and randomly selected. This information was obtained by consulting their Lattes curriculums. The editorial board was considered to be productive if the average number of articles written by the members in the triennium was higher than the average number produced in the field to which the journal is connected. It should be said that 31 (24%) of the journals did not provide information about the members of their editorial body and 41 (32%) used another nomenclature to describe that board, such as: editorial council, scientific committee, editorial commission, technical scientific committee and scientific council.

Due to the variety of nomenclatures used, it was necessary to analyze if the members mentioned represented the Editorial Board or the Editorial Council. For this, the following criteria were used to identify the Editorial Board, according to Trzesniak (2009): Inclusion of more than nine members (according to the author, an editorial council generally has up to nine members); Inclusion of members with different institutional and geographical backgrounds. In addition to being characteristic of the board, their members do not need to act as a group and, in theory, do not have to meet regularly, unlike the editorial council (Trzesniak, 2009).

3.1.2 Authors The affiliation of the first author of each article published in 2009 was ascertained. The number of Brazilian and foreign authors was verified for the same year.

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3.1.3 Rules for the Submission of Articles Percentage of inedited works: It was calculated for each journal the proportion of inedited works published during 2009. A minimum rate of 40% inedited articles was used (Ferreira, 2005). Ideally, each journal should provide information about the percentage of inedited articles they publish, but this rarely occurs.

Criteria for formatting and normalization: Completeness and clarity when specifying guidelines related to the formatting and normalization of the articles.

3.1.4 Peer Review Assessment procedures: Provide full and clear information regarding the assessment of manuscripts. Dates of the assessment process: Provide clear information relating to the dates of the assessment process, and at least include the dates of submission and approval of the articles.

3.1.5 Other formal aspects The age of the journal; Format (if printed and electronic or only electronic); language in which the articles are published.

3.1.6 Impact of the journals The Publish or Perish software was used to calculate the impact of each journal. The program retrieves and analyzes the academic citations of a particular author or journal. It uses Google Scholar to obtain the raw citations, then analyzes the citations and presents a great variety of metrics in a user-friendly format (Harzing & Van de Val, 2008).

One of the metrics presented is the H-index. This index was proposed by Hirsch (2005) to calculate the impact of scientists. The calculation is made as follows: an author has an H-index if H of his/her N articles has at least H citations each, and the other articles have less than H citations each. For example, a researcher with a â&#x20AC;&#x153;7â&#x20AC;? Hindex value has seven articles with at least seven citations each. Braun, Glanzel and Schubert (2006) suggested that the H-index could be useful to calculate the impact of the journals. Firstly, because it is insensitive to an accidental excess of un-cited articles, as well as to one or several highly-cited articles. Secondly, because it combines the effect of quantity (number of articles) and quality (citations) in a fairly specific and balanced way, that should reduce the apparent overvaluation of some of the smaller revision journals. The H-index of a journal should not be calculated for the whole life of the journal, but only for a specific period (Braun, Glanzel & Schubert, 2006).

It was decided to use this software, since it uses Google Scholar to carry out the citation analysis, mechanism by which, in addition to being free, have been shown to be efficient in calculating the impact of journals and researchers (Harzing & Vander Wal, 2009). In addition, most of the journals analyzed are not indexed on the Web of Science or Scopus databases, which would therefore make if far more difficult to calculate an index to represent the impact of the selected journals.

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4 RESULTS AND DISCUSSION 4.1 Editorial Board The information relating to the Editorial Board, as shown on Graph 1, was gathered from 48 journals, since the remaining 30 (38% of the total) did not provide any information about their members or did not present any form of Editorial Board. It should be said, however, that providing the names of members of the Editorial Board is an essential criterion to indicate the quality of a journal. For example, the Scientific Electronic Library Online [SciELO] (2004) uses this criterion to select journals to be included into its collection.

In addition, Trzesniak (2009) reminds that an Editorial Board is one of the guarantees of a journal’s scientific credibility. This group is responsible for assisting the editor in the decision making process regarding the publication of original articles.

Furthermore, as suggested by Trzesniak (2009, p. 97): Preparing a scientific journal requires a good deal of dedication and implies giving your time to improving the work of other researchers, in detriment to your own projects. It is only with the involvement of a team that it is possible to do this without the editor being seriously undermined in his own career as a researcher.

Thus, it may be perceived how important an Editorial Board and a wellstructured team are to ensure the good management of a scientific journal and, consequently, to guarantee its quality as an instrument for information flow.

Graph 1 – Affiliation and Nationality of members of the Editorial Board When analysing the information of Graph 1 about the Editorial Board, it may be seen that most of the members are affiliated to institutions other than to the one that

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edits the journal. This factor shows the quality of the journal, as stated by Trzesniak (2009, p. 90): [...] this is a necessarily multi-institutional collegiate, formed by specialist researchers evenly distributed, both scientifically (that is to say, by the areas and sub-areas of the sciences and technology to which the journal is dedicated), as well as geographically (that is to say, by the regions where the journal intends to circulate representatively). [Author’s emphasis]

The diversity of the members of the Editorial Board is one of the criteria for journal assessment used by at least three institutions: Thomson Scientific (2009), to accept journals on the ISI Web of Science data base; SciELO (2004), to accept journals into their collection; in the Brazilian Association of Scientific Editors (Associação Brasileira de Editores Científicos [ABEC], 2009), to select scientific electronic journals for financing.

Similar criteria were also found in the studies of: i) Krzyzanowski and Ferreira (1998) when assessing Brazilian scientific and technical journals; ii) Ali, Young and Ali (1996), which outlined a checklist of quality aspects used for financing decisions; iii) Trzesniak (2006), as one of the criteria used to assess journals in the Education area.

Graph 2 – Academic Titles and Productivity of members of the Editorial Body As shown on Graph 2, the academic qualification of almost all the members (97%) of the Editorial Board of the journals surveyed is appropriate, since they hold doctorates. In addition, the productivity of the great majority (96%) of the members that took part in this sampling exceeds or equals the average productivity of the field of knowledge to which the journal belongs. This could mean that the members of the editorial board that were surveyed have a sufficient level of involvement in scientific and research activities, which is one of the factors that is considered necessary for members of a professional group who will be responsible for maintaining a journal’s quality standard.

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Even though these results are positive, it is necessary to remember that 38% of the journals did not provide information about the members of their Editorial Board, which reduces the overall quality of these journals. If the analysis had covered all of the journals, the results would show that, taken together, these have less quality than the minimum required.

4.2 Authors of published articles Graph 3 shows the percentage distribution of authors who have had articles published in the journals included in this sampling, distributed by affiliation and nationality.

Graph 3 â&#x20AC;&#x201C; Affiliation and Nationality of authors The results reveal that the percentage of outside authors (those not affiliated to the editorial institution) exceeds the absolute predomination (70%), which is the minimum recommended by Ferreira (2005) to avoid endogeneity. In accordance with the author, Trzesniak (2006) recommends that more than 60% of the articles published should be by authors from institutions other than the one editing the journal, not including foreign authors. In the case of the latter, Trzesniak (2006) recommends the publication of at least 10% of articles by foreign authors over the last three years. The Thomson Scientific (2009) establishes as a more general criterion, the international diversity of authors whose articles are published in the journal.

With respect to the nationality of the authors, it should be underlined that this assessment was carried out with the first authors only and in the year of 2009. This explains, therefore, why there are not the 10% of foreign authors, as recommended by Trzesniak (2006). However, the journals showed that 5% of their authors were foreign nationals, which can be seen as a good proportion of the total surveyed.

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4.3 General data of the journals surveyed As explained in the methodology, journals included in the sampling should necessarily be classified in their respective areas of knowledge. However, as can be seen in Graph 4, some areas were represented with more journals than others.

Graph 4 â&#x20AC;&#x201C; Sampled journals according to their areas of knowledge.

This difference may also be explained by other aspects, such as the publication standards of areas of knowledge. Mueller (2005) carried out a survey to ascertain the preferred publication channels for each area of knowledge. She collected data from the tables produced by CAPES from 1995 to 2002, checking publications in (national and foreign) journals, proceedings (national and foreign), books and book chapters and concluded that: Researchers in the areas of Exact, Natural and Biological Sciences prefer to publish their work in foreign journals and very little through other channels; Researchers in Health Sciences prefer to publish in national journals, but also publish in foreign journals, rarely using other channels; Researchers in Engineering prefer to publish their work in conference papers, in a far greater number that they publish in journals; Researchers in Applied Social Sciences prefer to publish their work in national journals and books. However, they also publish, though on a lesser scale, in foreign journals, national events and in book chapters; Researchers in Human Sciences, Linguistics, Language Studies & Arts prefer to publish their work in national journals and in book chapters.

Therefore, it is interesting to note that the areas of Mathematical Sciences and Natural and Biological Sciences probably have the least number of journals registered at SEER, since preference is given to publishing in foreign journals. As a result, fewer journals on these subjects are published and edited in Brazil. A similar fact occurs in the areas of Engineering and Computational Sciences, which prefer to publish their work in conference papers.

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These findings corroborate studies undertaken by Leite, Mugnaini and Leta (2011), which propose a new approach to investigate scientific productivity. The International Publication Ratio (IPR) was developed to allow for a distinction to be made between groups with different publication tendencies. Using the curriculum Lattes data bank, the authors gathered information about those within the Brazilian scientific community holding doctorate degrees, including their areas of knowledge, affiliations and publications. A total of 34.390 researchers had their curriculums analyzed and their publications were classified into five groups according to the International Publication Ratio (IPR): (1) highly international (with between 80.1-100% of international publications), (2) mainly international (with 60.1-80%), (3) intermediate (with 40.160%), (4) mainly national (with 20.1-40%) and (5) highly national (with 0-20%). The IPR data was linked to the researchers’ areas of knowledge.

Leite, Mugnaini and Leta (2011) found evidence that international performance is a variable that is dependent on the field of knowledge. Areas dedicated to questions of international interest, such as Biology, Engineering, Exact and Earth Sciences, present a greater fraction of researchers with a high IPR. However, this is not the same for areas that are essentially devoted to questions of local and national interest. Using the IPR offers a good example of the importance of the idiosyncrasies that exist in each field as critical factors to be considered when comparing performance in different areas, “within a scenario where general evaluation determines resources destination” (Leite, Mugnaini & Leta, 2011).

Graph 5 shows the distribution of the journals in accordance with their age.

Graph 5 – Age of the journals To observe and to analyze the age distribution of journals involve a sustainability analysis, which, in spite of being an important area of investigation, was not part of the focus of the present study. As can be seen on Graph 4, a greater number of journals have been edited for between 4 and 20 years and fewer journals between 21 JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 61-88

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and 50 years. However, it is not possible to state that fewer journals survive longer than twenty years. This is an interesting hypothesis to be studied later on.

The age variable was used to evaluate whether older journals, or rather, more consolidated journals, had a higher H-index. That is, if the impact of a journal increased with age. In order to ascertain this factor, it was necessary to calculate the Pearsonâ&#x20AC;&#x2122;s Correlation coefficient, which produced a result of 0.39. The correlation of the H-index of the journals with their age can be represented by the following dispersion graph:

Graph 6 â&#x20AC;&#x201C; Correlation of the H-index with the age of the journals It may be said that a moderate positive correlation exists, which shows that there is a tendency for the H-index to increase as the journals get older. However, in the case of this sampling, there are exceptions â&#x20AC;&#x201C; journals that do not follow the same tendencies and have a lower H-index with increased age. So, it is not possible to say with certainty that older journals have greater impact. This also depends on other factors that were not studied in this research.

Graph 7 shows the language in which the journals are published. This information was gathered from the journals websites, generally from the section stating the instructions to authors, where information is provided about the languages the journal accepts to publish an article.

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Graph 7 â&#x20AC;&#x201C; The publication languages used by the journals The survey sought to assess the correlation between the publication languages with the H-index of the journals themselves. It was assumed that the journals that published in the languages most widely spoken in the world would have greater reach and visibility, and potentially greater impact, since their articles could be read by a greater number of people.

In order to calculate this correlation, a classification was made of the principle languages used by the journals being surveyed, from the language that was the least spoken to the one that was spoken the most, in accordance with the number of native speakers, and based on information taken from the book Ethnologue: languages of the world (2009). The final classification was as follows: 1) Portuguese, 2) English, 3) Portuguese and English, 4) Portuguese and Spanish, 5) Portuguese, English and Spanish, 6) Portuguese, English, Spanish and French.

The Pearson Correlation obtained was -0,038. This means that there is practically no correlation between the variables; that is to say, the values are almost independent of one another. However, conclusive statements cannot be drawn from this analysis. The information related to the languages of the articles, as supplied by the journals, does not mean that the specific languages have actually been used in publications on a regular basis.

When analyzing the publication format of the different journals, our research material shows that 85% of the journals surveyed are edited both in printed and electronic format and that 15% are edited only by electronic means. It should be emphasized that five of the 12 electronic journals have migrated; that is to say, these were previously published in print and then opted to retain only their electronic format.

Furthermore, it should be said that two of the journals that are only published electronically (and which have not migrated from a printed format) have an H-index of 5 and are among the 27% of journals with the highest H-index. These journals belong to the areas of Biological and Health Sciences.

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With regards to the criteria for formatting and normalization, Graph 8 shows our data.

Graph 8 – Presenting rules for Formatting and Normalization The journals were classified on a scale ranging from “poor” to “good”, in terms of clarity and completeness of the instructions given to authors regarding the journal’s rules about formatting and normalization. It was observed that 68% of the journals obtained the best scores in terms of formatting and normalization. This means that these journals presented their instructions in a clear and comprehensive manner, which made it easier for the authors to understand and to avoid any uncertainties and, thereby, any errors when submitting their manuscripts. Thus, the editorial process can be quicker, since it is probable that few articles would have to be returned to their authors because of errors in formatting and normalization (identified in the first stage of the process, during the preliminary assessment by the editors).

Examples of good presentation of rules for formatting and normalization are as follows: indication of the norms to be followed for formatting and normalization (ABNT, APA, Vancouver, etc.); indication of how articles should be structured (for example, standard names to be used for section titles); minimum and maximum number of pages; format of the archive (.pdf, .doc, .rtf etc.) and means by which it should be sent; indication of how figures and tables should be positioned; languages accepted for publication; examples of references and citations; other information specifically related to the journal. Several of the journals that were surveyed provided a model for each type of document (article, literature review, book review etc.) together with instructions on how to fill it out.

The journals classified as “Reasonable” did not provide all of the information necessary for an author to fully understand the precepts for formatting and normalization. That is to say, they present the rules, but fail to explain these clearly (failure to provide all information necessary to ensure a clear understanding) and lack JISTEM, Brazil Vol.9 No.1, Jan/Apr. 2012, pp. 61-88

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clarity (do not provide information in a didactic and understandable way), making it difficult for the authors to understand. The journals that were classified as “Poor” provided no rules for formatting and normalization.

In that which refers to the assessment of the articles, Graph 9 shows that only a small minority of the journals (17%) fulfill this requisite adequately.

Graph 9 – Presentation of the assessment criteria The journals classified as “Good” explain how the whole assessment process for written works is carried out and, in addition, indicate the criteria used in these assessments. Those classified as “Reasonable” only provide information about the assessment process, that is, which actors in the editorial assessment process handle the article, how many reviewers assess the work, what happens if the evaluations are contradictory and what procedures an author should follow once he/she receives feedback on an article they have submitted. The journals classified as “Poor” specify neither the process nor the assessment criteria, or provide any clear or satisfactory explanation about how the articles are evaluated.

Stumpf (2008) studied journals in the area of Communications and found that reviewers do not normally receive a list of items that need to be observed in the articles they evaluate. In general, the editors ask for a descriptive evaluation, in the format of an essay, highlighting both the strong and the weak points in the work, as well as suggestions for improvements.

A descriptive assessment is obviously important, since it makes it possible to explain in greater detail the points evaluated in the article. However, an assessment should also be made by using a checklist, with specific points that need to be observed in the article being reviewed. Such a procedure would make it possible to attain a greater level of standardization in the assessment process, as well as making it easier for the reviewers to carry out their appraisal, since this will enable them to learn which points are essential for articles to be accepted by the journal in question.

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In addition, specifying the criteria to be observed in the assessment and approval of the articles, also enables the authors to become more aware of the most important points they need to bear in mind to ensure that their articles are accepted for publication.

This can help avoid articles having to be passed back and forth between the journal and the author, thereby making the process of evaluation much quicker.

With regards to the date of the arbitration process, the results of the survey indicate that 73% of the journals provide specific dates for the receipt and acceptance of each article, while 27% of the journals did not do so. As well as being considered an important criteria in the assessment process from the point of view of the promotion agencies and organizations that maintain data bases and indexers, to publicize these dates shows how concerned editors are about the agility of the process to assess and publish the articles, as well as with the isonomy between authors in relation to deadlines.

Graph 10 classifies journals in accordance with the percentage of inedited works published in 2009.

Graph 10 â&#x20AC;&#x201C; Percentage of inedited papers published by the journals It can be seen that only 4% of the journals published less than 40% of inedited works, which Ferreira (2005) considers to be the minimum requirement for scientific journals of quality. However, in 2009, the great majority of the journals (96%) published more than the minimum number of inedited manuscripts. This means that these journals excel in publishing innovative articles in their respective areas of knowledge.

Graph 11 shows that 73% of the journals have a 0 to 4 H-index and 27% have a 5 to 15 H-index during the period from 2007 to 2009. These results may mean that the majority of the journals do not have a significant impact on the scientific community

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within their own areas of interest. However, this low H-index may be explained by other factors, such as the journal’s visibility, age, indexation, and so on.

Graph 11 – The H-index of the journals surveyed.

In addition to the raw data concerning the H-index, a comparison was also made between the H-index averages for two distinct groups. The first group is composed of the following areas: Agronomic and Veterinarian Sciences, Biological Sciences, Mathematical and Natural Sciences, Medical and Health Sciences, and Engineering and Computational Sciences, involving a total of 34 journals. The second group is composed of the areas of: Humanities, Applied Social Sciences, Language Sciences, and Arts, involving a total of 44 journals.

The t-test was used to compare the H-index average of both groups, since both samplings achieved sufficient observations. The null hypothesis and the alternative one are, respectively, as follows: H0  Average of Group 1 = Average of Group 2. The difference between the averages observed in both groups can be justified by casual factors.

H1  Average of Group 1 ≠ Average of Group 2. There is a real difference between the averages of both groups.

Statistics and data needed to accept or reject the Null Hypothesis (H0) were calculated using the Excel software. The following table shows the results:

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Table 1 – T-test comparing the H-index average between the journals Group 1

Group 2

Average

5

2,522727273

Variance

13,81818182

3,41807611

Observations

34

44

Hypothesis of the average

0

difference Degrees of freedom

46

Stat t

3,560458958

P(T<=t) one-tailed test

0,000436784

Critical value of t for one-tailed test

1,678660414

P(T<=t) two-tailed test

0,000873568

Critical value of t for two-tailed test 2,012895567 The test carried out returned a significance probability “P” of 0,000873568 which is less than the 0.05 significance level adopted. Therefore, real differences exist between Group 1 and Group 2 in terms of their H-index averages. This test showed that journals in the areas of natural sciences, mathematics and health have a greater impact factor, when compared to journals in the areas of humanities, social sciences and language studies. This fact may be explained by different factors.

One of these factors is that, in Group 1, there are usually a far greater number of co-authored articles, where it is quite common to have articles written by more than six authors. However, in Group 2 this is not a common factor, since it is more usual to find articles produced by only one author. It was also observed that articles in Group 1 consist of only a few pages, whilst those in Group 2 are generally much longer. The fact that articles in Group 1 have fewer pages and are written by more authors means that there is a higher production of articles. Consequently, by adopting this practice, there is a greater chance of several articles being quoted more often and, therefore, having a greater impact on the scientific community.

5 CONCLUSIONS The main objective of this study was to assess the quality of Brazilian scientific journals that use the SEER system. The results of this research permitted to obtain relevant data that should be taken into account to ensure that these journals can become quality journals and be recognized as having real scientific value. This is because this is the only way they will gain greater visibility and acceptance within the academic milieu which, in turn, implies that they will have a far greater impact.

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The results obtained make it possible to identify both the positive and the negatives aspects in relation to the journals that were surveyed.

Positive aspects: The journals included in the sample adequately fulfilled the criteria considered for authors evaluation; The Editorial Board of 62% of the journals is considered to be productive, with good qualifications and with few members affiliated to the editing institution; The majority (68%) of the journals present clear and full instructions related to the formatting and normalization of articles; The majority (73%) provide information in their articles about the dates for the process of arbitrage and, principally the dates of the submission and acceptance of articles; Most of the journals (63%) publish more than 40% of inedited articles; Negative aspects: Only 17% of the journals provide information about how the assessment process is carried out and what criteria is used to evaluate the articles; 38% of the journals provide no information about the members of their Editorial Board; Most of the journals have a low H-index.

Other aspects identified: There is a moderate positive relation (0,39) between the increase in a journalâ&#x20AC;&#x2122;s H-index and its age; There is no correlation between the H-index and the language in which the articles are published; There is a significant difference between the average H-index in the areas of natural sciences, mathematics and health when compared to areas of social and human sciences and linguistics.

The results of this survey make it possible to state that the journals studied only partially met the quality criteria as defined for this study. The journals attained good results in questions relating to: authors, formatting and normalization, dates for the arbitration process and percentage of first-time articles. However, the survey obtained a worse result than expected in the criteria established for the Editorial Board and the Assessment Process for articles.

The low H-index factor of the majority of the journals cannot be seen as a negative factor. This is because over 70% of the journals have been edited for less than 21 years, and the H-index is related, albeit moderately, to the age of a journal.

However, it is important to emphasize the possibility that the criteria that were established for the purpose of this sampling have influenced the journals selection. It is also worth highlighting that this survey only evaluated a relatively small sample, considering the total number of journals that exist within the system. It would be

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interesting, therefore, to carry out a survey with a sample more representative of the system as a whole. However, this survey has produced results that will serve as a point of reflection for scholars in the area, as well as highlight aspects that may be studied in more depth in the future.

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Revista de Biblioteconomia de Brasília, 25(1), 15-26.

The Conversation Media Group. (2011, September 28). Princeton goes open access to stop staff handing all copyright to journals – unless waiver granted. Retrieved 03 November, 2011, from http://theconversation.edu.au/princeton-goes-open-access-tostop-staff-handing-all-copyright-to-journals-unless-waiver-granted-3596 Thomson Scientific. (2009). The Thomson Scientific journal selection process.

Retrieved 05 february, 2009 from http://www.thomsonreuters.com/business_units/scientific/free/essays/journalselection/ Trzesniak, P. (2009). A estrutura editorial de um periódico científico. In A. Sabadini, M. Sampaio & S. Koller (Orgs.). Publicar em psicologia: um enfoque para a revista científica. São Paulo: Associação Brasileira de Editores Científicos de Psicologia.

Trzesniak, P. (2006). As dimensões da qualidade dos periódicos científicos e sua presença como instrumento da área da educação. Revista Brasileira de Educação, 11(32), 346-361.

Recuperado em 20 novembro, 2008 de: http://www.periodicos.ufrgs.br/admin/sobrelinks/arquivos/As_dimensoes_da_qualidade .pdf.

Yamamoto, O. & Costa, A. (2009). A avaliação de periódicos científicos brasileiros da área da psicologia. In A. Sabadini, M. Sampaio & S. Koller (Orgs.). Publicar em psicologia: um enfoque para a revista científica. São Paulo: Associação Brasileira de Editores Científicos de Psicologia.

Appendix A – List of the analyzed journals AREA

NAME OF THE JOURNAL

Agronomic and Veterinary

Coffee Science

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Scientia Agraria

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Sciences

Boletim do Centro de Pesquisa e Processamento de Alimentos Acta Scientiarum. Animal Sciences Acta Scientiarum. Agronomy Pesquisa Agropecuária Tropical: PAT Acta Scientiarum. Biological Sciences Bioscience Journal

Biological Sciences

Holos Environment Oecologia Brasiliensis / Australis Revista de Estudos Ambientais Ciência e Natura

Mathematics and Natural SciencesCiências Matemáticas e Naturais

Semina: Ciências Exatas e Tecnológicas CLIMEP: Climatologia e Estudos da Paisagem OLAM: Ciência & Tecnologia Brazilian Journal of Aquatic Science and Technology Acta Scientiarum. Health Science Applied Cancer Research Caderno de Educação Física: Estudos e Reflexões Conexões: Revista da Faculdade de Educação Física da UNICAMP International Journal of High Dilution Research Movimento

Medical and Health Sciences

Online Brazilian Journal of Nursing Revista da Educação Física Revista da Faculdade de Ciências Médicas de Sorocaba Revista de Ciências Farmacêuticas Básica e Aplicada Revista Gaúcha de Enfermagem Revista HCPA Scientia Medica Universitas Ciências da Saúde Acta Scientiarum. Technology

Engineering and Computer Science

Ambiente Construído Revista Eletrônica de Materiais e Processos Pesticidas: Revista de Ecotoxicologia e Meio Ambiente

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Acta Scientiarum. Human and Social Sciences Brazilian Journalism Research Caderno CRH Ciência da Informação Discursos Fotográficos Em Extensão Em Questão Iniciação Científica Cesumar Informação & Informação Informação & Sociedade: Estudos Applied Social Sciences

Prisma Jurídico Revista Brasileira de Finanças Revista Brasileira de Gestão de Negócios Revista CEJ Revista de Direito Revista Digital de Biblioteconomia e Ciência da Informação Revista Internacional de Folkcomunicação Revista Jurídica Revista Jurídica Cesumar: Mestrado Revista Mestrado em Direito: Direitos Humanos Fundamentais Verso e Reverso Akrópolis: Revista de Ciências Humanas da UNIPAR Ciências & Cognição Ciências Sociais e Religião Estudos de Sociologia Extensio: Revista Eletrônica de Extensão

Human Sciences

Fractal: Revista de Psicologia Horizonte Interação em Psicologia Interações: Cultura e Comunidade Revista Estudos Feministas Revista Cesumar: Ciências Humanas e Sociais Aplicadas

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Teoria & Pesquisa: Revista de Ciências Sociais Acta Scientiarum. Language and Culture Cadernos de Tradução Cadernos de Semiótica Aplicada Contingentia Espaço Plural Language Studies and Arts

Letras de Hoje Nau Literária Revista da ANPOLL Revista Cerrados: Revista do Programa de Pós-Graduação em Literatura Revista de Letras Tradução e Comunicação: Revista Brasileira de Tradutores

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp.89-108 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100005

KNOWLEDGE MANAGEMENT, MARKET ORIENTATION, INNOVATIVENESS AND ORGANIZATIONAL OUTCOMES: A STUDY ON COMPANIES OPERATING IN BRAZIL. Alex Antonio Ferraresi Pontifícia Universidade Católica do Paraná - PUCPR , Parana, Brazil Silvio Aparecido dos Santos Universidade de São Paulo, São Paulo, Brazil José Roberto Frega UFPR, Parana, Brazil Heitor José Pereira FIA, São Paulo, Brazil _____________________________________________________________________________________

ABSTRACT This article analyzes the study of the relationship among knowledge management, the company’s market orientation, innovativeness and organizational outcomes. The survey was conducted based on a survey held with executives from 241 companies in Brazil. The evidence found indicates that knowledge management directly contributes to market orientation, but it requires a clearly defined strategic direction to achieve results and innovativeness. It was also concluded that knowledge, as a resource, leverages other resources of the company, while it requires a direction in relation to the organizational goals in order to be effective.

Keywords: Knowledge Management; Market Orientation; Innovativeness; Organizational Outcomes; Strategy.

1.

INTRODUCTION

The ability to innovate, differentiation from competitors, the sensitivity to changes that take place in their environments and consumer markets have been characterized as critical aspects for the survival and growth of companies ever since the last decade of the twentieth century. (Arthur, 1999, Grossman, 2006, Hooley, Saunders _____________________________________________________________________________________ Manuscript first received/Recebido em 07/03/2011 Manuscript accepted/Aprovado em: 28/02/2012 Address for correspondence / Endereço para correspondência Alex Antonio Ferraresi, PUCPR – CCET – Rua Imaculada Conceição, 1155, Prado Velho, Curitiba, Paraná, Brazil. 80215-901. Phone/Fax: (041) 3271-2623 E-mail: alex.ferraresi@pucpr.br / ferraresi@usp.br Silvio Aparecido dos Santos, Universidade de São Paulo, Faculdade de Economia, Administração e Contabilidade, Departamento de Administração. Av. Prof. Luciano Gualberto, 908, sala E-123, Cidade Universitária, São Paulo, São Paulo, 05508-900. Phone/Fax (11)3818-4029 E-mail: sadsanto@usp.br José Roberto Frega, Post-Graduate Program in Business Administration of UFPR. Av. Pref. Lothário Meissner, 632 – 2nd floor - Jd. Botânico Curitiba – PR, CEP 80210-170. Phones: (41) 3360-4365 and (41) 3360-4495 E-mail: josé.frega@gmail.com Heitor José Pereira, FIA, Rua José Alves da Cunha Lima, 172 - Butantã – São Paulo - SP - CEP: 05360050 Tel: (11) 3732 3515 / Cel (41) 9102 6006 E-mail: heitorrh@gmail.com Published by/ Publicado por: TECSI FEA USP – 2012 All rights reserved.

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& Piercy, 2001). This environment influences organizations, mainly due to the information flow on a large scale, changing internal aspects, ways of doing business and the market as a whole.

In the practice of organizational management, executives have been realizing that something must be done in order to guide the internally existing knowledge, identify and capture external knowledge, create new knowledge, and apply them to improve performance, achieve innovation and competitiveness.

Directors, managers and professionals, representing companies, as well as organizational consultants and academic researchers, mainly in the area of administration, have realized the growing influence of knowledge as a new factor to be considered in the approach of management models (Fleury & Oliveira Jr., 2001).

Therefore, there are several studies that have identified empirical evidence on the relationship of knowledge management with the organizational outcome. However, it is difficult to argue that organizational outcome could be affected only by knowledge management, since this practice affects and is affected by other aspects of the organization, noting that knowledge is a resource that leverages the majority of other resources in organizations.

In another line, Drucker (1954) stated that the only purpose for the existence of a company is to create a customer, and for this, two basic functions are necessary: marketing and innovation, that is, the company should be market oriented. This means that the company needs to understand the demands and opportunities offered by the market, the potential threats, the competitors’ actions, trends, and develop an internal intelligence to offer the market what it demands and stay ahead of competitors. The company’s orientation towards the market is constantly associated with innovation and competitiveness (Day, 2001; Deshpandé, Farley & Webster, 1993, Kohli & Jaworski, 1990, Narver & Slater, 1990), as well as learning (Day, 2001, Slater & Narver, 1995), dissemination of knowledge (Day, 2001, Kohli & Jaworski, 1990, Narver & Slater, 1990) and other processes that may be considered related to knowledge management.

According to other authors (Arthur, 1999, Drucker, 1993, Hooley et al., 2001), knowledge can increase the ability of the companies to feel the market, its changes and subtleties, and thus lead companies to anticipate these changes, serving its customers in a more effective and efficient manner, in addition to providing new business opportunities. According to Quinn (1992), the development of knowledge-based factors is crucial to the value creation of products and services, and most of these factors are related to the company’s orientation towards the market and its purposes.

Therefore, both knowledge management and market orientation focus on innovation as a result that leads to a better organizational performance, that is, a behavior that allows to stay ahead of competitors and anticipating the needs and desires of consumers lead to new products and services, which means innovation.

Given the above explanation, this study aims to analyze the relationship among knowledge management, the degree of orientation of the companies to the market, the ability to innovate (innovativeness) and the organizational outcomes. We sought to understand how all these variables interact, affecting them individually and collectively, and it is summarized in the following research questions: Does knowledge management contribute to the development of the company’s orientation towards the market and its innovativeness? Do these factors contribute to the organizational outcome?

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2. THEORETICAL FRAMEWORK 2.1. Effective Knowledge Management and form of Measurement Knowledge as one of the key strategic resources of a company is able to generate competitive advantage, as pointed out by seminal authors and scholars of the Resource-Based View Theory, such as Barney (1991), Barney, Wright and Ketchen (2001), Grant (1996), Penrose (1959), Peteraf (1993) and Wernerfelt (1984).

Wernerfelt (1984) conceptually defined an organizational resource as something that can be thought of as a strength or weakness of a company, or how those assets (tangible or intangible) are associated in a semi-permanent manner with the company.

The author also proposes a strategy for a position in resources, which it considers essential for a company.

Knowledge itself, when understood as an object, can not be administered as a variable of analysis, and it does not allow an operationalization (Ferraresi & Santos, 2006). Thus, the term ‘knowledge management’ is understood in this paper as a designation of ‘management focused on knowledge’, that is, a management philosophy of companies and organizations that understand knowledge as a strategic organizational resource. Although knowledge can not be administered, when it is understood as a resource it is able to manage the processes related to it, such as those related to capture, sharing, dissemination and use, for example. Authors such as Bukowitz and Williams (2000), McElroy (1999), Nickols (1996), Wiig (1993), Zack (1999), among others, have identified key processes for knowledge management aiming to develop a model for such practice. In another line, scholars such as Darroch (2003), Gold, Malhotra and Segars (2001), Tajeddini (2010); Tajeddini, Trueman and Larsen (2006), among others, have been conducting studies in order to assess the effectiveness of knowledge management and its implications for companies.

Among the studies carried out in order to measure and analyze the effective management of knowledge, we highlight the study of Gold et al. (2001), which focused on the problem from the perspective of the company’s capabilities and focusing on the knowledge management processes.

Gold et al. (2001) grouped the key processes of knowledge management into four scales of processes that determine the effective management of knowledge: acquisition of knowledge, conversion of this knowledge into a usable form, application or use and protection of knowledge. The processes of knowledge management focused on acquisition are those aimed at obtaining knowledge, and several terms have been used to describe them, according to Gold et al. (2001): acquisition, search, generation, creation, capture, and collaboration, all of which have a common issue, the accumulation of knowledge. The improvement in the use of knowledge and the effective acquisition of new knowledge are essential aspects of this scale. The processes of knowledge management focused on the conversion of knowledge, according to Gold et al. (2001) are those that are intended to transform the existing knowledge into usable knowledge. A few processes allow the conversion of knowledge, such as the company’s ability to organize (Davenport & Klahr, 1998), combine, coordinate (Nonaka, 1990,

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1994) or distribute knowledge (Davenport, Jarvenpaa & Beers, 1996; Zander & Kogut, 1995).

The processes of knowledge management focused on application are those aimed at using the current knowledge. Gold et al. (2001) state that there is little discussion about the effective application of knowledge, and it is implicitly assumed that, once created, knowledge will be effectively applied, as it is possible to understand from the perspective of Nonaka and Takeuchi (1997), for instance. Characteristic processes, which were associated by Gold et al. (2001) with the scale of ‘application’ in the literature reviewed, include storage, retrieval, application, contribution and sharing.

The same authors state that the efficient storage and access and retrieval mechanisms enable the organization to access knowledge quickly, and thus the organizational knowledge and expertise can be shared. Gold et al. (2001) used the Likert scale to measure the constructs involved in their survey: 12 variables to measure the effectiveness of the knowledge acquisition process; 10 variables to measure the effectiveness of the knowledge conversion process; 12 variables to measure the effectiveness of the knowledge use process; and 10 variables to measure the effectiveness of the knowledge protection process, thus totaling 44 variables.

2.2. Market Orientation and form of Measurement Market orientation of companies were studied long ago by the academia and the surveys on the subject include the investigation of the use of market orientation, the benefits of the adoption of market orientation, its limits, and the facilitating factors and barriers to the application of this concept. According to Day (2001), companies can only create strategies that offer higher value to their customers and keep them in line with the changing market demands if they have higher qualifications to understand, attract and retain customers. These qualifications would be the characteristics of a market oriented company, and are sustained by a culture that promotes understanding and commitment to all functions within the company to create higher value to the customers (Day, 2001, Deshpandé et al., 1993, Jaworski & Kohli, 1993, Kohli & Jaworski, 1990, Narver & Slater, 1990, Slater & Narver, 1994). The concept of market orientation represents, according to Kohli, Jaworski and Kumar (1993), the foundation for a marketing practice of high quality, and requires the adoption of the marketing concept, a business philosophy that understands the profit in the long term as the result of the supply of products or services that meet the consumer needs and desires.

Recognizing the existence and importance of other lines of research, such as Day (2004) and Deshpandé et al. (1993), the studies developed by Kohli and Jaworski (1990), Kohli et al. (1993), and Narver and Slater (1990), seminal authors who inspired many other researchers, were the reference for the study and choice of the scale for measuring the companies’ market orientation used in this study. The justification of this choice was based on the fact that the MARKOR and MKTOR scales, developed by Kohli, Jaworski and Kumar (1993) and Narver and Slater (1990), respectively, are the most important and significant (Farrel & Oczkowski, 1997) besides being the most commonly used in research worldwide, considered the main references to the academia.

However, although statistical problems were found in the two scales, as described by Farrel and Oczkowski (1997), Pelhan and Wilson (1996) demonstrated that the MKTOR scale is comparatively more reliable than the MARKOR scale, and the authors themselves, who developed such scales, admit this weakness. This led to the adoption of the MKTOR scale of Narver and Slater (1990) in this study.

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The market orientation construct of Narver and Slater (1990) defines three elements, namely: consumer orientation, competitor orientation and interfunctional coordination. The use of the MKTOR scale is originally proposed using a 7-point scale for each variable. The final number that measures the intensity of the market orientation is the result of the simple average of the scores of the three components (Narver & Slater, 1990).

2.3. Innovation and Innovativeness Drucker (1954) stated that the only purpose for the existence of a company is to create a customer, and for that, two basic functions are necessary: marketing and innovation. The meaning of this statement lies in the fact that the companies need to know the market where they operate, finding therein opportunities to offer value products to consumers in a more effective and efficient manner than their competitors.

Innovating, therefore, means to act differently than competitors in offering products and services, or in other aspects of the company’s management and market share, so that customers realize greater value.

The term innovativeness refers to the ability or propensity of the company to innovate or develop new products (Andreassi & Sbragia, 2004; Garcia & Calantone, 2002; Lynch, Walsh & Harrington, 2010). As pointed by Huley and Hult (1998), innovativeness means to be open to new ideas, as an internal culture of the organization.

While there are numerous studies on factors that lead to innovativeness in the company, there is still no consensus on how it can be related to the maximization of the organizational performance (Tajeddini, 2011; Tajeddini et al. 2006). We found little variation in the literature concerning the way of measuring the company’s innovativeness as it is understood in this paper. Among the studies found, addressing the ways of measuring innovativeness, we should point out Deshpandé et al. (1993), which used a Likert scale of 5 points with 5 variables to measure the innovativeness of the company; and also the studies of Tajeddini (2011) and Tajeddini et al. (2006), which related the innovativeness and organizational performance based on the customer, competitor and interfunctional coordination orientation, in a survey conducted with small and medium enterprises in Switzerland. For that, they have used a scale with five variables focusing on the behavior of people and the company.

2.4. Organizational outcome The organizational performance or outcome were discussed together with one or more of the constructs involved in this research by Almashari, Zairi e Alathari (2002), Bogner and Bansal (2007), Darroch (2003), Deshpandé et al. (1993), Kohli and Jaworski (1990), Narver and Slater (1990), Pelhan and Wilson (1996), Rapp, Schillewaert and Hao (2008), Slater and Narver (1994), Tajeddini (2011); Tajeddini et al. (2006), Zheng (2005), Zeng, Yang and McLean (2011), among others.

The methods to assess the results found in these studies can be divided into two groups: one that uses financial criteria (objectives) and another that uses non-financial criteria (non-objectives). Some used mixed criteria. Among the measures we found: market share, percentage of sales from new products or services and rate of return on investments, in addition to measures that assess internal aspects, such as those related to the streamlining of internal processes and the reduction of the response time to the

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market changes.

3. RELATIONSHIPS AMONG THE CONSTRUCTS UNDER ANALYSIS Studies involving such constructs as ‘effective knowledge management’, ‘market orientation of the company’, ‘innovativeness’ and ‘organizational outcomes’ are relatively abundant in the literature; however, apart from the limitations of this research, we found no studies relating all these constructs together. The literature shows several evidences on the relationship of knowledge management with market orientation, and specifically, with each of the components of this construct. According to several authors (Arthur, 1999; Drucker, 1993, Hooley et al., 2001), knowledge can increase the companies’ ability to feel the market, its changes and subtleties, and thus lead companies to stay ahead of these changes, serving its customers in a more effective and efficient manner, in addition to providing new business opportunities. The company’s orientation towards the market is also constantly associated with learning (Day, 2001, Slater & Narver, 1995), dissemination of knowledge (Day, 2001, Kohli & Jaworski, 1990, Narver & Slater, 1990) and other processes related to knowledge management.

The relationship between knowledge management and innovativeness is straightforward, since knowledge, as an element which influences competitiveness and as a raw material for innovation, is recognized by several authors, such as Arthur (1999), Bogner and Bansal (2007), Dalkir (2011), Drucker (1998; 2000), Gold et al.

(2001), Lemon and Sahota (2004), Nonaka and Takeuchi, (1997). Empirical evidences regarding the consequences of the effective management of knowledge related to the capacity of innovation are pointed out by Nonaka and Takeuchi (1997). Many of these results support the thoughts of Nelson and Winter (1982) and Penrose (1959), which demonstrated the knowledge management rule as a coordinated mechanism, by developing incremental innovations. However, some empirical results are still contradictory, such as those found by Darroch (2003), for example.

Several authors, such as Almashari et al. (2002), Darroch (2003), Firestone (2006), Lemon and Sahota (2004), Nonaka and Takeuchi (1997), Teece (1998) and Wiig (1997), conducted empirical studies or established theoretical discussions aimed at identifying evidence or establish the relationship of knowledge management in the companies’ results. Connor and Prahalad (1996) suggested positive impacts of knowledge management in achieving competitive advantage; Darroch (2003) and Wiig (1997) evidenced the positive financial results of knowledge management. However, the differences of the approaches and the forms of measurement do not allow any conclusion about this relationship.

The literature shows plenty of evidence regarding the relationship between market orientation and innovativeness. Innovation is a direct topic of interest of marketing, since its origins, Drucker (1954). Deshpandé and Farley (1999, 2000) state that the company must be innovative to achieve competitive advantage in order to survive and grow, and they were based on the research conducted with companies where they related innovativeness to a high level of market orientation. Evidence on the relationship between the company’s market orientation and the company’s innovativeness, raised by research around the world, shows conflicting results.

Tajeddini et al. (2006) found positive results, while Baker and Sinkula (1999), Han, Kim and Srivastava (1998) did not identify statistically significant direct results between these variables.

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The relationships between market orientation and organizational outcomes long ago by the seminal scholars on the subject, such as Day (2001), Jaworski and Kohli (2000), Deshpandé et al. (1993), Kohli; Jaworski and Kumar (1993), Kohli and Jaworski (1990), Narver and Slater (1990), among others.

Jaworski and Kohli (2000) analyzed 36 studies conducted around the world, which have related these two constructs, of which 23 studies showed a positive association; 3 did not find a significant relationship and countless others have found weak relationships. The differences, according to the authors, most likely relate to the business context and its understanding of the variables involved and the type of sample.

Innovativeness is intuitively related to the organizational outcome (Darroch, 2003). Several authors, such as Almashari et al. (2002), Dove (1999), Lemon and Sahota (2004), Nonaka and Takeuchi (1997), among others, theoretically or empirically related these concepts to positive results.

After showing the relationships among the constructs analyzed in this study, the next item discusses the methodology used.

4. METHODOLOGY The study analyzed the relationship among the constructs “knowledge management”, “market orientation”, “innovativeness” and “organizational outcomes” in the companies, which conceptual model is shown in Figure 1, conducted based on an electronic survey.

Figure 1 - Conceptual model of the research The sample consists of a list of 6,509 companies located in Brazil, from the sectors of industry and services, with over 200 employees. This list originally comes from the study called Demography of Companies, conducted by the Brazilian Institute of Geography and Statistics [IBGE]. Data were collected through a self-administered electronic questionnaire. The respondents were directors, representing companies from the commercial/marketing, industrial or R&D; administration/financial or human resources areas, as we believed that these professionals would be those with better access to the target information of this study. The respondents were invited to JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 89-108

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participate in the survey by email and once they accepted the invitations, they were given a password to access the questionnaire, which could be answered by steps. The software was provided by SoftResearch®, a company located in Curitiba, State of Paraná, Brazil, which managed the process. In the end, 241 questionnaires were collected, which originated the data analyzed.

The questionnaire consisted of 54 questions that used a 10-point ordinal scale, where 1 corresponded to the total disagreement on the question and 10 the full agreement with the question. The questions used were those corresponding to the scales used by various authors in other studies, namely: The questions to measure the effective knowledge management are those of the scale developed by Gold et al. (2001), appropriately modified. This scale originally provided three scales to measure this construct: knowledge acquisition; knowledge conversion/sharing; knowledge application; and knowledge protection. For this study, we did not use the knowledge protection scale. Therefore, the scale to measure the construct consisted of ‘effective knowledge management’, 11 questions relating to the knowledge acquisition process; 10 questions related to the knowledge conversion process/knowledge sharing and 9 questions concerning the knowledge application process, thus totaling 30 questions.

The questions to measure the market orientation were those originally from the MKTOR scale of Narver and Salter (1990), without adjustments, as follows: 6 related to the ‘customer orientation’ scale; 4 related to the ‘competitor orientation’ scale; and 4 related to the ‘interfunctional coordination’ scale, totaling 14 questions.

The questions to measure the innovativeness were the five questions used in the study of Tajeddini et al. (2006), without adjustments.

To measure the organizational outcomes, we used the three questions of the scale of Tajeddini et al. (2006), in addition to two other questions related to the internal results of the organization, originally from the scale of Gold et al. (2001), thus totaling five questions.

The scales, originally written in English, were translated into Portuguese and back into English for the verification of translation errors. Once the translations were validated, they were included in the questionnaire. The data collected were subsequently analyzed based on univariate and multivariate statistics, using software SPSS 16.0 and AMOS 4.0. For the analysis of the relationships among the constructs and the confirmation of the model, we used the SEM technique (Structural Equation Modeling).

5. DATA ANALYSIS Among the respondents, we observed a predominance of companies having from 200 to 1000 employees (81.3%), and 61% of these companies have from 200 to 500 employees. As for the location of the company’s headquarters, the geographical distribution was concentrated in the states of the Southern region of Brazil (SP = 50.2%; MG = 16.2%; RS = 11.2%; SC = 7.9%; RJ = 4.6%; PR = 4.6%; ES = 0.4%), as well as companies in states from other regions (PE = 1,2%; SE = 0,8%; PA = 0.8%; MT = 0.8%; PI = 0.4%; DF = 0.4%; BA = 0.4%). Among these, 67.6% belonged to the industrial sector and 32.4% in the service sector. The respondents were distributed with respect to their areas, as follows: 57.7% commercial/marketing; 26.7%

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administrative/financial; 11.5% industrial/R&D; 4.1% human resources.

The scales of each construct were submitted to exploratory factor analysis in order to verify a potential reduction of factors and identification of different scales of analysis, after which they were submitted to the confirmatory factor analysis, using the SEM technique (Structural Equation Modeling). In all scales and in the different scales of the constructs, the Kolgomorov-Smirnov test indicated the non-normality of the data distribution. As for kurtosis, it was also positively identified in the distribution of the variables in all constructs. By considering a survey that uses a progressive scale, it is expected that the data are not normally distributed and that the answers concentrate on one end of the distribution curve.

The evaluation of the colinearity was conducted based on the examination of the correlations between the various indicators, and we noted that all correlations are significant and lower than the critical value of 0.90. To offset the effects of nonnormality, we used the bootstrap technique. The Bartlett’s sphericity test carried out for all constructs also demonstrated that there is a sufficient relationship between the indicators for the application of factor analysis (Sig < 0.05). The identification of factors was performed through the principal components analysis and the Kaiser normalization method, and rotation through the Varimax method. The KMO test, Kaiser-Meyer-Olkin, which measures the adequacy of the sample (MSA) reached satisfactory levels in all constructs. The cumulative variance explained by the factors analyzed was always above the 60% limit suggested by the literature (Hair, Anderson, Tatham & Black, 2005). In the corroborative factorial analysis of the several constructs, the adjusting measures were considered satisfactory, and then such constructs were applied to the integrated model for the final analysis.

The adjusting measures of the integrated model, in all constructs, have not reached satisfactory levels, after which through the analysis on the offending estimates and the modification indexes (MI) offered by the software AMOS ® 4.0, its respecification was carried out. The model’s re-specification process required the exclusion of 3 variables from the construct Efficient Knowledge Management; 3 variables from the construct Market Guidance; 2 variables from the construct Innovativeness; and 2 variables from the construct Results. The size of the sample (241 cases) is above the minimum of 200 cases recommended as a rule of thumb by several authors, as mentioned by Garson (2009), although with a small margin, which could have affected certain indexes, mainly due to the complexity of the model, which, most likely, would show better results with a larger sample. Despite the data’s multivariate non-normality and that, traditionally, the Maximum Likelihood – ML estimation is provided with the normality presumption, several asymptotic robustness studies showed that the ML estimation can properly describe and evaluate the behavior of a model with non-normally distributed variables (Hu & Bentler, 1995), thus justifying the analysis carried out by this sort of estimation.

The adjustment of the model presented a 2 = 608.719 (CMIN) for 310 degrees of freedom (DF). Despite the fact that the discrepancy value is substantial for this degree of freedom (p= 0,000), the CMIN/DF value = 1.964, much lower than the maximum limit of 5, defended by literature, proves the good quality of the product (Klyne, 2005), supported by the Bollen-Stine bootstrap test, which produced p = 0.129, preventing the rejection, at 0.05 of significance on the assumption that the model is not a proper representation of the data behavior. Indexes GFI = 0.856 and AGFI = 0.812 (this latter has not been checked, thus, so far) remained under the desired value, as well JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 89-108

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as NFI = 0.873 and RFI = 0.845, however, the figures for IFI = 0.933, TLI = 0.917 and CFI = 0.932 produced good quality, above 0.90, as recommended by literature, confirming the model’s stable behavior. As the IFI, TLI and CFI values take sample size into account, as opposed to GFI, AGFI, NFI and RFI, and also remarking that the sample might be deemed small for the model’s complexity level, it is reasonable to expect a substantially improved behavior for the indicators that consider this aspect, which is supported by Byrne (2001). Another important point is that, according to Hu & Bentler (2001), several studies have shown a positive association of the sample distribution mean for the absolute indexes (GFI, AGFI, NFI and RFI) with the size of the sample, which corroborates the argument concerning the suitability of such indexes for the check on the model’s relevance. In addition, according to Mulaike (1984 apud Byrne, 2001) and Byrne (2001), the AGFI values are typically lower than those of the indicators of the other constructs, and in several cases, values above 0.50 are accepted.

The RMSEA = reached 0.063 and exceeded 0.05, which is the value recommended by Hu & Bentler (1999) as ideal, however, off the maximum limit of 0.08 suggested by the literature; the value of its close fit probability was p = 0.002, leading to the rejection of the null hypothesis that the model bears a low mean square error. Moreover, the confidence interval for RMSEA ranges from 0.056 to 0,071, indicating that the maximum value of the 90% confidence interval for p is still below 0.08, which is the value recommended by the literature. It is worth mentioning that the RMSEA is sensitive to the number of model’s estimated parameters, that is, for complex models it is difficult to acquire error values that are consistent with the ones recommended by the literature (BYRNE, 2001). According to Byrne (2001), it is possible to accept RMSEA values up to 0.08 as indicators of a good population quality in the sample used. The RMR = 0.204 was considered satisfactory.

5.1. Hypotheses and Discussion Test Given the exposure and analysis of the several indexes, the model seemed to suit the proposals of this research, and therefore, an analysis was carried out on other data arising from the evidencing factorial analysis for the hypothesis tests. For such, the values and statistical significances of the standardized regression coefficients were used.

A summary of the direct, indirect and total effects can be seen in Table 1.

Table 1 – Direct, indirect and total effects amongst the constructs Relations F11 Efficient Knowledge Management. => F12 Market Guidance F11 Efficient Knowledge Management => F9 Innovativeness F11 Efficient Knowledge Management => F10 Results F12 Market Guidance => F9 Innovativeness F12 Market Guidance => F10 Results F9 Innovativeness => F10 Results * sig. A p < 0,05 / ** sig. a p < 0,01 / *** not substantial

Direct Effects 0,928** 0,475*** -0,014*** 0,410*** 0,562*** 0,340***

Indirect Effects --0,381*** 0,812* --0,139*** ---

Total effects 0,928* 0,855** 0,798** 0,410*** 0,701* 0,340***

The results allowed the null hypothesis developed for the research to be checked, as follows: - “H01 – Knowledge management does not contribute positively to a company’s market orientation” has been rejected at <0.05. This result corroborates the theoretical

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formulations developed by Hooley et al. (2001), Arthur (1999) and Drucker (1993) defending that knowledge management helps companies acquire more feeling about the market, its developments, changes, and thus, it assists their customers with more efficiency and effectiveness. Indeed, it is possible to notice in the approaches of several authors (Day, 2001, Deshpandé et al. 1993, Jaworski & Kohli, 1993, Kohli & Jaworski, 1990, Kholi, Jaworski & Kumar, 1993) that market orientation depends on the capture, dissemination and application of knowledge on the clients and on the market. These statements prove the complementarity of the two concepts in their distinct aspects.

- “H02 – Knowledge management does not contribute positively to the company’s innovativeness” with a load of 0.475; it did not present statistical significance (p = 0.181), thus, this null hypothesis could not be rejected. The result does not corroborate the empirical evidences found by Bogner and Bansal (2007), Lemon and Sahota (2004) and Nonaka and Takeuchi (1997). The discrepancies regarding these other studies might rest in the differences of the measuring model selected for this research and its limitations, as well as in the sample’s cultural aspects or idiosyncrasies.

It is important to emphasize that other authors referred to knowledge as a resource that results from innovation, but have not directly mentioned the management of this resource, as affirmed by Arthur (1999), Drucker (1969; 1993; 2000) and Nonaka and Takeuchi (1997). On the other hand, this result is the same achieved by Darroch (2003), who rejected the hypothesis defending that knowledge management exerts direct impacts on the company’s innovativeness. The same author evidenced that, acquiring knowledge to be innovative is as important as determining its use. Therefore, the result presented in this research is rationally explained in the literature.

“H03 – knowledge management does not contribute positively to the organizational outcome” it also cannot be rejected due to the fact the direct effect of knowledge management on the organizational outcome does not pose statistical relevance. This case also presents discrepancy with regard to the theoretical principals of Arthur and Drucker (2000). The empirical studies that we found analyzing this relation were contrary to the concept. Darroch (2003) has not proven a direct relation between these variables. Teece (1998) and Wiig (1997) have found evidences of the financial results in this relation. On the other hand, Gold et al. (2001) found a clear and solid relation, however, based on a non-reflective model, in which the predictive variables reverse their roles and become formative. Moreover, the empirical study carried out by Darroch (2003) also rejected the hypothesis in which knowledge management affects the organizational outcomes and emphasized the difficulty for measuring the results from such knowledge, mainly due to the fact that, as a resource, knowledge enables the company to extract more from other resources. Although the scales used by the authors who have carried out empirical studies for drafting the construct ‘knowledge management’ were not the same, they might be considered alike; however, the different results might also be measuring the differences between the structure of the construct in the different studies, as occurred in this research.

“H04 – The company’s market orientation does not positively contribute to its innovativeness”, in addition to presenting a small load for the impact of the ‘market orientation’ construct within the ‘innovativeness’ construct, it presented no statistical relevance (p = 0.158), thus, the null hypothesis could not be rejected. The result is not supported by the empirical studies of Deshpandé et al. (1993), Tajeddini (2011) and Tajeddini et al. (2006), who found direct and relevant relations between these two constructs, although this latter author has used rather different scales for measuring the

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market orientation as opposed to the ones used by the other two authors. In this sense, Jaworski and Kohli (1993) understood innovativeness as a consequence of market orientation. In another example, Han et al. (1998) found a positive relation between these two constructs, but, with no statistical relevance. After several studies have been analyzed, the result accomplished with this research rests within the expectations, because the contradiction is evidenced by the literature.

The impact of market orientation was positively examined, however, at a significance degree of p = 0.069, leading to the rejection of the null hypothesis “H05 – The company’s market orientation does not contribute positively to the organizational outcome”. The result does not match most of the studies that evaluated the same relation, as listed by Jaworski and Kohli (2000), although there are several others that support the result of this research. Despite the indications of the studies, in addition to Deshpandé and Farley (1999), Jaworski and Kohli (1993) found quite different results in this relation. In a retrospective research about this relation, Langerak (2002) understood that market orientation does not directly influence the results. The empirical studies of Baker and Sinkula (1999) and Han et al. (1998) converge with the results acquired in this research, which identify the positive impacts of market orientation on the organizational outcomes; however, they are not statistically relevant.

Then, the result acquired here finds support on the literature and strengthens the disagreements about the theme. On the other hand, although not relevant at 5%, the result acquired is relevant at 10% and, in this case, the null hypothesis would be rejected.

The null hypothesis “H06 – The innovativeness of the company does not contribute positively to the organizational outcome” presented a moderate effect (or even low), but with no statistical relevance (p = 0.217). This result is not supported by the empirical studies of Deshpandé et al. (1993), Gold et al. (2001), Rapp et al. (2008), Tajeddini (2011); Tajeddini et al. (2006), for instance, to mention the referential projects used in this research. Nevertheless, it is important to remark that, although these projects had certain items in common for measuring the results of the companies, it is not possible to affirm that the scales were the same due to differences such as the number of indicators and different indicators used in each one of them. Rapp et al.

(2008), for instance, emphasized the sales results and found moderate relations among the variables; Tajeddini et al. (2006) used only four indicators against the seven used by Gold et al. (2001). Only the studies of Darroch (2003) were found to be in line with the results acquired here. This author analyzed specific aspects of the company’s innovativeness and associated them to its results that contradict the literature, remarking that, however , it is rational to understand that innovation skills are crucial for the survival of companies.

The structural model analyzed justified the 73% variance noticed in the construct ‘Organizational Outcomes’, 75% in the construct ‘Innovativeness’ and 86% in the construct ‘Market Orientation’. This demonstrated that, although the direct effects among the constructs have no statistical relevance, the total effects, which include the mediation of other constructs, are of great importance and statistically relevant, which emphasize the complexity of these relations. In this sense, the results from the total effects found justify the increased explanation power (R2) among the constructs.

It was found that, although the Effective knowledge Management (F11) has not produced a statistically relevant direct effect on Innovativeness (F9), when analyzed at an individual level, the total effect (0.855) of the relation between Effective Knowledge Management (F11) and Innovativeness (F9) is rather important and relevant when JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 89-108

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mediated by Market Orientation (F12). This result converges with the results found by Darroche (2003). In this case, market orientation is the meaning given to the knowledge, that is, the focus on the customer and on the competition, which are constituents of market orientation. This result disagrees with the thoughts of Christensen (1997), who defends that efficiently managed companies oftentimes are not able to innovate due to its concerns about meeting the needs of the market. In the same sense, the Effective Knowledge Management (F11) has not shown any direct effect on the Results (F10) when solely analyzed; however, this relation gains magnitude (total effect = 0.798) and statistical relevance when mediated by Market Orientation (F12) and Innovativeness (F9), however, its direct effect presented an absolute load (0.812). Darroch’s study (2003) concluded that knowledge requires a sense (understood here as constituents of market orientation) and a sense of application (understood here as a sense of innovativeness) so that it can produce results for the company, corroborating what has been found in this research. Market Orientation (F12) produced a total effect (0.701) with a good magnitude and statistically relevance regarding the Results (F10) when mediated by Innovativeness (F9), although the direct and indirect effects of Market Orientation (F12) on the Results (F10) are not statistically relevant when analyzed at an individual level. This is equivalent to saying that Market Orientation (F12) only produces important effects on the Results (F10) when mediated by Innovativeness (F9).

This result is compatible with the results of the research carried out by Baker and Sinkula (1999) and Han et al. (1998). It is also important to mention the indirect relations between the construct Effective knowledge Management (F11) and the firstorder latent variables Market Orientation (F6), Competition Orientation (F7) and Interfunctional Coordination (F8), of the Market Orientation construct. The Effective Knowledge Management (F11) shows a robust total effect (0.919) regarding the Interfunctional Coordination (F8), as well as good (0.794) and moderate (0.689) total effects regarding Client Orientation (F7) and Competition Orientation (F7), respectively, whereas they are all statistically relevant and provided with good explanation power.

6. CONCLUSION, RESEARCH LIMITATIONS AND RECOMMENDATIONS Through the research, it was possible to observe the existence of several gaps to be discussed with regard to the relations among effective knowledge management, companies’ market orientation, innovativeness and their impacts on the organizational outcomes. Although several studies have been carried out, the different measuring methods and constructs involved, as well as the different cultural contexts, have hindered the comparisons between certain results. However, some contributions were registered in this research. The model analyzed, which involved effective knowledge management, market orientation, innovativeness and the organizational outcomes showed a complex relation among the constructs, which appeared to be complementary and systemic.

The evidences that show that knowledge management is part of every relation studied here corroborate the statement that defends knowledge is the organizations’ primary resource, because the impact of effective knowledge management on the other constructs led to the understanding of the fact that this resource boosts the activities related to the companies’ value generation. Despite the fact several authors defended

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this aspect, no discussions based on empirical evidences were found in the literature thus far.

The effective knowledge management can also be perceived as the element that provides support, through its processes, for the development of a market-orientation and innovativeness culture; therefore, this is a relevant conclusion accomplished with this research. This is due to the fact that, knowledge management is commonly pointed in the literature as dependant on an internal culture favorable to its implementation, and not as a culture builder.

The positive contribution of knowledge management for the development of the companiesâ&#x20AC;&#x2122; market orientation occurs due to the direct effects of the processes linked to knowledge management that facilitate the capture, creation, organization, dissemination, sharing and application of knowledge, all related to the aspects of the market, and that aim at improving the relationship with the customers, improving or developing new products and maintaining and reaching new markets.

The results pointed that innovativeness needs to be instigated through market orientation, which indicates a route for the applications that will generate value to the company and, therefore, influence its results. This result evidences the contradictory statements about the argument of important authors in the literature concerning innovation and innovativeness.

Similarly, the acquired results lead to the conclusion that, in order to be effective, knowledge management requires a logical alignment with the organizational goals, evidencing its strategic character. Due to the fact that knowledge is perceived as a resource and identified as a booster of other resources, it is logical to reckon that several processes thereto related, such as capture, creation, sharing, dissemination, organization, application of knowledge among others, should have a differentiated treatment in the management of companies. It is also logical to understand that the employees, who are knowledge bearers, receive the same treatment.

The managerial contributions of the results found here can be analyzed through two perspectives: On the one hand, a more generic perspective that concerns the importance of implementing knowledge management, on the other, the method for applying the techniques associated to this management method.

About the first perspective, as discussed in the literature, knowledge management is not about a fad. The empirical evidences hereof and those related to several other studies have shown that knowledge is a resource that can make the difference in the process of achieving corporate goals. Despite the fact it is not tangible or a measurable resource, one cannot deny that the impact of the management of processes that facilitate its capture and flow within the company including its application on products, services or even on improvements of the operational efficiency, it is relevant for achieving optimum results in the creation of value. In this line though, since it is evident that knowledge is created and applied by experts, which are the employees and partners of the companies, trying to understand that knowledge is limited to the management of people, after the empirical evidences found here and within other researches, would be reductionism. This is due to the fact that people work according to processes defined by the companies and within an environment that could be somewhat suitable for the processes linked to the management of knowledge to develop efficiently and effectively, not to mention the material structure (technology, mainly) for that to occur. Therefore, it is possible to affirm that the management of knowledge also handles the management of people, although not limited to this.

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Through the perspective regarding its implementation, given the complexity and the systemic form of the impact caused by knowledge management, as identified here, it is logical to assume that one-off actions, devoid of goals or of a strategy for the management of knowledge, tend to achieve controversial results. In other words, knowledge management must be developed and applied on the basis of a strategic view.

Although this result seems coherent, part of the literature analyzes the practice of knowledge management with basis in the application of one-off managerial practices, which, in view of the empirical results achieved here, makes little sense.

As expected, once it is generically understood that this is its primary goal, it became evident that knowledge management contributes to the companyâ&#x20AC;&#x2122;s innovativeness and to the results, however, as long as oriented towards tangible goals.

This conclusion arouses important managerial implications, for, as mentioned previously, the one-off practices of managerial techniques related to knowledge management prevail among the companies.

Ultimately, although it was not possible to positively identify the contribution of the companyâ&#x20AC;&#x2122;s innovativeness to the results, at an individual level, it was possible to understand that, jointly, knowledge management, market orientation and innovativeness are determining factors for the achievement of results in the organizations.

The sample and the quantity of respondents that provided the data figure among the primary limitations of this research, which reached the minimum limit required for the statistical analyses. Furthermore, it is possible to cast doubt on the sampleâ&#x20AC;&#x2122;s representativeness with respect to the universe of Brazilian companies. On the other hand, except for the MKTOR scale, the other scales are still provided with substantial imperfections. These scales were developed to be applied to other cultures of other countries, which might have caused certain misinterpretations on the part of the respondents, despite the efforts for their adaptation. Ultimately, some of the adjustment indexes achieved lay within the threshold of the acceptance levels or slightly below, as ascertained. This result might be a consequence of data non-normality, sample size, complexity of the model tested and suitability of some variables in the scales. All of these aspects also point to further research.

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JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp.109-122 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100006

INTELLIGENT TUTORING SYSTEM FOR DISTANCE EDUCATION Jose Dutra de Oliveira Neto Elby Vaz Nascimento Universidade de São Paulo, São Paulo, Brazil __________________________________________________________________________________

ABSTRACT This study aims to develop and implement a tool called intelligent tutoring system in an online course to help a formative evaluation in order to improve student learning. According to Bloom et al. (1971,117) formative evaluation is a systematic evaluation to improve the process of teaching and learning. The intelligent tutoring system may provide a timely and high quality feedback that not only informs the correctness of the solution to the problem, but also informs students about the accuracy of the response relative to their current knowledge about the solution. Constructive and supportive feedback should be given to students to reveal the right and wrong answers immediately after taking the test. Feedback about the right answers is a form to reinforce positive behaviors. Identifying possible errors and relating them to the instructional material may help student to strengthen the content under consideration. The remedial suggestion should be given in each answer with detaileddescription with regards the materials and instructional procedures before taking next step. The main idea is to inform students about what they have learned and what they still have to learn. The open-source LMS called Moodle™ was extended to accomplish the formative evaluation, high-quality feedback, and the communal knowledge presented here with a short online financial math course that is being offered at a large University in Brazil. The preliminary results shows that the intelligent tutoring system using high quality feedback helped students to improve their knowledge about the solution to the problems based on the errors of their past cohorts. The results and suggestion for future work are presented and discussed.

Keywords: Formative assessment, feedback, intelligent tutoring system..

_____________________________________________________________________________________ Recebido em/Manuscript first received: 03/04/2010 Aprovado em/Manuscript accepted: 24/02/2012 Endereço para correspondência/ Address for correspondence Jose Dutra de Oliveira Neto, Mestre em Engenharia Elétrica pela Universidade Estadual de Campinas (1987) e Doutor em Controladoria e Contabilidade pela Universidade de São Paulo (1999). Pós Doutorado na University of Illinois at Urbana-Champaign na faculdade de Educação sobre Qualidade em EaD. Professor Livre-docente pela Universidade de São Paulo, Brasil, E-mail: dutra@usp.br Elby Vaz Nascimento, Bacharel em Análise de Sistema pelo Centro Universitário de Lins (UNILINS).

Analista de sistema e desenvolvedor. Atua na área de TI no UNICEP - Centro Universitário Central Paulista. Mestrando na EESC-USP, Brasil. E-mail: elbyvaz@yahoo.com.br

ISSN online: 1807-1775 Publicado por/Published by: TECSI FEA USP – 2012

110 Oliveira Neto, J. D. de., Nascimento, E. V.

1.

INTRODUCTION

The traditional mode of education (formal education) is still the most common in Brazilian higher education institutions (HEIs). In this educational model, teachers play an active role and impart their knowledge to students, who receive information passively. In general, one of the features of traditional formal education is to follow a unidirectional teaching methodology, which prevents students from taking a more active and flexible part in their learning process (Dib, 1988).

Vasconcellos, Oliveira, &Berbel (2006) regard the traditional mode of education as a practice constrained by classroom time and space. The academic directives of HEIs that employ traditional teaching modes usually include an assessment system linked to grades and pass-fail procedures. These procedures justify the existence of mid- and/or end-of-process assessment practices, which place too much weight on the grades.

Another teaching-learning mode—on which this study is based—is the nonformal education. It follows a bidirectional, non-contiguous methodology (teacher ↔ student). This flexible methodology is capable of adapting to students’ needs and interests (Dib, 1988).

As a support of this approach, Souza (2003) sustains that the teaching-learning process should be consistent with students’ intellectual development, i.e., it should help teachers to identify and adapt their teaching practices to different cognitive levels of different students.

In order to meet students’ specific needs it is necessary to measure their cognitive development throughout the course/program by means of an assessment process. According to Piletti (1987), assessment is an ongoing investigation process aimed at interpreting students’ knowledge, skills, and attitudes in view of expected or desired behavioral changes. The existing types of assessment are: (a) diagnostic assessment, which seeks to identify students’ competencies, and assign them to different groups or learning levels; (b) formative assessment, whose goal is to collect data during the teaching-learning process so as to guide it; and (c) summative assessment, which measures the results of a process, usually conducted at its end.

Based on the information gathered during the formative assessment, it is possible to affect students’ learning process. This may be facilitated by intelligent tutors through timely and high-quality feedback.

As stated by Oliveira Neto, Cornachione Junior, & Nascimento (2009), feedback is more effective when it provides information about students’ progress and/or information that can help them to advance in their studies. The purpose of this information is to change their thinking/behavior and improve their learning/academic performance.

In the specific case of online courses in Financial Mathematics offered in Brazil, it may be observed that their assessment processes usually employ automated assessment tools such as multiple-choice tests. These tests notify students about their success or failure, but fail to inform them about the accuracy of their answers as regards their knowledge. For this reason, this type of automated system has limited use in more

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complex learning processes. In addition, it could benefit substantially from quality and timely feedback (Pisan et al., 2002).

Instructional design is a very important step for the planning and development of online courses with intelligent tutoring. Knowledge of the teaching model, instructional strategies, and instructional technologies are essential to successful online courses.

Given the aforementioned context, this study aims at assessing the use of intelligent tutoring in the form of intelligent feedback in a distance learning course in Financial Mathematics designed according to the instructional design model called ILDF called ILDF (Integrative Learning Design Framework) online supported by the communal-knowledge theory.

In order to achieve this objective, specific goals were defined as follows: (a) creation of some rules based on students´ mistakes from previous offerings of the same course and feed them into a knowledge base; (b) design of an online course according to the instructional model adopted; (c) implementation of intelligent tutoring—based on this knowledge base by means of intelligent feedback—as part of formative assessment in the course; and (d) piloting of the course with a sample of students and evaluating its results.

2. THEORETICAL UNDERPINNINGS According to Oliveira (1999), intelligence in intelligent teaching systems is based on students’ knowledge deriving from the analysis of their interaction with the subject matter. Based on this analysis, an artificial intelligent agent identifies students’ cognitive profiles and adapts them to the learning needs matching these profiles, i.e., pedagogical contents available to students are adjusted to their learning needs in order to optimize .

The studies related to the theme addressed in this investigation focus on three dimensions: formative assessment, feedback, and communal knowledge.

Formative assessment assists Intelligent Systems throughout a distance education (DE) course by means of intelligent tutoring, which may be supported by intelligent feedback. Based on students’ experiences, a knowledge base developed in accordance with the communal knowledge theory was employed to inform intelligent tutoring (Figure 1).

Intelligent Tutoring (Feedback)

Formative Assessment

Communal Knowledge

Figure 1 –Theoretical framework of the study.

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Formative assessment has been investigated as a way to evaluate and provide students with feedback during their learning process as opposed to summative assessment done at the end of the course.

As stated by Pirenos (1999), formative assessment may be seen as a type of continual assessment aimed at improving ongoing learning processes, thereby contributing to guidance and monitoring of students during their training period.

Formative assessment is the kind of assessment that helps students learn and grow and is part of learning regulation and development in terms of an educational project. It is interesting to note that for the practice of formative assessment it is important to collect data generated by the students during the course, because only then the teacher can be aware of their real situation and prepare for a possible intervention.

As reported by Otsuka et al. (2002), continual assessment in online courses can be done by analyzing learners’ records of participation in the course (activities, interactions, and collaboration among learners). This assessment mode is particularly relevant in DE as it allows teachers to observe students’ behaviors, promotes the identification of problems, and enables the authentication of students’ identities.

Along these lines, Rosa & Maltempi (2006) indicate their search for online assessment methods that facilitate formative assessment of student performance. It is believed that student training will be acknowledged as the center of teaching and learning. Thus, it is up to the teacher to promote formative assessment so as to contribute to the cognitive process established through learning actions.

Maximo, Raabe, & Barone (2007) point that for effective teaching and learning to occur, it is necessary to adopt a type of assessment that is more formative than summative.

The fact that teachers can intervene in student learning demonstrates that they do not only act as mere observers, but also as agents who challenge the research subjects, questioning their answers. One of the goals of this behavior is to observe how a person’s intervention affects another’s performance.

In essence, Rosa & Maltempi (2006) claim that formative assessment emphasizes the process over the product; it is decoupled from the quantification of knowledge and linked to educating individuals.

Ferreira & Carvalho (2004) use the term “formative assessment” to refer to all the activities conducted by teachers and students providing information that can be used as feedback to improve teaching and learning.

In short, the literature indicates that formative assessment holds great potential.

This study indicates the possibility of implementing this type of assessment by means of intelligent feedback as an application of intelligent tutoring.

Feedback may be understood as regeneration and response, but according to Bulhava (1977), feedback can be defined as an action employed to inform learners whether their answers are right or wrong. In addition, it can also be employed to give new instructions instead of merely imparting the correct answer to students.

Wilges et al. (2007) advocate that teaching situations should be presented as small, increasingly complex teaching units and that at the end of each unit there should be questions and feedback rewarding students for their hits or assisting them when they JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 109-122

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make mistakes. It is possible to see the merit given to feedback in this kind of assessment. It is important to remark that these authors do not indicate feedback just as a way of assisting students when they are wrong, but also as a way of validating their knowledge when they are right.

The importance of feedback to facilitate teaching and learning has been widely acknowledged, especially because it can be employed as confirmation (i.e., confirmation of correct answers) and correction (i.e., indication of mistakes by teachers and their correction by students) (Birenbaum & Tatsuoka, 1987).

Along these lines, Kulhavy (1977) argues that it is necessary to deal with the correct and incorrect answers independently. The purpose of feedback on a correct answer is to show learners that their understanding is appropriate to the lesson taught. A correct answer matches the feedback, i.e., students are able to realize that their understanding of the subject matter is correct. On the other hand, the feedback on a mistake is more important than providing confirmation of a correct answer, because when a mistake has been made, not only does feedback eliminate the wrong answer, but also replaces it with correct information. Once the error has been identified, students will seek to correct it and replace it with correct information, resorting to the theory in question and background materials.

In addition to being employed to assist students in their learning process, feedback can also be used in a different way. Klecker (2007) claims that feedback given as reinforcement works both as extrinsic motivation—when other students are involved—and as intrinsic motivation—when the student is motivated to selfcorrection.

In order to ascertain the importance of using feedback in learning, the results of two studies by different authors are briefly described: (a) Klecker (2007) conducted a survey with 77 students, who participated in online course assessments; students who were aided by formative feedback during tests scored higher than those who were not; (b) Gilman (1969) also conducted a study with 75 students divided into two groups, and with only one feedback was employed as reinforcement; after a week of lessons, training, and tests, the performance of the group that had had feedback as part of the learning process was significantly higher than that of the control group. The author affirms that not only does feedback work as reinforcement, but it also provides additional information, because students—regardless of getting it right or wrong—are redirected to supplementary materials, which are conducive to knowledge broadening.

In another study, Birenbaum&Tatsuoka (1987) also concluded that students that had received feedback as guidance performed better and learned more effectively than those who had had none.

The lack of timely and high-quality feedback has been pointed as a critical factor in the teaching-learning process. Usually, two evaluations per semester are conducted on average in courses with large classes. As a result, students have limited opportunities to learn from their mistakes, since it is difficult for instructors to monitor student progress. The solution, according to Pisan et al. (2002), is to automate the process.

Feedback has a potential use in DE courses since it allows training to be more personalized. In large classes, common in DE, individual monitoring of each student is a very difficult task for the teacher, in view of the large amount of information generated in the virtual learning environment (VLE).

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Consequently, students are the ones to benefit the most from technology-aided feedback, because from the moment that teachers start working with students on an individual basis, the latter, in turn, become more motivated to do their tasks, express their question, and interact with their teachers and peers. In short, despite being of assistance to the teacher, technology may promote more student learning at the end of the course.

Bloom, Hastings, &Madaus (1971) also suggest that a wrong statement be accompanied by a detailed compilation of teaching materials (textbooks, tutorials, URLs or movies) to be consulted by students in order to correct their mistakes and improve their knowledge about the subject matter in question. It is desirable that this statement be very specific, preferably indicating pages or chapters of books, sites, links, and so on.

Intelligent feedback should be provided by a knowledge base originated from studentsâ&#x20AC;&#x2122; teaching and learning experiences. The communal knowledge theory was employed to create this knowledge base.

Communal knowledge is a term employed to represent the possibility provided

by DE to students of creating and contributing to the storage of new knowledge in any form (e.g., projects, artifacts, and experiences) in a shared knowledge base for the benefit of other students new to the learning community (Holmes & Gardner, 2006).

According to Holmes & Gardner (2006), communal knowledge comes into being when students create their own knowledge as a result of experiences and interactions. Students are also responsible for feeding their knowledge into a shared knowledge base so as to help newcomers to the community.

Holmes et al. (2008) claim that communal knowledge is rooted in the assumption that students and teachers will not engage just in developing their own information but that they will also actively engage in creating knowledge to benefit other students.

It is argued that several techniques can be used to enrich this type of learning environment (communal knowledge), which focuses on learning with and for others.

Students can carry out the activities of a course during a given year, but there is no knowledge transfer among students from one year to the next. If students were to take part in a learning process in which their knowledge could be captured, then courses would be able to promote knowledge construction rather than merely retransmit it year after year (Holmes et al., 2008).

3.

METHODOLOGY

In order to implement intelligent tutoring in a DE course, we propose the implementation of intelligent feedback by means of a knowledge base in the formative assessment process (Figure 2). All student experiences should be stored in a database to be converted into rules so as to help students in upcoming courses.

The implementation occurred in a course in Financial Mathematics using HP12C consisting of four modules: Introduction, Simple Interest, Compound Interest, and Simple Discount. The online course is offered via Moodle and has a 40-hour workload.

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professionals and students of finance. In order to meet the proposed objective two major steps were taken: Step 1: creation of a knowledge base with rules based on experiences of students in previous offerings of the same course. The previous offerings of the course, which were stored in the database, were analyzed and the mistakes found were converted into rules and strategies to help future students. The rules were to comprise the correct formula, wrong formulas, error message, and links to theory or additional exercises.

Step 2: Redesign of the course using intelligent feedback as one of the formative assessment strategies. Upon receiving a studentâ&#x20AC;&#x2122;s answer, the intelligent feedback system should produce timely feedback and send a message indicating a hit or a mistake. The course was designed in accordance with online ILDF. Student Answer Algorithm Intelligent Feedback

Knowledge Base Figure 2: Intelligent Tutoring system with feedback.

4. RESULTS AND DISCUSSION The results and analysis in this study will abide by the same aforementioned steps.

Step 1 â&#x20AC;&#x201C; Knowledge Base After analyzing the data from previous offerings of the same course, it was possible to construct about 15 rules to be used in this course. Table 4 shows an example of one of the rules identified. Together with the wrong formula were individualized feedback and a link to the corresponding theory (Table 4). All the rules were incorporated into the VLE (Moodle).

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Question Determine the bi-monthly simple interest rate (% a.b.) that makes the capital multiply [var1] times its value after [var2] years.

Correct Formula

((([var1]-[1])

Wrong Formula (Rule)

/[var2])/[6])*

((([var1][1])/[var2])/

[100]

[6])

Individualized Feedback

Link to Theory

As explained by the theory of Simple Interest, the rate is estimated as a percentage; therefore, the value should be multiplied by 100.

http://...

Table 1: Example of a rule established before the course began.

Step 2 – Redesign of the Course in Financial Mathematics using HP-12 via Intelligent Feedback The course was redesigned according to online ILDF (Bannan-Ritland, 2003) and consisted of four modules and an end-of-course exam. Each module comprised a test with about 10 questions with variables randomly generated at each attempt. At every attempt, the system stored wrong results in its knowledge base. Conversion of mistakes into rules is presently done manually at the end of the course. The required grade in the modules for students to be able to do the end-of-course exam is 8. Students can do the module tests as many times as necessary to obtain the desired grade, the highest grade obtained always prevailing. This favors learning in that students have to put in a lot of practice to obtain (or exceed) the required grade in the module tests.

The use of online ILDF allowed the definition of three fundamental elements of the course, which are: Educational Features, Instructional Strategies, and Instructional Tools. This means that the tools employed (e.g., forums) are justified for the implementation of the adopted strategies supported by the selected pedagogical features (based on multiple theories of learning). This means that all tools used in the course are supported by the chosen pedagogical model.

Intelligent tutoring was conducted via intelligent feedback, in which students submit answers for automatic correction. Then, the system compares the answers received with the correct answers (using the right and wrong formulas existing in the knowledge base), i.e., it applies the values of the current variables to the formula set by the teacher and compares the result with the student’s answer. At this point students are redirected to another window and see a table with the following columns: (1) question number; (2) student’s answer; (3) correct answer (in red if the answer is different from the student's (wrong answer) and green if the answer matches the student’s (correct answer)); (4) message; and (5) a link to theory depending on whether the student’s answer is right or wrong. It is important to remark that the system stores students’ achievement rates in each test as well as the date when the interactions occurred in order to check later their evolution during the course.

The three following figures are examples of three types of feedback given to students. Figure 3 indicates that the student’s answer is right and so he or she receives positive reinforcement in addition to supplementary material. Figure 4 illustrates the case of an unknown mistake, i.e., a mistake that is not part of the system database yet.

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In this case, the student is given some tips so as to be able to solve the problem and is directed to the theory studied in the module. It is hoped that new rules will be fed into the system every time the course is offered anew. In the third case (Figure 5), it is possible to note that the mistake has already been stored in the knowledge base. Then, the purpose of this kind of feedback is to show students a possible cause of their mistake so that they can solve the problem.

Figure 3: Individualized feedback for a right answer.

Figure 4: Individualized feedback for an unknown wrong answer.

Figure 5: Intelligent Feedback for known mistake.

In order to evaluate the potential use of Intelligent Feedback the course was piloted with just six students, which produced promising results. Table 2 shows that a student gave a wrong answer (known to the environment) and subsequently succeeded

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in getting it right. It should be remarked that the variables of an exercise are generated randomly and, as a result, are not repeated.

Based on the sample investigated, 66% of the students giving a wrong answer to the aforementioned question made use of intelligent feedback and got it right in the next interaction. Intelligent feedback is believed to have helped them to evolve cognitively.

The results from this investigation are consistent with those described by Klecker (2007), who divided his sample of students into two groups (two classes). The author demonstrated that feedback assisted students in knowledge construction, concluding that the group that had been given feedback performed better than the one that had not. This investigation is also corroborated by the study conducted by Gilman (1969), which shows the importance of giving feedback to formative assessment. In Gilman’s study the students were also divided into two groups and only one group received feedback (formative assessment). The performance of the control group was significantly inferior to that of the experimental group thereby showing that formative assessment with feedback assists students in knowledge construction.

In order to check whether intelligent feedback had been helpful, some students were interviewed. These students reported that it did help them to get the right answer at least once, i.e., upon receiving feedback after making a mistake known to the system, the indication found in the answer table helped them to answer the same question correctly the next time they interacted with the questionnaire. After being asked whether the individualized feedback had helped him in some way, a student answered: […] the tip shown in the answer table really helped me to improve my grade in the questionnaire. There was a question that asked us to estimate the monthly rate and I did the daily rate. When I read the individualized feedback provided by the environment suggesting that I multiply the result by 30, I returned to the question right away, did the exercise again, and I got it right this time.

Another student reported: […] every time I sent the answers I resorted to the individualized feedback answers to do correctly the exercises I had gotten wrong. Thus, I was able to improve my learning in many interactions.

This pilot test showed the significant potential of the proposition in this study.

Not only does intelligent feedback allow teachers to assess the correctness of students’ answers to problems, but it can also help the latter to improve their knowledge and promote self-directed learning.

5. FINAL REMARKS

Distance Education has great potential in the construction of more individualized learning in that students can be assisted on an individual basis and their individual cognitive styles can be taken into account. To this end, it is necessary that educational institutions offer top-quality courses at a distance so that students can really learn.

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of the teaching-learning process. It is therefore capable of assisting students on a case by case basisâ&#x20AC;&#x201D;by means of high-quality individualized feedbackâ&#x20AC;&#x201D;and of helping them to build their knowledge from the accumulated experience of students from previous offerings of the same course.

Given the aforementioned scenario, the following contributions are worth mentioning: (a) Consolidation of planning is necessary for a course to reach a significant level of quality. In this study, this planning was carried out via online ILDF, which enabled the identification of some characteristics of the different pedagogical models proposed, the selection of instructional strategies, and the implementation of these strategies in the various instructional technologies selected. In addition, Moodle was chosen as the VLE so as to facilitate the implementation of these technologies. It should be remarked that the characteristics of the teaching model as well as instructional strategies and technologies are independent from the VLE in question, enabling the migration of the created structure to any other environment that includes the resources necessary for the use of the features defined for the course; (b) Assistance in the construction of student learning by means of feedback, in turn, played a key role in implementing the course. In this study, environmentallygenerated feedback defined the formative assessment practice. It follows then that the provision of formative assessment and feedback has great potential in that a mistake made by students can promote their learning. Thus, this study has shown that individualized feedback can assist students in building their knowledge during the course. In the case of mistakes made by students, it facilitated their evolution in order to do the exercise correctly in the next interaction with the VLE, and in the case of success, it helped them to consolidate their knowledge by means of supplementary material; (c) Use of past experiences to assist forthcoming students in learning the subject matter (communal knowledge). As part of a cyclical process, the new rules identified during other offerings of the course (incorporated into individualized feedback) can support forthcoming studentsâ&#x20AC;&#x2122; knowledge construction. For instance, the course conducted to validate this study employed data from previous offerings of the same course. Similarly, the data generated in the current offering of the course will be used in the individualized feedback of future offerings.

In addition, one of the chief contributions of this study to DE scholarship is to indicate some aspects for further investigation, such as: 1.

Identification, by means of interviews or other research methods, the reason why students make mistakes so as to prevent them, not just correct them; 2.

Automation of rule generation the minute students answer the questions thereby helping other students from the same offering of the course, not just forthcoming ones. Another benefit from this procedure is to free the teacher from having to identify new rules manually and feed them into the database; 3.

Automation of formative assessment by comparing data generated by students to assessment criteria defined by the tutor thereby making it possible to generate dynamic reports and graphs and for teachers to give more individualized feedback to students;

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4.

Offering of a course in Financial Mathematics via HP-12 to a larger sample of students so as to consolidate the potential of individualized feedback in assisting participating students in knowledge construction.

In short, different assessment modes—especially those that comprise feedback—may be implemented in various combinations, but what really matters is that students achieve significant learning at the end of the process.

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Dib, C. Z. Formal, non-formal and informal education: concepts / applicability (1988).

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Ferreira, M. C.; Carvalho, L.M.O.(2004) A Evolução de jogos de Física, a avaliação formativa e a prática reflexiva do professor. Revista Brasileira de Ensino de Física, São Paulo, v.26, n.1, p.57-61.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp. 123-146 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100007

IT OUTSOURCING: METHODOLOGY FOR SELECTING SUPPLIERS CRITERION FOR COMPETITIVE ADVANTAGE José Celso Contador Ademir Antonio Ferreira UNIP - Universidade Paulista, Sao Paulo, Brazil Sérgio Alexandre Simões Wilson José Souza _____________________________________________________________________________________

ABSTRACT The main reasons that motivate companies to outsource the services of Information Technology (IT) are: reducing costs, improving service quality and concentration on their core competencies.

And the decision criteria of the contracting company are focused on those reasons. This article proposes a strategic criterion: the company should hire the supplier that best leverages their competitive advantages. This criterion implies the need to develop a specific methodology to this purpose, which is reported in this paper. To support it, the authors analyzed the models of Porter, Resource-Based View, Balanced Scorecard and the Fields and Weapons of the Competition, and making an option for the latter. The methodology was developed and applied to an Insurance Company and accepted by their leaders.

Keywords: Competitiveness, Competitive advantage, Fields and Weapons of the Competition, Outsourcing, Information Technology.

1.

INTRODUCTION 1.1 Motivation, problem and objective of the study

The motivation for the development of the methodology presented in this paper was the request of an insurance company to outsource services in the area of development and maintenance of application systems. From initial interviews, the idea to approach the problem from the focus of competitive advantage arose.

Of course, the prime question was: would a structured process for selecting suppliers of IT (Information Technology), by the criterion of competitive advantage, be able to guide the outsourcing decision, in order to help the Insurance Company to achieve their goals? _____________________________________________________________________________________ Manuscript first received/Recebido em 02/06/2010 Manuscript accepted/Aprovado em: 02/02/2012 Address for correspondence / Endereço para correspondência José Celso Contador, UNIP - Universidade Paulista, Sao Paulo, Brazil, Rua Abílio Soares, 942, ap. 21, São Paulo, CEP 04005-003, telefones (11) 3889 0639 e (11) 8168 3200, E-mail: celsocontador@terra.com.br Ademir Antonio Ferreira, UNIP - Universidade Paulista, Sao Paulo, Brazil, E-mail: adefer@usp.br Sérgio Alexandre Simões, Sao Paulo, Brazil, E-mail: sergio.a.simoes@uol.com.br Wilson José Souza, Sao Paulo, Brazil, E-mail: wilson.wjs@terra.com.br Published by/ Publicado por: TECSI FEA USP – 2012 All rights reserved.

124 Contador, J.C., Ferreira, A.A., SimĂľes, S.A., Souza, J. W. de

Searching the literature, mainly the theories of Porter, Resource Based View (RBV) and Contador (discussed below), there was no methodology that could be fitted to answer the question. Therefore, it was necessary to develop a method to consider the peculiar characteristics of the situation. So, the objective of the study reported in this paper was to develop a methodology to select suppliers of IT outsourcing for development and maintenance of application systems in order to increase the competitive advantage of the contracting company, considering the strategic aspects of risk, technical and commercial issues. And the specific objectives deriving from the main purpose of the job were: 1) choose the most appropriate theoretical framework, 2) develop the methodology; 3) apply it to the Insurance Company and 4) to verify their acceptance by the senior managers in the organization.

Considering the favorable results obtained, it was decided to disseminate the work done and submit the methodology to the scientific community, so that it can be evaluated and improved, which is the purpose of this paper. Initially, it is convenient to present the thought that inspired the methodology and the process adopted.

1.2. Methodology According to Lee and Kim (1999), Hirschheim and Lacity (2000) and Barthelemy (2001), there are three main reasons why companies outsource IT services: reducing costs, improving quality of IT services and focus on company core competencies, the first being the most cited. Much of the literature, according to Leite (1997) and Gareiss and Weston (2002), consists of oriented decisions based on costs associated with TI outsourcing. According to Clark et al (1995) and De Looff (1997), the cost is the most important motivator of outsourcing due to the growth of the budget brought about by greater use of IT. And the dominant thinking that guides the current methodologies for suppliers selection of IT services, as Prado and Takaoka (2002), Reinhard and Bergamaschi (2008) and Meireles (2007), focuses, primarily, on the lowest price of the service and/or reduction the total value of IT services.

The thought which underlies the methodology presented here is different: the company should hire the supplier that can leverage their competitive advantages. Some examples clarify this thought: 1) if the company wants to gain competitive advantage in price, it should hire the one that offers the lowest price, provided it meets product (which may be a good or service) specifications; 2) if you want competitive advantage in product quality, you must hire the supplier which has the best quality in the process, 3) if you want to get it delivered, you should hire the supplier that has high speed in processing the good or service; 4) if you want to get it in the image, you shall hire the supplier that has the best image in the business environment. Obviously, the price charged by the supplier should be acceptable.

For the supply of goods or non-strategic services, that is, those which do not contribute to or compromise the competitive advantage of the contracting party, the criterion is the same: to choose the minimum cost, as low cost often leverages the competitive advantage. Note that this criterion is more complete than the cost to improve the quality of IT services and focus on company core competencies, because it covers these competencies and gives them specificity, indicating which set of supplier attributes is more interesting: low price, product quality, delivery or image, as cited in the previous example.

The inspiring thought of the methodology presented here is guided by Zaccarelliâ&#x20AC;&#x2DC;s statement (2000, p 91).: "For managers to be effective, thinking in terms of

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competitive advantage proved more valuable than thinking in terms of cost / benefit rate return on investment, benchmarking cost etc.. The competitive advantages have become the foundation of modern strategic thinking. Others techniques to support decision making process must be respected, but they should be relegated to the sidelines".

Authors of several competitive strategy theories support this thinking. Porter (1980, 1985), Peteraf (1993), Krogh and Ross (1995), Barney (1991), Hamel and Prahalad (1995) may disagree on many points, but they agree that the company’s success is a consequence of their competitive advantages.

Nicholas Carr (2003), in his article “IT does not matter”, presents IT as a resource that is undergoing a transformation process in the form of acquisition by organizations, due to abundant availability, prices and standardized facility for hiring and use. He says that, as computers and software become available to all, IT becomes a commodity and its strategic value disappears, and recommends that companies invest less in IT, no more exploiting their innovative potential, but directing its efforts to safety and reducing the risk of service interruption in its current computing environment.

Peter Keen, however, preferred to justify the strategic planning of IT resources highlighting the importance of choosing an appropriate management model. "When all companies have essentially the same access to IT resources, the competitive difference and economic benefits that companies can gain reside in IT management and not in technological differences" (Keen, cited by Devaraj and Kohli, 2002, p . 20). In this article, we intend to discuss another aspect to counteract, at least partially, the vision of Carr and those that focus mainly on lower costs. In our opinion, these authors are right when it concerns the supply of goods or services that are not strategic, those which do not contribute to or compromise the competitive advantage of the contracting party, as those which are simply operational. But the vision of these authors cannot be generalized, as IT, as well as other company resources, can contribute to the company’s competitive advantage and then have strategic value. This thought was, still in an incipient form, the one that subsidized the method to align IT solutions to the organization's strategy with the aim to integrate the information systems and support the organization's strategy (De Sordi; Contador, 2005).

As discussed below, the methodology developed is based on the model “Fields and Weapons of the Competition” (Contador, 2008), described in section 4, which is a suitable model for qualiquantitative understanding, analyzing and explaining how organizations compete. It proposes measures aimed to increase competitiveness and to formulate competitive strategies operating aligned to the company’s business strategy.

1.3 Study’s relevance and originality and organization of the paper To justify the importance and relevance of this study, we highlight the strategic approach, adopting the competitive advantage issue. Moreover, as explained in the previous subsection, the criterion of competitive advantage is more complete than the price or improvement the quality of IT services and focus on company’s core competencies, because it covers and gives them specificity, which shows the set of supplier’s attributes that most interest the company: low prices, product quality, delivery, image or others.

The methodology by the criterion of competitive advantage can be considered unique because it was not found in any review of the literature with this approach. What we found was the methodologies based on the company's strategic objectives

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(Diromualdo; Gurbaxani, 1998), according to Strategic Planning (SP) discussed in 1960 and 1970. However, the SP is considered, by authors in the strategy field, as Porter (1980, 1985), Barney (1991), Mintzberg (1994) and Zaccarelli (2000), an inadequate tool for competition, which has been intensified since the 1980s.

In this paper, some concepts of IT outsourcing are recapitulated in section 2 and the works of authors who deal with competitive advantage are analyzed in Section 3. To justify the choice of the model â&#x20AC;&#x153;Fields and Weapons of the Competitionâ&#x20AC;?, as a theoretical study, the main concepts of this model are presented in section 4, the development and evaluation of the methodology are presented in section 5 and conclusions are described in section 6.

2. OUTSOURCING 2.1. Concepts Lacity and Hirschheim (1993) argue that outsourcing means the use of external agents to perform one or more organizational activities. To Araujo (2001), outsourcing means transfer to others the responsibility for the execution of a certain task, becoming a permanent process that allows the company to concentrate on their core business.

According to Williams (1998), to the extent that advances in electronic technologies continue to reduce the transaction costs involved in outsourcing, a larger number of companies are likely to transfer much of the internal IT operations to third parties. Milk (1997) states in his early research that IT has shown a strong tendency to be transferred to others firms. But, IT outsourcing presents some peculiar conditions, such as the time to meet IT demands and related risks to the environment outsourced, such as hidden costs, the expectation of high quality services, the rapid response to incidents, the lack of qualified personnel. He notes that the cost is no longer the main decision criterion, entering, instead, subjective assessments associated mainly with the company's brand, the global representation and the number of certified professionals.

Gareiss and Weston (2002), in a survey conducted in the United States with 700 professionals dedicated to the evaluation of outsourcing, concluded that the main goals of the option to outsourcing are: 1) cost reduction (65% of respondents), 2) increased operational knowledge (50%), 3) reduction of problems in IT management (50%), 4) flexibility to increase or decrease the capacity of IT (45%), and 5) reliability of services (50%) . Often it is argued, as do Lacity and Hirschheim (1993) and Klepper and Jones (1998), that in the outsourcing company, which has the IT technology as its core business, the cost of infrastructure and staff shared between contracting parties and the operation in larger scale tend to have greater ability to evolve.

Lee et alii (2003) argue that outsourcing has two stages. At first, it is treated as a commodity (client centric view) by decision models like make-or-buy, always focused on costs and limited solutions. In the second, when customer and supplier are more mature, the partnership should be established and outsourcing is treated on a basis of mutual interest with the adoption of more complex solutions in decision models like win-win.

Greaver (1999) emphasizes that outsourcing can be a significant error and difficult to reverse, especially when transferring people and processes to suppliers and contracts are not met, affecting essential services of the company. He concludes that

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outsourcing is a strategic decision that requires a proactive attitude, expertise decisions and risk assessments.

Despite being increasingly adopted by organizations, IT outsourcing may lead to several problems for the contracting organization, because the process selection of suppliers is typically a "decision that involves multiple attributes analysis and multiple decision makers" (ALBERTIN, 2008). The study “10th Annual Global CEO (Chief Executive Officer) Survey” conducted at the World Economic Forum in 2007 (PwC, 2007b), with 226 CEOs, showed that: a) 69% of organizations did not achieve the expected benefits of IT outsourcing, b) 50% of them consider that the main barrier is the poor experience the IT provider, and c) 42% indicated that cost reduction is important, but access to talent and improvement of services are the most relevant.

2.2 IT Outsourcing in Brazil In Brazil, the advance of computerization in the last two decades, due to increase competition, globalization and open borders, has led about 98% of the organizations to outsource IT activities regarding cost reduction, access to talent and improvement of services. For 87% of them, the development and maintenance of IT applications is the most outsourced activity. It is clear that technological evolution contributes to the growth of outsourcing as many products and IT services have become commodities and allowed the companies to obtain economies of scale through external suppliers.

(Meireles, 2007) Prado and Takaoka (2002) concluded that there are seven main motivating factors for outsourcing in industrial enterprises from São Paulo, considering that cost reduction and access to knowledge and technology are the two more relevant factors.

The Brazilian market for IT outsourcing, considering the 50 largest IT providers, both domestic and international, is around US$ 6.5 billion and the outsourcing to development and maintenance of application systems is 27% of this amount (Publicação Detalhe, 2008).

According to the The Survey Management IT in Brazilian Organizations) (PwC, 2007a), held with 400 CIOs (Chief Information Officer), 68 belonging to the Brazilian industrial sector, the poor results are linked to the lack of a selection strategy of IT suppliers and the lack of a large, formal and structured process, since the conception involving multiple attributes analysis, also considering the lack of technical and commercial offers from the suppliers.

2.3. Procedure commonly used for IT supplier selection The current competition requires that the IT field should be aligned with the company’s business strategy. (PwC, 2007a) According to Luftman (2003), Zorello (2005) plus Fernandes and Abreu (2008), a great alignment means that the organization applies IT resources in a proper and timely way, making it consistent with the goals, needs and business strategy.

The commonly process for IT supplier selection is carried out in four steps (PwC, 2007a): 1) solution planning; 2) preparation of Documents Purchase; 3) technical and commercial supplier evaluation and 4) final evaluation for the supplier selection.

1st step: Solution planning, with the purpose to define the strategy to IT supplier selection and to prepare an Acquisition Plan.

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2nd step: Preparation of the Purchase Documents, that means to prepare the necessary documents which will give the base to selection and evaluation of the supplier.

These documents are used to request information, proposals and/or price quotations from possible suppliers. Its complexity and level of detail should be according to the value of the planning acquisition and to the associated risks. They should be structured as direct questions in a scheme that guarantees consistent and comparable answers, but must be flexible enough to allow that the suppliers present considerations and suggest the best way to satisfy the requirements. This can be done inviting suppliers to present a proposal that meets the requirements and, in a separate way, an alternative proposal.

There are several types of acquisition documents: Request for Proposal (RFP), Request of Quotation (RFQ), Request for Information (RFI), notice of supply, invite for negotiation, Invitation for Bid (IFB) and bidding documents According to Laurindo (2000), the effective use of IT consists of implementing or developing systems aligned with the global strategy of the organization and, in this way, these systems should be adjusted to the users’ needs, to the business field and to the company as a whole.

3rd step: technical and commercial evaluation from suppliers, this step is the goal is to evaluate the product adherence to the company’s needs. This evaluation is done through questionnaires to be answered by IT business executives, in a way that allows a detailed supplier’s evaluation.

4th step: final evaluation for the supplier selection, in this step the goal is to state the supplier to be hired. The supplier reputation, their proposal adherence to the company’s needs and the service cost are decisive factors.

As can be noted, the methodology proposed here is restricted to Solution Planning (1st step), advocating the adoption of a supplier selection by the competitive advantage criteria. The proposal also coexists harmoniously with the hiring and management model of IT outsourcing, as proposed by Bergamaschi e Reinhard (2008).

3. CHOICE OF THEORETICAL REFERENCE To choose the theoretical framework that would support the development of methodology for the selection of suppliers by the criteria of competitive advantage, we analyzed the works of major authors who deal with competitive advantage: Porter (1980, 1985), Barney (1991 ), Hamel and Prahalad (1995), Kaplan and Norton (1992) and Contador (2008), The approaches of these authors were analyzed regarding: 1) competitive advantage, 2) competitive strategy (business and operational), and 3) how to align these strategies The three American authors deal with competitive advantage without worrying about defining it precisely, giving the impression that they consider it a concept already known. Otherwise, Contador (2008, p 46) clearly distinguishes advantage from competitive advantage:

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"Advantage is any factor or superior condition of the company in relation to a competitor or itself in a previous moment, which benefits the company."

"Competitive advantage is a position of superiority recognized and valued by the client, which makes a company to be more competitive than a competitor or itself in a previous moment.”

The company’s competitive business strategy, according to Porter (1980), is formulated from the five competitive forces that determine industry profitability (threat of new entrants, bargaining power of buyers, bargaining power of suppliers, threat of services or substitute products and rivalry among existing firms) and from three generic competitive strategies (cost leadership, differentiation and focus), resulting from the competitive advantage in low costs or differentiation. Contador (2008) uses the five forces just to understand the business in which the company operates and to assess the impact of each force in the alternative strategy. To formulate the competitive business strategy, Contador focuses on the fifth force, rivalry among existing firms and attributes of the product and the company's valued customers.

Concerning the three generic strategies, Contador (2008) establishes all the alternatives available to differentiate a company from others. These alternatives are represented by some of the 14 fields of competition combined with some of the 14 supporting fields (see subsection 4.2).

Barney (1991) and Hamel and Prahalad (1995) do not favor a competitive business strategy, focusing on internal factors that provide competitiveness to the company. Contador (2008, p 27) gives greater emphasis than they do to the environment (competitors, customers and other environmental factors) and to the competitive positioning of the company and its products.

To formulate the operational competitive strategy, Porter (1985) uses the value chain, which divides the company into various activities related to design, production, marketing and distribution, classified into primary activities and support activities. In this regard, Contador (2008) identifies, among the weapons, the ones that are used to compete and classify them into relevant, semi-relevant and irrelevant weapons, focusing on the analysis of relevant weapons to the company’s competition fields. To Barney, the competitive strategy of a company is formulated from the analysis of resources and capabilities controlled by itself, to be valuable, rare, hard to imitate and organized.

Contador distinguishes a company´s resource from another´s by means of a quantitative variable named intensity of the weapon, e.g., the materials system of a company can be better than another, and the intensity of the weapon shows this difference. To Hamel and Prahalad, the company's strategy is formulated from their core competencies.

For Kaplan and Norton (1992) and to Contador, the alignment of the strategies is a key to competitive success of the company. The first authors recommended the alignment of functional strategies with corporate strategy, formulated from the mission, values and vision of the company. Contador (2008, p.27) proposes to formulate a business competitive strategy from the company's competitive position and then define the competitive operational strategies, in accordance to the idea of alignment and making it unnecessary to future alignment.

Related to the nature of the approach, the American authors’ model is a qualitative approach, while Contador’s is a qualitative and quantitative model.

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The analysis of the works cited in this article led the authors to choose the model of Weapons and Fields of Competition (Contador, 2008) to support the development of a methodology for selecting IT suppliers by the criterion of competitive advantage, considering both the competitive business and operational strategy to ensure an accurate alignment between these strategies and as a qualiquantitative approach, which gives more confidence to the results.

4. MAIN CONCEPTS UNDERLYING THE MODEL OF FIELDS AND WEAPONS OF COMPETITION 4.1. Introduction to the Model of Fields and Weapons of Competition (FWC model) Since the methodology for IT supplier selection by the competitive advantage criteria, reported in this paper, is based on the model the Fields and Weapons of Competition, developed by Contador (2008), it is necessary to present the central points of this model.

The concepts of the model of Fields and Weapons of Competition were published in the Revista de Administraçao da USP (University of São Paulo Management Review) in 1995 (Contador, 1995a and 1995b). Sometime later, they were published in two chapters of the book ‘Modelo para aumentar a competitividade industrial” (A model to increase industrial competitiveness) (Contador, 1996).

These concepts have evolved thanks to the research carried out by Contador (2008, p. 127-154) in organizations from various economic sectors and became a particularly suitable model to understand, analyze and explain how the organizations compete, proposing actions to increase the competitiveness and to formulate the business competitive strategy and its operational competitive strategies aligned to the business strategy.

According to Contador (2008, p.27), the FWC model combines two very distinct concepts: the concept that the company’s competitiveness derives predominantly from its positioning in the market, as Porter (1980) stated, and the view that it comes basically from its own internal factors, such as postulated by the authors of RBV, as Peteraf (1993), Krogh and Ross (1995) and Barney (1991).

Contador (2008, p. 28) highlights four important properties of the FWC model: “1) it explains all the possible competitive business strategy, represented by the competitive fields; 2) it has several mathematical variables that, combined with qualitative analyses, supports convincingly its propositions; 3) it has an explicit argument, a strong central idea that guides safely the process, expanding competitiveness and the formulation of business competitive strategy, perfectly aligned with each other, and 4) it is easy to understand”.

4.2. Concepts, definition and configuration of the competitive and supporting fields Competition field is the imaginary locus of dispute in a market, among products or companies for client preference, where the company seeks to achieve and maintain competitive advantage, such as price and product quality. The competition fields represent the attributes of the product and the company, which are valued by clients (Contador, 2008, p. 18).

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There are 14 competition fields, that is, there are 14 basic ways (in addition to other many combinations) for the company to differentiate itself â&#x20AC;&#x201C; ways related to characteristics of their product and their own characteristics. The configuration of the competitive fields represents the 14 aggregate fields in 5 macrofields: Price Competition: 1. the price itself; 2. in terms of payment, and 3. in premium and/or promotion; Product Competition (goods or services): 4. In a product project; 5. in product quality, and 6. in product diversification; Customer Service Competition: 7. in customer service access; 8. in customer service project; and 9. in customer service quality; Time Competition: 10. in time to deliver the product; 11. in client term service; Image Competition: 12. from the product and the brand; 13. in terms of a reliable company, and 14. in social responsibility (Contador, 2008 p. 19).

There is also a supporting field. It is an auxiliary field which contributes to the achievement and maintenance of the companyâ&#x20AC;&#x2122;s competitive advantages, it represents either an attribute of the product or the company valued by the client and complements the company business competitive strategy. Its configuration is the same as the competition field. (Contador, 2008 p. 62).

4.3. Concepts and definition of weapon and competitive weapon Weapon is any activity performed or managed by a group of company employees with homogeneous assignments. Competition weapon is any activity executed or resource managed by a group of employees in the company with homogeneous assignments, used by the company to gain and/or to maintain competitive advantage (Contador, 2008, p. 77).

A company has a lot of weapons, such as a network of sale channels and distribution, a customer loyalty system, process engineering, materials system, competitive analysis, advertising, management information system, personal empowerment, etc.

The same weapon can be used to compete in more than one field, and to compete in one field, several weapons are necessary. The source of competitive advantage is in the weapons of the competition. It is through the action on competitive weapons that the company provides competitive effectiveness to its own products and to itself. (Contador, 2008, p. 21).

The weapons are classified by two criteria: 1) according to their nature, the weapons considered are: production, customer service, planning and support and 2) according to their relevance to the competition, the weapons are classified in terms of relevant, irrelevant and semi-relevant. (Contador, 2008, p.79).

Target, the same as target of the weapons, is the goal that a competition weapon should reach and serves to direct and to guide the efforts of a competition weapon. The target is determined by the competition field and, therefore, each field has its own target. There are nine targets: productivity, process quality, speed, flexibility, reliability, innovation, accessibility, desirability and social responsibility (Contador, 2008, P. 97) 4.4. The thesis, the constraints to competitiveness and the concept of competitive strategy The FWC model has a strong central thought that supports its design. Contador, 2008, P. 109): â&#x20AC;&#x153;For a company to be competitive, there is no more relevant condition

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than having high performance only in a few weapons that provide competitive advantage in the competition fields chosen by each product/market combinationâ&#x20AC;?.

Specifying clearly where the company needs to have high performance to be more competitive is one of the strengths of the FWC model. It is this theory that provides the criteria, because it can express in one sentence the way for the company to become competitive or more competitive. This proposition was stated as a thesis, exactly by the necessity to be validated, as in fact it was, showing concern with methodological accuracy. (Contador, 2008, P. 109) The FWC model proposes four constraints to competitiveness: 1) a suitable product for its intended market, 2) a proper choice of competition and supporting fields for each product/market combination, 3) proper use of weapons of the competition, which means to identify the weapons that are relevant, irrelevant, and semi-relevant to competition and supporting fields, setting the intensity of each one, and 4) the alignment of weapons to the competition and supporting fields. (Contador, 2008, p. 41) To formulate the competitive business strategy (product positioning strategy in the market) means to define the product/market combination and to choose one or two competition fields and one or two supporting fields for each product/market combination. And formulating operational competitive strategies consists in defining the actions that must be performed in each weapon.

4.5 The quantitative variables of the Model of Fields and Weapons of Competition (FWC model) The FWC model uses seven mathematical variables; two of them are primary, three are fundamental and two are tertiary. The two primary variables are: intensity and degree of competitiveness, which depend on the information obtained in the company.

The three fundamental variables: average intensity, focus and dispersion are the essence of the quantitative sub model used in all applications of the FWC model and are calculated from the intensity of the weapon. The two tertiary variables, recovery and competitive power, are used to formulate the competitive strategy and calculated from the three fundamentals variables (Contador, 2008, p. 109). The definition of these variables is in subsection 5.4.

5. DEVELOPMENT OF METHODOLOGY FOR SELECTION OF SUPPLIERS

BY THE CRITERIA OF COMPETITIVE ADVANTAGE BASED ON THE FWC MODEL 5.1 The business case study This methodology was developed and tested on a business environment of a multinational company in the Brazilian insurance industry, considering that a case study is useful for the prior development of theoretical propositions. The company's identity is kept confidential because of corporate restrictions as to the use of its brand name and mentioning of its executives.

The company is a national and traditional Institution that has been operating for over 80 years in the Brazilian insurance market, particularly in the areas of vehicles and health insurance. The company has an excellent image among its customers and

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133 IT Outsourcing: Methodology for Supplier Selection Criteria for Competitive Advantage

brokers, reinforced by performance awards, received in recent years, from accreditation agencies.

Currently, the company seeks to increase the business competitiveness through a strategy focused on developing new products for the consumer market segment, for special classes of personal risks and the in the activation of its sales channels.

Its competitive advantages to operate in a national market reside in a strong and traditional brand and products considered innovative by customers and competitors. We also must consider the quality indicators by SUSEP, which is the official department responsible for controlling and supervising the insurance market in Brazil.

Their IT operational strategies are consistent with its business strategy, because the Company Strategic Plan has the characteristics recommended by Weill and Ross (2004): it should provide an overview of concepts, methods and processes, technologies and tools needed to facilitate the implementation of business strategy and to support decisions, actions and processes in the organization, generating benefits to business.

This alignment of strategies has proven to be essential for the strengthening of its competitive advantages, as evidenced by: 1) the intense activity in the advertising of their brands through constantly-renewed promotions, 2) channels that highlight their products and innovations launched in the market; 3 ) the knowledge that their workforce has about its customers and products portfolio, and 4) the dissemination of a culture in a way that employees feel part of the companyâ&#x20AC;&#x2122;s image.

It should be mentioned that, in order to justify the choice of this Insurance Company to perform the case study, it has a formal alignment between IT Strategic Plan and Strategic Business Plan. Companies with such a feature present a high level of maturity in IT management, as defined by COBIT (2010), version 4 (ITGI), that is, the processes of service delivery in accordance with best practices. According to Luftman (2003), Zorello (2005) and Abreu and Fernandes (2008), a good alignment means that the organization applies the IT resources in a consistent way with the goals, needs and business strategy.

So, choosing this Company Insurance, the methodological design of this study allowed us to obtain the necessary information for viewing, through the analysis and characterization the practices it uses to perform IT functions, a favorable environment to outsourcing.

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Some additional information of the insurance company is found in Table 1.

Industry

Financial

Business field

Insurance

Revenue

R$ 900 million

Number of employees

1,450

More than a line of business?

No

Geographical dispersion

Yes

Centralization IT

Yes

Computer structure

By type of systems

IT Equipment

Decentralized

Systems development

Centralized

IT decisions

Centralized

IT projcts control

Ad hoc

Table 1- Company Insurance Characteristics Source: Insurance Company METHODOLOGICAL PROCEDURES 5.2 Stages on development the methodology As discussed in subsection 1.2, the methodology was inspired by the idea that the company should hire the supplier that best leverages their competitive advantages.

The methodology was developed and verified based on the company environment business through a case study, which, according to Yin (2005), is an empirical research that systematically ascertains a current phenomenon within its real life context and brings benefits from prior development of theoretical propositions to guide data collection and data analysis.

Once you have chosen the theoretical object of study, the methodology was developed in two stages: 1st) collecting and analyzing information, and 2nd) development and evaluation methodology. The methodology is basically based on the CAC, consisting in identifying the competition and supporting fields of the contractor and verifying if the possible suppliers have weapons more focused on targets related to these fields.

5.3 Stage 1: Collecting and analyzing information and data In the present study, only the researchers participated in the data collection process, which was conducted through a questionnaire with 36 questions, disguised, semi-structured, obeying the logic of the FWC model. The researchers also analyzed

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135 IT Outsourcing: Methodology for Supplier Selection Criteria for Competitive Advantage

documents, made observations and conducted interviews with IT executives in the company, to understand and discuss the answers to the questions.

The study complied with the recommendations of Flick (2004) related to methodological procedures, which must be well established in previous studies of the organization and the object of study prior to data collection, and Eisenhardt (1989) regarding the use of various methods of collecting data, in order to enable consistency in the preparation the constructs of analysis and in hypotheses formulation.

The interviewer collected information necessary for understanding the outsourcing development process and maintenance of application systems, in order to develop a proper supplier selection methodology, by the criterion of competitive advantage.

The main objective of this step was to understand how it could be a decision process to outsource the development and maintenance of application systems. Thus, we conducted structured interviews with senior members of the Committee of Information Technology, the CIO (Chief Information Officer) and three departmental managers (systems, infrastructure and governance), which enabled researchers to understand in depth the answers given by respondents In the interviews, the main points were explored: 1) understanding the processes of selection of suppliers, 2) expected benefits from IT outsourcing, 3) current status of IT and activities performed to the development and maintenance of application systems, and 4) perception of selection criteria, such as IT cost reduction, access to talent and improving IT service levels.

Also, these were collected: 1) documents used in the process of selecting IT suppliers for the activity of developing and maintaining applications systems, 2) the business plan (business case), 3) the expected results from outsourcing, 4) secondary data obtained in IT magazines and yearbooks, and 5) information necessary to accomplish stage 2 of the methodology.

To help the processing and information analysis, the researchers used the software Atlas-IT to document interviews and separate them into constructs of analysis, provided that, according to Lima (2005), using software considerably helps the data classification and organization.

To facilitate the understanding the current IT supplier selecting process, we used Microsoft VISIO software to graphically represent the process steps. The business plans (business case) and the expected results for the next phase of outsourcing were tabulated in Microsoft Excel worksheets for financial calculations and turn them into comparable values (present value), in order to provide the correct understanding.

5.4 Stage 2: Development and evaluation the supplier selection methodology by the criterion of competitive advantage based on the FWC model.

The methodology was developed and evaluated in eight steps: Step 1: Defining the product/market combination; Step 2: Identifying the competition and supporting fields; Step 3: Identifying competition weapons ; Step 4: Evaluating the intensity of competition weapons ; Step 5: Determination of the weaponsâ&#x20AC;&#x2122; relevance in every competition field;

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136 Contador, J.C., Ferreira, A.A., Simões, S.A., Souza, J. W. de

Step 6: Calculation of the weapon’s average intensity, focus and dispersion; Step 7: Choice of the IT supplier that contributes most to competitive advantage of the Insurance Company, and Step 8: Evaluation of the methodology by the leaders of the Insurance Company.

This methodology was applied to the analysis and comparison of a possible IT supplier. To facilitate understanding, the methodology was applied to the internal IT Department in the Insurance Company Step 1: Defining the product/market combination.

As a product can compete in different fields in each market segment, the concept “product/market combination” arose. This expression shows that if the product or the market varies, the combination will be another. The FWC model postulates that a combination of competition and supporting fields should be chosen for each product/market product. The company usually competes in one or two fields and elects one or two supporting fields (Contador, 2008, p. 66).

The product/market combination was determined, in this case, considering that the company aimed to outsource the existing development and maintenance structure to application systems. To this end, we used a document “Request for Proposal”, describing the services to be outsourced.

Thus, it was defined as a product, the development and maintenance of systems applications and, as a market, the insurance companies operating in Brazil.

Step 2: Identifying the competition and supporting fields To this purpose, a questionnaire was prepared containing a description of the 14 competition fields. Performing the interviews with members of the Internal IT Department, with the IT Committee and with the CIO, the nomination of three fields was requested in order of importance. The answers indicated “product quality” as the competition field and “product delivery” and “price and payment terms” as the first and second supporting fields.

These answers were consistent with the research in order to identify where the company seeks to gain competitive advantage, which concluded that it aims to have quality products recognized, trying to deliver the product in a reduced period of time for a fair price. Therefore, the supplier of IT services should be able to contribute to strengthening these competitive advantages. To do so, and according to the thinking that supports the proposed methodology, the Insurance Company must choose between the IT Internal Department and IT supplier that possess competition weapons which are more aligned to the three fields mentioned.

Step 3: Identifying of competition weapons The identification of competition weapons followed this procedure: 1) selection of weapons among those that appear in the Appendix of the book “Fields and Weapons of Competition” (Contador 2008), The list in this book covers all activities and resources that has potential for weapons of the competition to the company; 2) validation and completion of the list, through consulting the CIO and members of the IT Internal Department and IT Committee; to the respondents, a brief description of selected weapons was showed and then they were asked if the Insurance Company used these weapons to compete. 3) description of the weapons contents, supported by the

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137 IT Outsourcing: Methodology for Supplier Selection Criteria for Competitive Advantage

information obtained from the company areas, and 4) interviewing the same people to design the universe of such weapons through content analysis, seeking to identify the weapons that had strategic content. For details, see subchapters 4.2 to 4.4 (Contador 2008).

This procedure resulted in the 36 competition weapons , shown in Table 2, which were grouped into four macrocriteria - Strategy, Risk, Technical and Commercial.

Step 4: Evaluating the intensity of competition weapons To calculate the three fundamental variables of the FWC model, we need to know the intensity of each weapon in the company's competition, which requires evaluation of each one.

Intensity of the weapon is the intensity in which the weapon is used by the company, evaluated at five levels. It can also be defined as the power and scope of a weapon. It is a discrete variable with domain on a scale from 0 to 5 and should be evaluated as described by the company, where 0 corresponds to an unused weapon (Contador, 2008, p. 114).

To evaluate the intensity of each weapon, a questionnaire was prepared containing a description of 36 competition weapons (identified in step 3). The evaluation of the weapon intensity was made by comparison: for each weapon, the respondent was asked to identify, just mentally, which competitor was the strongest in this weapon and attributed 5 to this weapon. Next the interviewer had to write down in the column of Intensity of a Weapon, his/her evaluation of this weapon intensity in Insurance Company, ranging from zero to five.

Step 5: Determination of weaponâ&#x20AC;&#x2122;s relevance in every competition field The concept of relevance means that all the weapons in the competition represents the company's arsenal. In the military field, the weapons available in the arsenal are selected for a battle and, according to the type of combat, we use the appropriate weapons. All of them are combat arms (here called competition weapons ), but only some of them will be employed - the selection will be determined by the type of combat (Contador, 2008, p. 91).

Similarly, from the arsenal of competition weapons, the weapons to compete in a field are removed. The weaponâ&#x20AC;&#x2122;s relevance for the competitiveness (more specifically, to the competition and supporting fields) is the criterion to identify whether a competition weapon should not be used to compete in a field. That is, the competition or supporting field determines whether or not a competition weapon is relevant for the company to compete. By the criteria of relevance, the companyâ&#x20AC;&#x2122;s competition weapons are classified as relevant, irrelevant and semi-relevant weapons, for each field.

Relevant weapon is a weapon belonging to the set of competition weapons of a company that offers a high competitive advantage to compete in the chosen field. In other words, it is a necessary weapon for competition in a particular field. According to the FWC model, it is the high intensity of the relevant weapon that delivers a competitive advantage to the company.

Irrelevant weapon is a weapon belonging to the set of competition weapons of a company that gives it no competitive advantage in their competition or supporting field.

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138 Contador, J.C., Ferreira, A.A., Simões, S.A., Souza, J. W. de

That is, according to the FWC model, it is a useless weapon in the competition to business competitive strategy and should have low intensity, requiring low investments.

Semi-relevant weapon is a weapon belonging to the set of competition weapons of a company that provides an average competitive advantage in their competition field.It has an intermediate importance between relevant and irrelevant weapons to the competition field and must have average intensity, not justifying a high investment.

Although Contador (2008, p 91) recommends the use of a prioritization matrix of weapons and the Nihans index to determine a weapon’s relevance to the company in a certain field, this work used the “quick” method, which simply consisted of identifying within the set of 36 competition weapons of a company, identified in step 3, those which give advantage in the field under analysis.

So, the relevant weapons were identified for each of the three fields identified in step 2: product quality, product delivery and price and payment terms.

Step 6: Calculation of the weapon’s average intensity, focus and dispersion In this methodology we use the three fundamental variables from the Model of Fields and Weapons of Competition: weapon’s average intensity, focus and dispersion.

Average intensity of the weapons is the arithmetic mean intensity of all weapons of the competition (the relevant, irrelevant and semi-relevant) and it is independent from the competition field chosen by the company. It is a variable with normal distribution of probabilities, therefore continuous, ranging from 0 to 5 (Contador, 2008, p. 118).

Focus, or weapons’ focus in the competition fields, measures the efforts applied to the weapons that provide competitive advantage in the chosen field or measures the efforts applied to relevant weapons in the field chosen to compete. Its value is calculated as the ratio of the total intensity of the relevant weapons and the sum of the maximum intensity can be achieved through such weapons. It is a variable with normal distribution of probabilities, therefore continuous, ranging from 0 and 1 (Contador, 2008, p. 117).

Dispersion, or weapons’ dispersion in the competition field, measures the efforts applied to the weapons that do not provide competitive advantage in the chosen field or measures the efforts applied to irrelevant weapons in the competition field. It is the opposite of focus. Similarly to the focus, its value is calculated by the ratio of the total intensity of irrelevant weapons and the sum of the maximum intensity can be achieved through such weapons. It is a variable with normal distribution of probabilities, therefore continuous, ranging between 0 and 1 (Contador, 2008, p. 117).

However, considering that a competition weapon may be relevant to a field and irrelevant to another, the analysis of just one field, when the company operates in various fields, changes the value of the global focus and generates a high dispersion value as a consequence of irrelevant weapons to this field, but relevant to another.

To avoid this problem, it is necessary to calculate the global focus and dispersion, while considering the three fields of the competition identified. Considering that a relevant weapon to the competition field is more important to offer competitiveness to the company than a relevant weapon to the supporting field.

Contador (2008, p. 403) suggested the use of weights: 1.67, 1.33 or 1.0, depending on the joint relevance of a competition weapon for the various fields chosen by the company.

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139 IT Outsourcing: Methodology for Supplier Selection Criteria for Competitive Advantage

In Table 2, the relevant weapons are indicated by weights: 1.67 or 1.33 or 1.0 in the Relevant column and zero in the Irrelevant column; irrelevant weapons are indicated by number 1 in the Irrelevant column and zero in the Relevant column, and the semirelevant weapons by number zero in both columns.

Table 2 shows how to calculate the weaponsâ&#x20AC;&#x2122; average intensity, the global focus and dispersion using an Excel spreadsheet. It is very important to note that: 1) these variables are related to the IT Internal Department in the Insurance Company, 2) the competition fields, object of analysis (product quality, delivery and price identified in step 2) are those in which the company decided to gain competitive advantage.

Table 2 shows the weaponsâ&#x20AC;&#x2122; average intensity (2.42) obtained by dividing the sum of weapons intensity (87) by the number of weapons (36). The focus column is obtained by multiplying the Relevant column by Weapon Intensity column. The value of the focus (0.51) is the result of dividing the total of the respective column (84.05) by the sum of the Relevant column (32.69) multiplied by 5 (which is the maximum intensity value of a weapon). The value of dispersion (0.47) is obtained by dividing the sum of the respective column (29) by the sum of the column Relevant (12) multiplied by 5 (which is the maximum intensity value of a weapon).

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Table 2 - Calculation the weapons average intensity, the focus and dispersion for product quality, delivery time and price to the Insurance Company IT Internal Dept.

IT Internal Dept.: Weapons Average Intensity, Focus and Dispersion NÂş

Competition Weapon

Fields: quality, price and delivery time Relevant Irrelevant

Weapon Intensity

Score Focus

Dispersion

Strategy 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36

Global and regional training

Company's flexibility Fast decision making Partnership in business Long-run relationship vision Environment expertise Data center location Innovation models Shareholder controlling and management committees Corporate Governance

Economic and financial sustainability of the supplier Risk Service level - transition period Service level - gain & pain share Retention of critical resources Business focus - long run planning Insurance - stop operations Technical Team technical competence Professional certifications Company's certifications Certificates of technical qualification Industry understanding Technology expertise Management resources capability Comunication process and mangement crisis Contracts Governance Model Proven methodology Method to return services Methods and practices to manage outsourcing Commercial Financial values (present value) Adherence to technical aspects Adherence to commercial aspects Contractual Issues Accession to the baseline Criteria for cancellation Billing issues Contractual productivity factor Total

1,33 1 1 0 1,33 0 0 1,33 0 1,33 0

0 0 0 1 0 0 1 0 1 0 1

2 3 3 2 3 1 1 3 2 2 3

2,66 3 3 0 3,99 0 0 3,99 0 2,66 0

0 0 0 2 0 1 1 0 2 0 3

0 1 1,67 1,33 0

1 0 0 0 0

2 2 3 5 1

0 2 5,01 6,65 0

2 0 0 0 0

1,67 1,67 1,67 1,67 1,67 1,67 1,67 1,67 0 1,67 0 1,67

0 0 0 0 0 0 0 0 1 0 1 0

3 2 1 2 4 3 3 2 3 1 2 2

5,01 3,34 1,67 3,34 6,68 5,01 5,01 3,34 0 1,67 0 3,34

0 0 0 0 0 0 0 0 3 0 2 0

1,67 1,33 0 0 1,67 0 0 0 32,69

0 0 1 1 0 1 1 1 12

3 2 3 2 3 2 2 4 87

5,01 2,66 0 0 5,01 0 0 0 84,05

0 0 3 2 0 2 2 4 29

Source: Authors

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141 IT Outsourcing: Methodology for Supplier Selection Criteria for Competitive Advantage

Step 7: Choose the IT supplier that most contributes to competitive advantage The research conducted by Contador (2008, ch. 6, p. 127-154) validated the central thesis underlying the Model of Fields and Weapons of Competition: "For a company to be competitive, there is no more relevant condition than having high performance only in a few weapons that provide competitive advantage in the competition fields chosen by each product/market combination”.

This condition is measured by the focus, because it measures “performance only in those few weapons that give it a competitive advantage in the competition fields chosen for each product/market combination." In surveys conducted by Contador, the focus explains around 79% of the complex phenomenon in corporate competitiveness, and also found that the weapons average intensity has moderate influence on the competitiveness of firms and dispersion is not the influence.

Therefore, to leverage its competitive advantages, the company should hire suppliers that have more focus on all fields in which it decides to compete. That's the rule. The values in Table 3 support the decision.

This table shows the values of the average intensity of the weapons, global focus and dispersion for the IT Internal Department and to the IT Supplier. The procedure to calculate the figures for the Internal Department is fully explained in the previous steps.

The same procedure was adopted to calculate the figures for the IT Supplier, obviously from the data provided by the IT company.

Table 3 – Values for the weapons average intensity, focus and dispersion for the Insurance Company IT Internal Dept.

Weapons Average Intensity

Global Focus

Global Dispersion

IT Internal Dept.

2,42

0,51

0,47

IT Supplier

3,19

0,73

0,45

Source: Authors

The IT supplier has a much broader focus than the IT Internal Department can provide to company’s competitive advantage. In addition, it is more qualified because it has a higher average intensity of the weapons, and is slightly more efficient because it has slightly less dispersion.

This analysis brings no doubt: the Insurance Company must hire the IT provider for development and maintenance of systems application, to leverage their competitive advantages in the fields of product quality, delivery time and price and payment terms.

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Step 8: Evaluation of methodology by the Insurance Company leaders The shift in the focus to outsourcing services, from costs to competitive advantage, as well as the methodology presented here and the results of its application, were shown to the executive members in the Committee of Information Technology, to the CIO (Chief Information Officer) and also to the three department managers (systems, infrastructure and governance) of the company. They accepted the proposition in all terms and decided to outsource. Moreover, there were showed interest in knowing the methodology in detail and agreed that the methodology is appropriate, at least in the case of the Insurance Company.

6. CONCLUSIONS This article reports the methodology to supplier selection by the criterion of competitive advantage based on the Model of Fields and Weapons of Competition . It is explained how it was developed and shows its application in a real case of an Insurance Company.

The underlying philosophy for this methodology lies in the fact that the research carried out, for eight years by Contador (2008, ch. 6, p. 127-154), involving 176 companies, of all sizes, in six industries and six segments of the service sector, showed that the variable focus, and not the weapons average intensity or dispersion, is the one which explains why a company is more competitive than another. According to the research, the focus explains around 79% of the complex phenomenon of business competitiveness In other words, the justification of this methodology lies in the validity the thesis proposed in the FWC model: â&#x20AC;&#x153;for a company to be competitive, there is no more relevant condition than having high performance only in a few weapons that provide competitive advantage in the competition fields chosen by each product/market (Contador, 2008, p. 109). The positive evaluation from Insurance executives, over the results obtained, points out that the methodology leverages its competitive advantages. Note that the methodology arises from the business competitive strategy, represented by fields in which the Insurance Company decided to compete (regarding to the product/market combination), and aligns business operational strategies, represented by the competition weapons , to the business competitive strategy.

To apply the proposed methodology, the company must be convinced that the criterion of competitive advantage is better than others, based on price or quality improvement of IT services, or even in the core competencies of the supplier, which are the most common and usual criteria. This direction is better because, according to the authors who support and discuss competitive strategy, it helps the company to achieve their goals more consistently and sustainably, as set out in subsection 1.2.

Applying the methodology to a real case in an Insurance Company, it was showed that the option for outsourcing is really useful to the company because it will get benefits in terms of product quality, meeting deadlines and just in time implementation of business solutions, thus strengthening their competitive advantages.

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143 IT Outsourcing: Methodology for Supplier Selection Criteria for Competitive Advantage

The outsourcing service costs may be even higher, but the benefits to increase its competitiveness will result in more customers and therefore in a better financial return.

The methodology of supplier selection by the competitive advantage criterion, based on the model of Fields and Weapons of Competition, is relatively complex, but it certainly is more strategic than the usual and, therefore, capable to lead the company to success.

The study limitations are associated with the fact that only IT executives were interviewed and not, additionally, the business executives. If they had been included, it would have been possible to fully understand the problems associated with both sides of IT outsourcing: the IT area and the business executives, as the primary service users. In addition, a case study, in a company chosen for convenience, does not allow to generalize its results.

For future work, we suggest the application of the methodology in other companies that practice IT outsourcing to evaluate the impact of the thought centered on the competitive advantage in the IT suppliers´ strategy and the adaptation of the proposed methodology for selecting suppliers in others business areas.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp.147-170 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100008

MUDANÇAS NAS PRÁTICAS ORGANIZACIONAIS COM A IMPLEMENTAÇÃO DO PROGRAMA DE GERENCIAMENTO DA CADEIA DE SUPRIMENTOS (GCS) EM UMA MULTINACIONAL DO SETOR SIDERÚRGICO CHANGING ORGANIZATIONAL PRACTICES DURING AND AFTER THE IMPLEMENTATION OF SUPPLY CHAIN MANAGEMENT IN A MULTINATIONAL STEEL COMPANY Daniel Pardini Priscila de Jesus Papazissis Matuck Universidade FUMEC, Belo Horizonte, Brazil _____________________________________________________________________________________

ABSTRACT This paper evaluates the transformations occurred in practices of the employees at strategic, tactical and operational levels of a steel tube multinational company after the implementation of the supply chain management program – SCM. In the literature, the research about this theme is concentrated on systems’ operations, limitations and justifications, with few investigations of the employees’ perceptions about the impacts of technological resources on the work practices . The results of this research contribute to a better understanding of the facilities and difficulties provided by users’ manifestations about the changes in organizational practices.

Keywords: change, organizational practices, information system, supply chain, multinational steel company.

RESUMO Este trabalho analisa as transformações ocorridas nas práticas dos funcionários dos níveis estratégico, tático e operacional de uma empresa multinacional do setor siderúrgico após a adoção do programa de gerenciamento da cadeia de suprimentos – GCS. Na literatura, as pesquisas sobre o tema se concentram na operacionalização, limitações e justificativas desses sistemas, sendo poucas as investigações das percepções dos funcionários sobre os impactos dos recursos tecnológicos nas práticas de trabalho. Os resultados da pesquisa contribuem para uma maior compreensão das _____________________________________________________________________________________ Manuscript first received/Recebido em 10/06/2011 Manuscript accepted/Aprovado em: 30/12/2011 Address for correspondence / Endereço para correspondência Daniel Jardim Pardini. Professor do Programa de Doutorado e Mestrado da Faculdade de Ciências Gerenciais e do Mestrado Profissional em Sistemas de Informação e Gestão do Conhecimento. Universidade FUMEC, Rua Cobre, 200, Cruzeiro, 30310-190 - Belo Horizonte, MG - Brasil (31) 3269.5230 E-mail: pardini@fumec.br Priscila de Jesus Papazissis Matuck, Doutoranda em Administração e professora do Curso de Ciência da Computação da Universidade FUMEC, Rua Cobre, 200, Cruzeiro, 30310-190 - Belo Horizonte, MG - Brasil E-mail: priscila.papazissis@fumec.br Published by/ Publicado por: TECSI FEA USP – 2012 All rights reserved.

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facilidades e dificuldades proporcionadas pelas manifestações dos usuários sobre as mudanças nas práticas organizacionais decorrentes da implementação dos sistemas de GCS. Palavras-chaves: mudança, práticas organizacionais, sistema de informação, cadeia de suprimentos, siderúrgica multinacional.

1 INTRODUÇÃO As empresas têm buscado constantemente aperfeiçoar suas práticas no sentido de acompanhar as mudanças tecnológicas demandadas pelo mercado. A necessidade de elevar os índices de produtividade, reduzir os custos e melhorar o atendimento aos clientes internos e externos constitui-se requisitos básicos para garantir a competitividade da organização. Neste sentido, muitas organizações têm voltado sua atenção para o mapeamento e otimização dos processos existentes na cadeia de suprimentos.

O conceito de cadeia de suprimentos (ou supply chain) está fundamentado na formação de uma rede de valor composta de entidades funcionais individuais arranjadas com o objetivo de prover informações que permitam alcançar um gerenciamento eficiente dos elos que compõem a cadeia: clientes, fornecedores, distribuidores, matéria-prima, equipamentos, etc. A gestão eficiente destes elos permite a melhoria do processo produtivo das organizações, podendo resultar na melhoria da qualidade dos produtos a custos mais baixos (Handfield e Nichols, 1999; Christopher, 2002). Para Soroor et. al. (2009), a cadeia de suprimentos pode ser considerada como a integração de processos- chave de negócio que partem do cliente final e chegam ao fornecedor original gerando produtos, serviços e informações que suscitam valor para os consumidores e outros stakeholders.

Com a formação dessa rede de valor, a questão central reside na análise do desempenho dos processos logísticos, que são medidos por meio do exame da rede de cooperação de tarefas que concorrem com outras tarefas ao longo da cadeia de suprimentos (Spekman, 1998). Tal abordagem permite a gestão integrada da cadeia produtiva da empresa, sendo possível controlar o fluxo de materiais desde o fornecimento da matériaprima até a chegada do produto acabado ao cliente final (Wisner, 2003). Sendo assim, o gerenciamento da cadeia de suprimentos pode apontar ineficiências causadas pelas incertezas ao longo da cadeia, envolvendo a antecipação eficaz da demanda dos clientes, o posicionamento ideal dos recursos compatíveis com essa demanda e seu cumprimento por meio da gestão de materiais, dos fluxos de informação e do investimento financeiro empregado (Bayraktar et.al., 2010).

Para Hsu et.al. (2009), a integração da cadeia de suprimentos é uma tarefa que envolve uma ampla gama de assuntos. Em essência, a ideia básica da conexão dos elos que compõem a cadeia reside na integração das informações que a compõem. O gerenciamento desses elos tem se mostrado efetivo na integração de atividades de produção, tarefas operacionais e, até mesmo, em questões estratégicas no relacionamento organização–cliente (HSU et.al., 2009). Neste sentido, a tecnologia e os sistemas de informação exercem um papel fundamental na construção da vantagem competitiva organizacional, considerando o significado estratégico que a coordenação dos processos nos canais de distribuição pode representar e levando em conta a grande capacidade e potencial da informação e das JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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tecnologias de comunicação. Alguns autores afirmam que é praticamente impossível alcançar a otimização da cadeia de suprimentos sem o suporte de sistemas de informação (Soroor et. al., 2009).

Com o surgimento dos sistemas ERP (Entreprise Resource Planning) durante a segunda metade dos anos de 1990, uma série de estudos tem buscado associar a implementação de sistemas integrados de gestão com as mudanças ocorridas nas dimensões tecnológicas e estruturais (Davenport, 2002; Souza e Saccol, 2003) àquelas relacionadas ao trabalho (Hall 2002; Lage e Pontes, 2006) e ao comportamento humano (Strauss e Belini, 2006).

Entre as soluções de integração oferecidas pelos fornecedores de software estão os sistemas orientados para o gerenciamento da cadeia de suprimentos – SGCS, projetados para integrar fornecedores, clientes e a gestão produtiva das organizações (Turban, Rainer e Potter, 2005). Estes sistemas são capazes de prover informações com alta qualidade e em tempo real que dão suporte às decisões relacionadas à reposição de estoques, melhoria da capacidade de equipamentos e na sincronização de fluxos de materiais em todos os níveis da cadeia de suprimentos.

As organizações conseguem se beneficiar ainda da possibilidade de prevenir que a realização das atividades nos canais de distribuição se tornem complicadas ao longo do processo. Mesmo com alto custo para implementação, as empresas têm buscado implantar esses sistemas para aumentar o desempenho da cadeia de suprimentos e para facilitar toda a dinâmica dos processos necessários para a realização das tarefas da rede (Soroor, et. al., 2009).

Apesar da crescente complexidade do ambiente de negócios, as organizações estão conseguindo transmitir e compartilhar informações com facilidade por meio da integração virtual com os fornecedores, clientes, distribuidores e demais atores da cadeia de suprimentos (Hsu et. al., 2009).

Quando analisamos os elos que compõem a cadeia, Bayraktar et.al. (2010) afirmam que esses sistemas de informação permitem a construção de parcerias empresariais com clientes, fornecedores, distribuidores, além de auxiliar na avaliação do desempenho organizacional, aperfeiçoar o planejamento e aumentando a eficiência operacional com potencial redução de tarefas de inventário.

Estes artefatos tecnológicos podem ser utilizados para criar e manter relacionamentos com clientes e para cunhar, de acordo com especificidades do consumidor, futuras estratégias de marketing (Bayraktar et.al., 2010). Podem ainda prover informações que dão suporte à estratégia, operações, gestão e funções de decisão em uma rede de abastecimento empresarial. Estes sistemas são capazes de mapear procedimentos manuais e bases de conhecimento, sendo capazes ainda de melhorar a eficiência operacional, inovar funções ou reestruturar processos de negócio (Soroor, et. al., 2009).

Ineficiências na cadeia de suprimentos, tais como falta de peças, capacidade ociosa de produção, estoque excessivo de produtos ou alto custo de transporte são decorrentes de informações inexpressivas e extemporâneas (Laudon & Laudon, 2007). Desta forma, o princípio básico do sistema de gerenciamento da cadeia de suprimentos está fundamentado JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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na convicção de que a cadeia pode ser otimizada por meio do compartilhamento de informação e do planejamento integrado (Bowersox e Closs, 2001).

Tais sistemas são divididos em módulos específicos e buscam aprimorar a acurácia da previsão da demanda e o planejamento das vendas da organização no médio e longo prazo.

Além disso, a utilização de sistemas de gestão da cadeia de suprimentos visa melhor o atendimento aos clientes estratégicos, o mix de produção e a viabilidade e estabilidade dos planos de produção, suprimentos, logístico e de vendas previstos para serem executados.

São adotados ainda com a finalidade de alinhar a entrada de pedidos com os planos táticos de vendas, produção, suprimentos e logístico, promover a programação e o sequenciamento da produção, considerando os recursos críticos para a planta industrial e auxiliar na elaboração do planejamento das entregas para os clientes e transferências para expedições e estoques externos (Bowersox e Closs, 2001; Turban, Rainer e Potter, 2005; Hsu et. al., 2009).

Dessa forma, o sistema de GCS possibilita a tomada de decisões nos três níveis hierárquicos de uma organização, buscando maior eficiência e menor custo, gerando melhorias na qualidade, produtividade e atendimento ao cliente, baseado no horizonte de planejamento de cada um desses níveis (Braga, 1999).

Apesar da importância que os sistemas de GCS representam para o setor industrial, não são ainda significativos os trabalhos que tratam da temática, tanto no Brasil, como no exterior (Wood e Zuffo, 2005; Yoshizaki, 2006). Enquanto a maioria das pesquisas foca nos fatores de sucesso e insucesso da implementação desses sistemas, têm sido escassas as pesquisas dedicadas às percepções dos usuários em relação às mudanças ocorridas nas práticas organizacionais (Roses, 2006).

As práticas refletem os caminhos estabelecidos para conduzir as funções organizacionais, bem como o conhecimento e as competências compartilhadas na organização.

Este estudo parte do pressuposto de que, sem o entendimento dos impactos do sistema de GCS no exercício das práticas de trabalho, a interligação tecnológica com outros componentes externos que fazem parte da cadeia de suprimentos poderá ficar comprometida (Christopher, 2002). No caso das grandes organizações, o problema se torna ainda mais complexo devido ao elevado número de usuários que passa a compartilhar as informações.

Por se tratarem de pessoas de diferentes níveis hierárquicos e de vários setores, são diversas as percepções sobre as transformações processadas no ambiente organizacional.

Assim, o presente artigo tem como objetivo identificar e analisar as principais mudanças ocorridas nas práticas organizacionais dos funcionários dos níveis estratégico, tático e operacional com a implementação do programa de GCS em uma multinacional do segmento siderúrgico.

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A contribuição do estudo reside em identificar como essas mudanças ocorrem e entender as reações dos usuários, advindas das novas formas de trabalho geradas pela adoção do sistema de gestão da cadeia de suprimentos.

Os modelos de mudança com ênfase tecnológica e as práticas organizacionais O interesse deste estudo está nas repercussões que as transformações, denominadas por Pereira (1994) de mudanças com ênfase tecnológica, provocam nas práticas organizacionais. Esses processos de mudança, agilizados pela automação e implantação de programas que disponibilizam informações em tempo real, auxiliam e dão suporte às decisões dos gestores. Dentro dessa dinâmica, é difícil imaginar alguma inovação tecnológica que possa ser introduzida sem a geração de efeitos na organização, nos indivíduos e nas tarefas.

Um estudo recente realizado em 63 companhias de alta tecnologia que investiram em programas de gestão da cadeia de suprimentos na última década constatou que a maioria das empresas obteve resultados decepcionantes (Terzian, 2006).

Entre as principais razões do insucesso cabe destacar a falta de critérios na definição dos processos organizacionais, muitas vezes implementados de forma equivocada e a baixa exploração do potencial das ferramentas de gestão da cadeia de suprimentos por parte das organizações, que se perdem em meio a tantas possibilidades oferecidas pelo software.

Neste tópico são resgatados a literatura pertinente à mudança organizacional e os impactos que os modelos com ênfase tecnológica produzem nas práticas de trabalho.

Origens e implicações da mudança Os processos de mudança que ocorrem nas empresas têm sido tratados como uma área específica dos estudos organizacionais. Até a década de 1970, estudar as transformações no mundo corporativo correspondia predominantemente a falar sobre projetos de redesenho organizacional.

A ideia da mudança estava centrada no conceito de alteração do organograma ou na criação, modificação e extinção de cargos e funções (Wood JR., 1995).

De lá pra cá, presenciou-se uma revolução científica e tecnológica nas formas de produção. As empresas tornaram-se mais complexas e passaram a absorver com uma velocidade cada vez maior os recursos tecnológicos disponibilizados para o mundo corporativo.

Iniciar um processo de transformação significa envolver-se em uma ampla diversidade de fatores críticos manifestados das mais variadas formas.

Para Pettigrew (1985), a mudança está associada a um processo complexo, contínuo e dependente, devendo ser entendida em termos da influência do contexto externo na definição dos objetivos e processos organizacionais.

Assim, com a decisão de mudar alteram-se os rumos da empresa e, gradualmente, novos valores e regras começam a serem incorporados ao contexto institucional da organização (Machado-da-Silva, Fonseca e Fernandes, 1998).

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Corrêa, Gianesi e Caon (2001) argumentam que qualquer mudança dentro da organização – boa ou ruim – significa para os indivíduos uma situação futura ainda desconhecida. O desconhecido gera nas pessoas resistências naturais à mudança. Como resultado, a parcela dos funcionários que aprecia as mudanças é menor, quando comparada aos números relacionados aos que não apreciam (Hehn, 1999: p.167).

Administrar o processo de mudança passa a ser basicamente auxiliar os indivíduos a migrarem de uma situação para a outra, com o menor nível de desgaste possível.

Institucionalização e mudanças das práticas com a adoção de recursos tecnológicos As práticas organizacionais, talvez pelo caráter instrumental e pragmatista, ainda recebem pouca atenção por parte de pesquisadores e acadêmicos. A teoria institucional proposta por Meyer e Rowan (1977) ajuda na compreensão de sua legitimação no ambiente organizacional.

Para os autores, as políticas, programas e procedimentos organizacionais seriam manifestações do ambiente social institucionalizadas por processos normativos. As novas normas implementadas na organização, caso não estejam de acordo com os valores predominantes dos atores organizacionais, tendem a se constituírem em pretextos para dificultar a assimilação de práticas emergentes (Machado-da-Silva et. al, 1998).

De acordo com o novo institucionalismo, as organizações incorporam as práticas que dizem respeito aos conceitos de trabalho legitimados pela sociedade. Elas retratam os valores e significados para os membros da organização e, quando válidas, são aceitas, aprovadas e legitimadas pelos funcionários na realização de tarefas. Em especial, as organizações que utilizam modelos tecnológicos como meio para modernizarem suas práticas, viabilizam o processo de mudança após o cumprimento das etapas de concepção e implementação do programa.

Conforme argumenta Pereira (1994), para garantir o sucesso das mudanças organizacionais, o modelo precisa ser estruturado de maneira adequada, estar corretamente dimensionado e prescrever a dosagem certa de mudança que o sistema é capaz de suportar.

Campos Filho (1994) sugere que o alcance dos objetivos organizacionais perpassa pela elaboração de práticas de trabalho refletidas nas informações e nos recursos humanos e tecnológicos da organização (FIG. 1).

Para o autor, os objetivos proveem os critérios básicos para se decidir como e quando as práticas devem ser alteradas e adaptadas. As práticas, então, consistiriam nos métodos utilizados pelos recursos humanos para desempenharem suas atividades, incluindo aquelas orientadas para os procedimentos (utilizadas em tarefas repetitivas e rotineiras) e outras usadas para a comunicação e tomada de decisões.

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Figura 1: Representação dos componentes organizacionais Fonte: CAMPOS FILHO (1994) Na estrutura acima sugerida, a informação pode ser considerada como um conjunto de dados, cuja forma e conteúdo são apropriados para uma utilização específica. Já a tecnologia de informação (TI) compreende os componentes de hardware e software que irão desempenhar uma ou mais tarefas no processamento das informações (Campos FILHO, 1994). Dentro desse contexto, cabe ao recursos humanos coletar, processar, recuperar e utilizar os dados. Lidar com problemas de mercado, incorporar inovações e gerar forças competitivas ambientais e tecnológicas forçam o remodelamento dos objetivos organizacionais.

Essas ações vão requerer a criação de novas práticas de trabalho que, por sua vez, demandarão a capacitação de recursos humanos, a absorção de informações estratégicas e o desenvolvimento de tecnologias de informação emergentes (Johnston e Vitale, 1998, p.

153).

A tecnologia de informação qualifica as tarefas diárias de trabalho da organização, servindo também como instrumento propulsor para as inovações necessárias à sobrevivência dos negócios. Pode-se dizer que a adoção de novas tecnologias e, consequentemente, de novas práticas de trabalho, é um processo de mudança cíclico, complexo e multifacetado. Cíclico em função de o processo gerar novas necessidades que justifiquem o aprimoramento constante das ferramentas tecnológicas. Complexo por envolver um constante monitoramento do ambiente, onde, muitas vezes, prevalece a imprevisibilidade das variáveis que acarretarão mudanças nas organizações e, multifacetado, pela característica fragmentada do processo, que pode vir a afetar de forma diferenciada os diversos setores da organização.

No caso dos sistemas de gestão da cadeia de suprimentos, os processos passam a ser integrados e algumas informações compartilhadas. Em geral, o novo sistema é implantado com o objetivo de substituir os sistemas antigos que se tornam obsoletos com o passar do tempo.

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Nessa etapa, especialistas de desenvolvimento trabalham na empresa por períodos que variam de meses a anos, uma situação atípica para os usuários do sistema (Nah, Lau e Kuang, 2001). Sob essas circunstâncias, algumas vezes é necessária a criação de novas gerências e cargos para atender às adaptações inerentes ao formato do software.

Paralelo às transformações estruturais, os sistemas integrados demandam mudanças de ordem tecnológica, comportamentais e culturais (Strauss e Belini, 2006). Neste estudo, estamos interessados em investigar aquelas associadas às práticas de trabalho. De certa maneira, elas podem vir a ser ou não influenciadas por esses componentes quando da implementação de sistemas tecnológicos.

2. O CAMINHO METODOLÓGICO No sentido de analisar as mudanças nas práticas organizacionais originadas nos distintos níveis hierárquicos organizacionais com a adoção do sistema de GCS, utilizou-se, concomitantemente, o estudo de caso, retratado pela experiência de uma multinacional siderúrgica ao implementar um programa de planejamento da gestão da cadeia de suprimentos e, no plano analítico, a análise de conteúdo temática.

A análise temática consiste em descobrir os núcleos de sentido que compõem uma comunicação cuja presença ou frequência signifiquem alguma coisa para o objetivo investigativo visado (Minayo, 2000), no presente estudo, os reflexos da implementação do sistema de GCS nas práticas organizacionais.

Para Yin (2005), o estudo de caso é um procedimento empírico que investiga um fenômeno contemporâneo dentro do contexto da vida real. O método é adequado quando os limites entre o fenômeno e o contexto não estão claramente definidos. Pode se demonstrar revelador quando os achados têm a possibilidade de surpreender, revelando perspectivas não abordadas por estudos assemelhados (Martins, 2006). Assim, a escolha de uma situação única que se potencialize em um campo de investigação profícuo para o objeto em estudo se traduz em uma alternativa promissora para a busca de um dado problema científico.

Como resultado é possível obter várias fontes de evidências do caso em questão (Godoy, 1995; Yin, 2005).

Caracterização da unidade de observação A unidade de observação dessa pesquisa, a V&M do Brasil, é a maior unidade industrial do grupo Vallourec & Mannesmann Tubes, um dos principais produtores mundiais de tubos de aço sem costura. Seus produtos são oferecidos em dimensões variadas, devido aos diferentes processos de produção presentes em oito indústrias na Europa e uma no Brasil. O projeto de implementação do programa de gestão da cadeia de suprimentos foi dividido em duas fases: conceituação e implementação.

A etapa de conceituação, iniciada em janeiro de 2004 e finalizada em julho de 2004, contou com a participação de 20 pessoas, entre consultores e pessoal interno. O propósito nesta fase constituiu em diagnosticar a situação encontrada na organização e propor um conjunto de iniciativas que conduzisse a organização à melhoria das práticas do GCS. Identificadas e mapeadas as atividades, os modelos e as práticas da cadeia de suprimentos, executou-se as propostas de adequação e remodelagem dos processos ao novo sistema.

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Na etapa de implementação do programa iniciada em janeiro de 2005, aproximadamente 160 pessoas foram treinadas para utilizarem o sistema de gestão da cadeia de suprimentos.

A Figura 2 mostra uma visão geral do modelo tecnológico concebido após a implementação do sistema de planejamento e otimização, também denominado de APO (Advanced Planning and Optimization).

Figura 2: Visão geral do modelo tecnológico implementado Fonte: V&M do Brasil, 2005.

A parte destacada em cinza na figura acima retrata o SAP R/3 com os módulos de produção (PP), vendas e distribuição (SD) e administração de materiais (MM) implementados numa etapa anterior. A parte em rosa revela os cinco módulos do SAP APO incorporados na segunda fase. Nesse aspecto, verifica-se que a integração do ERP e dos SGCS necessita de acompanhamento e que algumas questões devem ser analisadas com cuidado.

Em seu estudo, Samaranayake e Tonich (2007) discutem o impacto dos sistemas integrados sobre os sistemas de gerenciamento da cadeia de suprimentos.

Este trabalho identificou itens a serem discutidos pelas organizações que implantaram sistemas ERP e SGCS: (a) como integrar as atividades entre fornecedores e consumidores; JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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(b) como identificar as mudanças nas necessidades da cadeia de suprimentos considerando processos em andamento; (c) como fazer alterações em massa nos dados mapeados nos processos da cadeia.

Com base neste estudo exploratório, foram identificadas limitações que incidem sobre os SGCS quando conectados aos sistemas integrados.

As incompatibilidades entre planos individuais considerando materiais, distribuição, recursos e compras são ainda evidentes e clamam pela atenção das organizações.

Por meio dessas constatações, é possível verificar que a organização espera associar os processos de produção e distribuição (individual) à cadeia de suprimentos (integrada) incorporando vários elementos nessa cadeia: •

Materiais;

•

Atividades;

•

MatériasPrimas;

•

Fornecedores;

•

Armazéns Centrais e Periféricos.

Esta interligação é desenvolvida por meio dos softwares ERP e SGSC que, juntos, são capazes de controlar e informar qualquer ocorrência relacionada aos processos da cadeia de suprimentos da organização.

Coleta e tratamento dos dados Antes da coleta de dados, identificamos os indivíduos e grupos que participaram da implementação do sistema. Posteriormente, foram realizadas entrevistas semi-estruturadas com 10 usuários do programa entre diretores, gerentes e técnicos de operação. No roteiro buscou-se explorar perguntas sobre as principais mudanças percebidas pelos funcionários, as práticas de trabalho e as reações e implicações em suas atividades. Além disso, foram utilizados manuais de procedimentos, documentos normativos e relatórios de execução do programa de GCS. Os textos gerados foram estratificados por níveis hierárquicos – estratégico, tático e operacional – e agrupados por temáticas relacionadas às práticas organizacionais.

A ideia foi entender, nas diversas percepções extraídas dos depoimentos, os significados atribuídos às mudanças de práticas no decorrer da implementação do sistema.

A análise dos dados da pesquisa teve em vista buscar a interação entre o material teórico pesquisado, a análise documental e as informações geradas nas entrevistas.

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3. MUDANÇAS NAS PRÁTICAS ORGANIZACIONAIS DECORRENTES DA IMPLEMENTAÇÃO DO PROGRAMA DE GCS Por meio da análise temática das transformações ocorridas nas práticas das três esferas hierárquicas da V&M do Brasil, foi possível identificar sete dimensões. São mudanças associadas respectivamente: a) aos novos procedimentos oriundos da incorporação da ferramenta de tecnologia da informação; b) a ausência de aderência em relação ao recurso tecnológico adotado; c) aos significados das novas formas de trabalho; d) à visibilidade proporcionada pela implementação do programa; e) à integração entre pessoas, setores e processos; f) à dificuldade em abandonar antigas práticas de trabalho e g) à necessidade de dar continuidade aos processos de mudanças.

A) A incorporação de ferramentas de tecnologia da informação (TI) como fator de mudança nas práticas organizacionais A implementação ou atualização dos sistemas de informação, em muitos casos, pressupõe alterações nos recursos tecnológicos existentes e, por conseguinte, nas práticas organizacionais.

No caso em estudo, para suprir a demanda de planejamento das operações siderúrgicas, a V&M do Brasil teve que incorporar ao sistema integrado o módulo de gestão da cadeia de suprimentos como forma de superar as limitações do software até então utilizado.

A restrição presente nas antigas ferramentas da siderúrgica estava associada a dois fatores: a ausência de cálculos internos capazes de otimizar os recursos da companhia e as deficiências da tecnologia disponível para processar grandes volumes de dados.

Em função disto, as análises e simulações geravam previsões equivocadas que demandavam constantes revisões e correções na gestão da cadeia de suprimentos. Os trechos abaixo revelam as mudanças ocorridas nas práticas com a substituição dos equipamentos tecnológicos: [...] nós vimos que o antigo sistema de planejamento não era capaz de atender à nossa demanda. Então, nós o abandonamos e passamos a utilizar o APO. Agora, existe um instrumento que me ajuda a calcular num mundo complexo de pedidos de diversos requerimentos eexigências, considerando diversos tipos de gargalos (Diretor).

A gente tinha que fazer o trabalho muito na mão. E no software de planejamento que a gente tinha da produção, que era o antigo sistema de planejamento, dava muito trabalho fazer todas as alterações, tudo em Excel. Hoje em dia não, mesmo quando as áreas de vendas não planejam no maior nível de detalhe o que a gente precisa, a gente abre o número até o detalhe que a gente precisa (Gerente).

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No texto gerado pelo depoimento do diretor financeiro, percebe-se que a troca do antigo sistema de planejamento da produção (o I2 Rhythm) pelo novo (SAP APO) foi baseada na obsolescência do programa, incapaz de acolher os processos de planejamento da empresa.

O sistema I2 é um sistema de planejamento que já não atende às funções de planejamento básicas da organização e já não tem mais suporte de seu fabricante desde 2002. Desta forma, era imprescindível que fosse substituído por um sistema mais adequado às necessidades da empresa.

Com o novo sistema viabilizou-se a identificação de impedimentos para atender determinados pedidos que extrapolassem a capacidade produtiva da usina. A fala do Gerente ilustra como esse trabalho era realizado anteriormente.

O trabalho manual executado em planilhas Excel é suprimido e, por meio da automatização das tarefas, torna-se possível visualizar as necessidades da cadeia de suprimentos como um todo. O “número” relatado pela gerência se refere a um conjunto de dados de produção e vendas que, com o modelo anterior, não eram disponibilizados em tempo real.

Faz-se importante também ressaltar as mudanças de ordem técnica processadas com a substituição da ferramenta de planejamento: A priori o APO abrange bem mais. Ele é mais completo que o antigo sistema, ele tem um ganho maior e, com isso, é uma forma de trabalhar diferente [...] o software de planejamento que a gente tinha da produção, que é o I2, a gente fazia só os dois laminadores (Gerente).

Por exemplo, falando do plano de produção no SNP, hoje, nós ganhamos se comparado com a ferramenta anterior, que era uma planilha Excel e basicamente era analisada as capacidades dos dois laminadores. Com a implantação do programa, em vez de analisar a restrição de somente dois recursos, analisa agora a restrição de recursos (Analista).

Antes da implantação do sistema, a análise da capacidade dos laminadores da empresa ficava comprometida pelo limitado número de recursos existentes na organização.

Esse fato é corroborado pelo depoimento do Analista.

O texto expõe o aumento da capacidade de análise gerado pela ferramenta, o que possibilita determinar um plano de produção mais completo, com números mais próximos da realidade. São constatações que confirmam que os sistemas de GCS, não somente dão suporte computacional, como também determinam o modo de operação dos processos da empresa (Davenport, 1998).

Por outro lado, essa necessidade pode gerar resultados indesejados. A rigidez com que o software trata determinadas atividades acaba gerando alterações forçadas nas práticas organizacionais, resultado da não aderência de alguns processos à ferramenta tecnológica.

Essa dimensão é tratada no tópico seguinte.

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B) A falta de aderência dos processos organizacionais com a adoção do novo recurso tecnológico Ao se deparar com uma ferramenta difícil de ser implantada, a equipe que conduziu o projeto de parametrização do sistema se viu diante da necessidade de transpor um obstáculo tecnológico: a não aderência de alguns processos à ferramenta. No depoimento abaixo, é verificado o quanto essa barreira foi um fator de mudança nas práticas: [...] era um fator de risco que, para alguns dos nossos processos de planejamento e programação, o software APO eventualmente podia não ser aderente. Nós, inclusive, conseguimos identificar bem antes, na fase ainda de conceituação, que não seria aderente a otimização que a gente precisava fazer na aciaria. Então, nós partimos sabendo que a gente teria que procurar uma solução alternativa pro software desenvolvido (Gerente).

O problema de aderência das práticas em uso com o novo programa proposto para a organização, muitas vezes é tentado ser solucionado no próprio processo de implementação do sistema. São situações que podem vir a prorrogar por tempo indeterminado o prazo estipulado para o pleno funcionamento dos recursos tecnológicos.

Outra limitação tecnológica verificada foi a fraca integração entre o sistema de gestão da cadeia de suprimentos e o sistema integrado já existente na organização, que acarretou em situações de conflito entre a organização e os fornecedores do programa: [...] o negócio não funciona, você liga para SAP e o pessoal “ah não, com A não funciona, só funciona com B”, “pôxa, mas não tinha opção de A e B? são duas opções dentro do meu software, o outro só está preparado pra B”, “ah é, não tem jeito”, então leva a gente a fazer uma série de coisas aí, a gente faz as famosas “gambiarras”, dando a volta por cima pra conseguir fazer com que a integração entre o SAP APO e o SAP R/3 funcione (Gerente).

Os trechos configuram o complexo cenário experimentado pelos usuários ao se verem diante de distintos sistemas de TI. A expressão “gambiarras” diz respeito à necessidade de fazer parametrizações adicionais, normalmente fora dos modelos advindos da ferramenta padrão, para que a interligação entre os dois sistemas funcione.

Dentre todas as áreas que o sistema de GCS abrange (compras, produção, vendas e distribuição e planejamento), a área de vendas perdeu mobilidade na execução das atividades. O Gerente exalta a “dificuldade” sentida pelos funcionários com a introdução das novas práticas após a implementação do sistema. Para as pessoas envolvidas com as transformações proporcionadas pela tecnologia são várias as interpretações relacionadas à execução das novas tarefas.

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C) Mudanças no significado do trabalho A implantação de qualquer modelo de ênfase tecnológica pressupõe a transição de trabalhos manuais para tarefas realizadas com o auxílio de sistemas informatizados.

Nesse novo cenário organizacional, as ferramentas tecnológicas permitem aos funcionários controlar as próprias ações e introduzir variações nos procedimentos (Motta, 1998).

Na passagem da execução de uma tarefa manual para uma informatizada o indivíduo tende a incorporar uma perspectiva mais intelectual a uma situação do trabalho.

Isso é derivado da mudança de um procedimento realizado de forma mais mecânica para um procedimento em que há uma necessidade maior de análise do conteúdo da tarefa. Com a implantação do sistema de GCS, a absorção das novas formas de trabalho produziu interpretações diferenciadas sobre as novas funções a serem exercidas: Uma coisa que mudou também é que agora eles [os usuários] são muito mais analistas. As pessoas têm que analisar a informação, elas têm que ter condição de comparar mais com outros números, muda o perfil (Gerente).

A “mudança de perfil” identificada pelo Gerente ilustra as novas qualificações adquiridas por seus subordinados, expressadas por meio da necessidade do exame crítico do conteúdo do trabalho com a extinção das atividades mecânicas.

O depoimento mostra que a mudança na tarefa demanda um maior senso analítico em função dos recursos disponibilizados pelo sistema, o que possibilita o incremento das informações a serem avaliadas. Essa perspectiva é corroborada pelos Analistas: Como regra geral, eu acho que a ferramenta trouxe uma possibilidade de migração do operacional pro “pensante”.

Então, antes as pessoas gastavam mais tempo no operacional, no braçal, construindo, montando fórmulas, montando relatórios e, eu entendo que esse projeto, não só ferramenta, mas a mudança de procedimento, está migrando, fazendo os procedimentos e as rotinas migrarem desse operacional pro “pensante” (Analista).

Você tem muito mais tempo pra se dedicar pra poder pensar, analisar, melhorar (Analista).

Acho que possibilita muito mais a gente hoje gastar um tempo menor com a execução e então, direcionar um tempo maior para estar pensando, pensando e operacionalizando essas mudanças (Analista).

Torna-se oportuno destacar a expressão “pensante” que, no contexto, demonstra a transformação na forma de execução de cada atividade, antes muito “operacional”. Assim, as tarefas que exigem uma atividade mental mais analítica passam a ser favorecidas com a transferência para o sistema das atividades de cunho mais operacional. Determinadas rotinas, “fórmulas” e “relatórios”, que eram construídos manualmente pelos usuários são automatizadas e o tempo antes consumido nas tarefas manuais passa a ser destinado ao exame dos resultados divulgados pelo software. O período despendido com trabalhos JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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repetitivos cede lugar às horas trabalhadas na proposição de melhorias dos novos procedimentos gerados pelo programa.

No caso da V&M do Brasil, o trabalho exclusivamente operacional foi sendo eliminado. Com isso, tarefas mais nobres começam a serem executadas por aqueles que antes gastavam uma grande fatia de tempo em procedimentos com pouco valor percebido.

Outras modificações nas práticas foram levantadas como, por exemplo, o aumento da visão conceitual do sistema.

D) O aumento da visibilidade na realização da tarefa De forma recorrente e em todos os níveis hierárquicos, é possível perceber que uma das principais mudanças ocorridas advindas da nova forma de gerir a cadeia de suprimentos da organização foi o aumento da visibilidade das pessoas com relação às práticas executadas.

Em termos da potencialidade gerada pelo sistema, há uma ampliação das possibilidades de análise dos recursos organizacionais confirmada pelo principal gestor financeiro da companhia: Com o APO, paralelamente, eu posso utilizar os agregados com muito mais perspicácia, eu posso ver onde tem capacidade à disposição, onde eu posso agrupar pequenos lotes para lotes grandes, aumentando a utilização do equipamento e reduzindo a troca de ferramentas, evitando estoques intermediários por prioridades feitas de lead times grandes (Diretor).

O depoente descreve a “perspicácia” com que a companhia consegue utilizar os recursos disponíveis a partir da implantação do sistema de planejamento e otimização. Isso significa que as pessoas passam a gerenciar os recursos que compõe a cadeia de suprimentos (produção, controle de estoque, programação e transporte), por meio da melhor utilização dos equipamentos e execução dos processos. O software auxiliou também o pessoal de nível operacional a entender melhor o conjunto de atividades realizadas na cadeia de suprimentos: O grande impacto que vai resumir um pouco toda a atuação da ferramenta e do projeto supply chain é a questão da visibilidade. [...] [O APO] promoveu uma visibilidade muito grande no processo. Ampliou as visões, e com isso você muda os seus procedimentos, você muda a sua atitude, você muda a forma de buscar informação e a amplitude de visão que a ferramenta traz. (Analista).

A PV, de um modo geral, ela é muito deficiente em termos de planejamento. O problema é muito grande lá, isso é porque falta visão como um todo, de olhar toda a cadeia. O APO nos oferece isso, o principal objetivo dele. Lógico que nada é 100%, mas eu entendo que os 70-30, 80-20, ele nos atende sim (Técnico).

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Os enunciadores descrevem o acréscimo do campo visual com as novas práticas de trabalho, o que gerou mudanças nos procedimentos e atitudes, além de modificar a forma de captação e tratamento das informações. O resultado é a disseminação de conceitos relacionados à cadeia de suprimentos e a possibilidade de enxergar as ações efetuadas por outros elos da cadeia. De acordo com o registro do Técnico da unidade de Trefilaria (PV): efeitos antes não visualizados nas antigas formas de trabalho da organização. Outra mudança identificada nos depoimentos diz respeito à habilidade de planejar os recursos com mais precisão ou à capacidade que a organização adquiriu de predizer determinadas situações: A gente trabalhava muito com o imediatismo, aquilo que estava acontecendo no momento, então, não tinha um planejamento antecipado e o pessoal alegava que isso acontecia por falta de visibilidade dentro da própria cadeia (Analista).

O que nós vamos produzir e qual o resultado da empresa, era feito em cima da capacidade de poucos recursos, considerando lead times teóricos, que podiam estar adequados em uma época e não adequados em outra. Era visando famílias de produtos que não estavam muito adequadas ao mercado ou que não estavam adequadas aos nossos padrões de produção. Hoje, com a implantação do APO, nós temos uma verificação de capacidades que nós estamos fazendo para o ano de 2007. Aí, de uma forma muito mais detalhada e segura de trabalhar (Gerente).

A situação de “imediatismo” descrita pelo Analista expressa a ausência de visão dos elos da cadeia de suprimentos antes da implantação do sistema.

Anteriormente, as previsões do tempo gasto da entrada da matéria-prima em uma ponta até a entrega do produto na outra – o “lead time” de produção – eram realizadas de maneira abstrata.

As origens da inadequação dos períodos de análise da cadeia de suprimentos advêm da ausência dos dados de previsão disponíveis. Com a ferramenta, foi possível aumentar a precisão das análises gerenciais, eliminando os modos “teóricos” na realização das tarefas.

Contudo, essa possibilidade de antever o futuro gerou um problema não vivenciado anteriormente na organização: o excesso de informações detalhadas, gerando sobrecarga nos usuários no momento da análise. O depoimento abaixo retrata essa situação: Eu acho que a principal mudança é que você passa de fato a ter a informação, mas você tem muita informação, então é aprender a fazer com que aquela informação vire conhecimento, porque você pode se perder em tanto detalhe.

Ninguém está acostumado com tanto detalhe (Gerente).

O depoente declara que o detalhamento proporcionado pela ferramenta se torna um fator de risco na assimilação das novas práticas organizacionais. Torna-se, então, necessário identificar um modo de tornar a informação mais legível, caso contrário é possível “se JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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perder” em meio ao montante dos dados disponibilizados pelo sistema de gestão da cadeia de suprimentos, muito maior e mais detalhados do que os processados pelas ferramentas anteriores. Além de possibilitar uma visão mais ampla para os usuários, com a implementação do sistema foi necessário integrar funcionários e departamentos da organização.

E) A integração entre pessoas, setores e processos Conforme já mencionado, a implementação do sistema de planejamento da cadeia de suprimentos da V&M do Brasil pressupunha a interligação dos módulos de planejamento das operações siderúrgicas com os módulos de Produção, Vendas e Distribuição e Administração de Materiais. Situação que gerou uma série de conexões entre os departamentos da cadeia de suprimentos da organização, ocasionando diversas mudanças nas relações de trabalho: Eles [os usuários] não estavam acostumados a ter tanto trabalho assim em conjunto. Você passa a trabalhar muito mais em conjunto com as áreas de vendas, produção, etc. Você tem que trabalhar mais em equipe, e nem sempre todas as pessoas estavam preparadas pra isso, cada um ficava muito no seu mundinho ali planejando, ou recebendo o plano, ou consolidando, e tinha pouco envolvimento com as áreas, então você um pouco que aceitava do jeito que vinha (Gerente). [...] eu quero é a melhor produtividade, pra mim não interessa se ele vai faturar esse mês ou vai faturar mês que vem. Pra mim não aparece faturamento, aparece produção, então, esse individualismo tende a acabar (Gerente).

Um atributo marcante no trabalho das pessoas antes da implementação do programa de GCS era o isolamento. Cada um trabalhava de forma independente, sem se preocupar com as tarefas executadas pelos demais usuários.

Com a implantação do sistema, a comunicação entre as áreas fez com que as práticas passassem a ser compartilhadas com outras áreas integrantes da cadeia de suprimentos.

Uma das características dos sistemas integrados é romper supostos “castelos” existentes na organização, funções que, pelo elevado nível de especialização, faz com que os indivíduos se limitem às suas tarefas (o seu “mundinho”) não participando de outras atividades, muitas vezes, complementares ao seu trabalho.

O segundo relato acima ilustra uma situação em que a disponibilidade de informações de outros setores quebra um pouco a fixação do trabalhador em uma única tarefa.

A integração de setores se traduz em outra mudança nas práticas. Com o compartilhamento das informações, as áreas passam a atuar de forma integrada, com uma tarefa de um setor afetando a tarefa de outro. Alguns depoimentos expressam a nova dinâmica na execução das práticas organizacionais: JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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A gente sabe perfeitamente onde mexeu, o que que mexeu.

Temos condição de questionar, ver o que mudou pra pessoa mexer daquela forma, então, assim, pra área de vendas, muito que estava só no domínio deles passou a ser do domínio do planejamento também (Gerente). [...] esse número é meu, não, é o número de planejamento agora, todo mundo tem acesso, no detalhe (Gerente). É muito importante porque deixa de ter estratégias locais, pra ter uma estratégia consolidada (Gerente).

O planejamento agora ele foi separado em tático e operacional.

O tático que é o planejamento de vendas, na verdade ele virou o planejamento de vendas e o plano de produção. O planejamento de produção ficou de fato o sequenciamento, é como se ficasse o PP/DS no planejamento da produção e o planejamento de vendas mudasse o nome pra planejamento tático e ficasse em DP com SNP (Gerente).

No primeiro texto, o Gerente detalha a junção ocorrida entre a área de vendas e a área de planejamento com a implementação do sistema. Com isso, é possível saber quais foram as modificações em determinada tarefa procedidas por uma área, pois essas mudanças têm reflexo imediato no outro setor envolvido diretamente na tarefa.

Apesar disso, a partir da integração das tarefas, os usuários passaram a se sentir mais “vigiados”, já que toda ação executada em uma etapa da cadeia de suprimentos passa a ser refletida em outras etapas e em outros setores da organização.

Além da integração de pessoas e setores, a implementação do sistema de GSC também possibilitou a integração dos processos da companhia, antes isolados. Nos discursos abaixo, os entrevistados demonstram algumas mudanças que ocorreram nos procedimentos com a implantação do software: Acho que o principal ganho do APO, olhando ele como um todo vai ser a integração de toda a cadeia de processos.

Qualquer alteração que tiver no final do processo vai ter reação imediata no início da cadeia (Técnico).

Você tinha ao longo da cadeia o planejamento em partes isoladas, e com o supply chain você viu que cada etapazinha do processo tem um recurso gargalo lá, que a área tem que assimilar uma melhoria pra aquele recurso (Técnico). [...] a unificação da plataforma de trabalho, todo mundo trabalhando numa mesma plataforma, com os mesmos tipos de dados, isso foi muito benéfico pra gente, porque nós começamos a acompanhar um dado e vê-lo na sequência de uma forma muito mais integrada até o final do processo dele (Analista).

O resultado conseguido com a integração dos processos que compõe a cadeia de suprimentos da organização foi consequência da possibilidade de existência de um JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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comportamento cooperativo entre todos os elos da cadeia, minimizando a probabilidade de quebra da seqência das tarefas que fazem parte do processo logístico.

F) A dificuldade em abandonar as antigas práticas de trabalho Na opinião dos entrevistados, a utilização concomitante de novas e antigas práticas foi um exercício comum entre os usuários. Havia a necessidade de comparar, validar e até mesmo garantir a confiabilidade do resultado gerado pela nova ferramenta. Assim, o paralelismo na realização das tarefas se estendeu para além da etapa de implementação, o que gerou certa resistência na adoção das novas ferramentas de trabalho e riscos para a completa adoção do programa: O fator maior de risco que a gente levantou na V&M era as pessoas que deveriam usar o software continuar mantendo a sua planilha que fazia antes em paralelo. Então, por não dar tempo de trabalhar as duas coisas simultaneamente, o software novo ficar em segundo plano e a planilha continua prevalecendo, e a gente nunca ia executar a mudança. A gente ainda não está livre desse risco totalmente, as pessoas ainda não abandonaram a forma antiga de trabalhar totalmente, porque ainda precisa ter um balizador pra verificar se o software novo está funcionando a contento. E aí a gente brinca aqui que é “tirar as rodinhas da bicicleta e andar sozinho”, “por enquanto eu ainda estou andando de bicicleta com a rodinha do lado pra eu não cair” (Gerente).

Desde o início do projeto, foi considerado como fator de risco a possibilidade de sustentar duas formas de trabalho em “paralelo” – a antiga e a nova.

O gestor indica que a simultaneidade com que as pessoas mantêm as formas de trabalho pode fazer com que o usuário abandone o novo sistema e conserve somente a antiga forma, não caracterizando assim mudanças nas práticas. Além disso, percebe-se que esse risco foi vivenciado após a implantação do software.

A expressão “balizador” identifica a propriedade dada à velha prática na intenção de conferir se o novo sistema estava de fato funcionando. “Tirar as rodinhas da bicicleta e andar sozinho” sugere que todo o investimento feito na adoção de uma nova prática não é imediatamente absorvido pelos usuários.

São situações em que eles não se sentem confiantes em abandonar as velhas práticas e aceitar as novas formas de executar suas atividades. Denota ainda a resistência configurada quando é necessário mudar uma tarefa já absorvida e vivenciada na rotina, para uma empreitada desconhecida. Mesmo que a nova prática seja melhor e traga maiores benefícios, o indivíduo se sente impotente frente à modernização dos processos. Essa dualidade tem reflexo em quase todos os módulos, como ilustram os discursos abaixo: No caso do plano de produção, que é o SNP, ele está implantado. Só que nós estamos numa fase de validação ainda.

Então, nós ainda estamos trabalhando com a estrutura anterior e, aí nós desenvolvemos em paralelo. Todo um trabalho que JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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era feito anteriormente continua sendo realizado pra servir como referência e validação do trabalho que está sendo desenvolvido dentro do SNP hoje (Analista).

Nesses dois módulos [GATP e PP/DS], a ferramenta anterior continua sendo a referência, e esses dois módulos estão amadurecendo ainda.

Durante esse processo de amadurecimento, ainda precisa fazer a comparação e os ajustes finais (Analista).

Os Analistas descrevem o caráter paralelo na execução das atividades. Mesmo assinalando-se como “duas formas diferentes de se trabalhar”, os usuários não se sentem prontos para abandonar os velhos padrões. Assim, os funcionários dobraram a sua carga de trabalho. A tarefa que era desempenhada antes continua sendo realizada para “servir como referência e validação”. Percebe-se que, para alguns módulos prevalece o paralelismo das atividades. São funcionários trabalhando nos cenários antigo e atual, duplicando a responsabilidade pela entrega de resultados, quando, na verdade, os usuários já deveriam ter se adaptado ao novo formato de tarefas.

G) A implementação do programa de GCS: mudanças constantes As organizações em todo o mundo têm passado por atualizações tecnológicas constantes com o objetivo de se manterem competitivas no mercado, por meio da redução de custos e aumento de ganhos financeiros.

Toda implementação envolvendo sistemas de informação assume, então, um caráter de mudança contínua. Ao finalizar a implantação de um software, a alta administração deve estar atenta sobre as atualizações que se fazem necessárias para que o sistema responda adequadamente aos novos desafios organizacionais. A constatação da necessidade de alterações contínuas nas práticas após a implementação do sistema é compartilhada por alguns entrevistados: Nós ainda estamos verdes na utilização do nosso supply chain.

A gente tem hoje uma visão muito melhor do que tinha anteriormente sobre os nossos processos do longo prazo, mas, a gente vê que a gente ainda tem muito pra amadurecer. Coisas que não existiam... possibilidades de amadurecer no método antigo que a gente estava (Gerente).

Eu acho que o que a gente tem hoje em mãos com relação ao DP me parece o escopo mais básico do DP. Nós temos que evoluir para as questões de previsões, projeções, previsões macrométricas. Agregar valor nesse sentido, da análise das projeções e simulações (Analista). [...] em várias etapas vão ser necessárias ainda muitas adaptações e evolução, que eu acho que evolução é uma coisa necessária, é melhoria mesmo (Analista).

O texto gerado a partir do discurso do Gerente demonstra que o emprego de toda a potencialidade do novo sistema de gerenciamento da cadeia de suprimentos ainda não JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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atingiu seu grau máximo de utilização. Apesar da melhoria verificada nas práticas, ainda não se chegou ao nível adequado para se explorar o potencial que a ferramenta oferece.

Do mesmo modo, o segundo trecho indica que o DP (planejamento da demanda) está sendo utilizado em sua capacidade mínima. Cálculos mais complexos, simulações avançadas e previsões baseadas em modelos estatísticos ainda não são utilizados pelos usuários do sistema. De forma complementar, o Analista reconhece serem necessárias muitas adaptações para o aproveitamento dos benefícios oferecidos pela ferramenta.

4. CONCLUSÕES O principal objetivo deste estudo foi identificar as principais mudanças que ocorreram nas práticas organizacionais dos funcionários das três esferas hierárquicas da V&M do Brasil – estratégico, tático e operacional – com a implementação do programa de GCS. Com relação às novas práticas adotadas, foram sete as dimensões de mudança percebidas pelos usuários do sistema. Alterações associadas: a) ao conteúdo das atividades laborais, b) à falta de aderência dos processos, c) aos significados do trabalho, d) à ampliação da percepção sobre os impactos da tarefa, e) aos efeitos da integração organizacional, f) às barreiras na abdicação de antigas práticas e g) à necessidade de autorenovação do estágio alcançado.

A incorporação da ferramenta de planejamento e otimização mudou o conteúdo das práticas em termos da maior precisão, velocidade, visibilidade e capacidade analítica na gestão da cadeia de suprimentos.

Outra mudança significativa percebida no teor das práticas de trabalho é a transição de um modo mecânico na realização da tarefa para uma perspectiva mais pensante proporcionada pela tecnologia. Tais situações devem ser observadas e exploradas pelos gestores como um incremento na capacitação dos usuários do sistema, que já sentiram as mudanças ocorrendo em suas práticas diárias.

Por outro lado, a falta de flexibilização do programa em se adequar às práticas existentes conduz a problemas de aderência que acabam comprometendo os prazos estipulados para o início das operações do sistema.

Um outro impacto gerado pela ferramenta tecnológica é o excessivo volume de informações produzidas pelo sistema. Caberia às gerências um trabalho de racionalização dos dados no sentido de dar mais consistência e foco nas práticas a serem exercidas na GCS. No processo de mudança, corre-se o risco também dos usuários não abrirem mão das antigas práticas de trabalho, incorrendo na duplicação das atividades. Aqui, caberia toda uma mobilização antecipada de gestores e, mesmo consultores, no detalhamento das mudanças para cada perfil de usuários e a utilização de mecanismos que transfiram confiabilidade sobre a nova situação de trabalho a ser gerada com o sistema.

Espera-se que, com este estudo, ser possível ampliar o debate sobre a utilização dos JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 147-170

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recursos tecnológicos e suas implicações nas práticas organizacionais. Torna-se importante observar que a mudança causada pela implementação de modelos com ênfase tecnológica gera transformações constantes no trabalho dos usuários.

No caso da gestão da cadeia de suprimentos, a pesquisa aponta algumas facilidades e dificuldades que podem servir de referência para a atuação de gestores e usuários do setor industrial. Assim, esta investigação contribui também no gerenciamento dos trabalhos em futuras implementações de programas envolvendo o GCS. REFERÊNCIAS Ballou, R. H. Gerenciamento da Cadeia de Suprimentos: Planejamento, Organização e Logística Empresarial. São Paulo: ARTMED, 2001.

Bayraktar, E., Gunasekaran, A., Koh, L., Tatoglu, E., Demirbag, M. Zaim, S. An efficiency comparison of supply chain management and information systems practices: a study of Turkish and Bulgarian small-and medium-sized enterprises in food products and beverages.

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Braga, J. Na onda do ERP. Revista Tecnologística. Ano V, n.44, p.18-26, 1999.

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Christopher, M. Logística e Gerenciamento da Cadeia de Suprimentos: Estratégias para Redução de Custos e Melhoria dos Serviços. São Paulo: Pioneira, 2002.

Corrêa, H. L.; Gianesi, I. G. N.; Caon, M. Planejamento, Programação e Controle da Produção. São Paulo: Atlas, 2001.

Davenport, T. H. Missão Crítica: obtendo vantagem competitiva com os sistemas de gestão empresarial. Porto Alegre: Bookman, 2002. ______. Putting the enterprise into the enterprise system. Harvard Business Review, p.121- 131, jul./ago. 1998.

Godoy, A. S. Pesquisa Qualitativa: Tipos Fundamentais. Revista de Administração de Empresas. São Paulo: v.35, n.3, p.20-29, mai./jun. 1995.

Hall, R. Enterprise resource planning systems and organizational change: transforming work organization? USA: 2002, p.263-270.

Handfield, R. B., Nichols, E. L. Introduction to Supply Chain Management, Upper Saddle River, Prentice Hall, NJ, 1999.

Hehn, H. F. Peopleware: como trabalhar o fator humano nas implementações de sistemas integrados de informação (ERP). São Paulo: Gente, 1999, p. 167.

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Hsu, L. L., Chiu, C. M., Chen, J. C. H., Liu, C. C., The impacts of supply chain management systems on information sharing and integrated performance. Human Systems Management. 28, 2009. p. 101-121.

Johnston, H.R.; Vitale, M.R.. Creating Competitive Advantage with Interorganizational Information Systems. MIS Quarterly. Jun 1998, p. 153- 165.

Lage, M. C.; Pontes, C. C. C. Sistemas ERP e as transformações na organização do trabalho. In: EnANPAD - Encontro Nacional de Programas de Pós-Graduação em Administração, 2006, Salvador – BA. Anais do 30° ENANPAD. 2006.

Laudon, K. C.; Laudon, J. P. Sistemas de Informação Gerenciais. São Paulo: Ed. 7, PERARSON, Prentice Hall, 2007.

Martins, G. A. M. Estudo de Caso – uma estratégia de pesquisa. São Paulo: Ed. 5 Atlas, 2006.

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Yoshizaki, H. Supply Chain Management <http://portal.vanzolini> Acesso em: 23 out. 2006.

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e

Logística.

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JISTEM – Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 9, No. 1, Jan/Apr. 2012, pp.171-188 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752012000100009

HEDONIC PREFERENCES AND UTILITARIAN JUSTIFICATIONS AT THE INTRODUCTION OF HIGH TECHNOLOGY PRODUCTS PREFERÊNCIAS HEDÔNICAS E JUSTIFICAÇÕES UTILITÁRIAS NA INTRODUÇÃO DE NOVOS PRODUTOS DE ALTA TECNOLOGIA Rosa Maria Chaves Lima Emílio José Montero Arruda Filho Universidade da Amazônia, Belém, Pará, Brazil

ABSTRACT Fast technological upgrading attracts the development of new products in the market, converging into multiples uses and accesses, which has been presentedin the literature of new product development and systems integration. Due to their confront, this research places its study focus on the determinants of consumer preference for high technology product launch. The hedonic / social utility of the all-in-one products has a priority in utilitarian factors. The main objective of this work is to evaluate which factors influence the consumer preference of high technology users, using the Apple´s tablet (iPad) as a research object to identify how its use decision is made. In this article, a netnographic study was carried out about the iPad consumer behavior, interpreting their needs through their experiences described in American websites for the discussion of the product. These sites present comments about the process of choice, preference and use of the iPad. The websites have also been used to collect the textual database which is coded, interpreted and presented through the description of how current and potential consumers use the analyzed product.

Keywords: Consumer Behavior, Hedonism, Utilitarianism, Technology Convergence, Netnography.

RESUMO A rápida atualização tecnológica atrai o desenvolvimento de novos produtos no mercado, convergindo para múltiplos usos e acessos, o qual vem sendo apresentados na literatura de new products development e systems integration. Dado o confronto destas duas literaturas, esta pesquisa posiciona seu foco de estudo para os fatores determinantes na preferência do consumo de lançamentos de produtos altamente tecnológicos, onde a utilidade hedônica / social dos produtos allin-one (tudo em um só) tem prioridade sobre os fatores utilitários. O objetivo do trabalho é avaliar quais fatores influenciam a preferência do consumo de alta tecnologia, utilizando como objeto da

Manuscript first received/Recebido em 24/08/2010 Manuscript accepted/Aprovado em: 15/11/2011 Address for correspondence / Endereço para correspondência Rosa Maria Chaves Lima, Núcleo de Pesquisa, Mestrado em Administração - Universidade da Amazônia – UNAMA, Av. Alcindo Cacela, 287. Belém, PA 66060-902, Brazil, E-mail: rosachali@unama.br Emílio José Montero Arruda Filho, Núcleo de Pesquisa, Mestrado em Administração Universidade da Amazônia – UNAMA, Av. Alcindo Cacela, 287. Belém, PA 66060-902, Brazil, Email: emilio.arruda@unama.br Published by/Publicado por: TECSI FEA USP – 2012 All rights reserved.

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pesquisa o tablet da Apple (iPad), para identificar como a decisão de uso é construída. Neste artigo realizou-se um estudo netnográfico sobre o comportamento de consumo do iPad, interpretando suas necessidades através de experiências descritas em sites norte americanos de discussão do produto, o qual apresenta comentários sobre o processo de escolha, preferência e uso. Estes sites são utilizados para coleta dos dados textuais que são codificados, interpretados e apresentados sobre a forma descrição de uso dos consumidores atuais e pretensos consumidores do objeto analisado.

Palavras-chave: Comportamento do Consumidor, Hedonismo, Utilitarismo, Convergência Tecnológica, Netnografia.

1.

INTRODUÇÃO

O mercado de tecnologias da comunicação tem se expandido rapidamente nos últimos anos dado o número de pessoas que buscam inovações tecnológicas. Este mercado atrai especialistas em desenvolvimento de novos produtos, como por exemplo, os produtos chamados all-in-one (tudo em um só) (Nunes et al., 2000). Os telefones celulares, por exemplo, com pacotes integrados e alta convergência tecnológica, possuem internet, câmera de vídeo e fotografia, entre outros dispositivos. Assim, a integração dos produtos (Hobday et al., 2005) e a convergência dos serviços (Pathak, 2005) produzem um produto com mais capacidade de venda no mercado do que os celulares anteriores, os quais possuíam apenas chamadas e armazenagem numérica básica.

O grande desenvolvimento do mercado de telecomunicações se refletiu nos dispositivos de comunicações móveis no decorrer dos últimos anos, no qual o celular vem sendo atualizado todos os dias, utilizando integrações de sistemas e a convergência tecnológica como ferramentas (Taylor et al., 1999; Vrdoljak et al., 2000; Kim et al., 2005), conectando todas as possibilidades de serviços em um único produto, permitindo a redução do número de equipamentos que os consumidores portam para funcionalidades diversas (Harris e Blair, 2006).

Os celulares, assim como outros produtos tecnológicos, não são produtos meramente utilitários (produtos com finalidades às necessidades de um consumidor, os quais possam ser utilizados para o trabalho, estudo ou importantes fatos do cotidiano do usuário) (Okada, 2005), pois, dentre seus benefícios, também se encontram funcionalidades ligadas à diversão e ao prazer que estão associados ao produto. As funções integradas aos produtos como a câmera fotográfica, vídeo, jogos e outros, geram serviços e valores diversificados heterogenizando a segmentação do produto ou gerando homogeneidade por conglomerado. De acordo com Katz e Sugiyama (2006), pessoas usam tecnologias móveis como forma de expressão de suas identidades sociais, assim como associam suas roupas como extensão de seus corpos, propondo-se um valor hedônico e/ou social ao seu uso.

Estudos recentes sobre uso e comportamento do consumidor observaram que as pessoas estão mais aptas e disponíveis para compra de produtos hedônicos (produtos que propiciem divertimento, prazer e satisfação aos usuários), proporcionando-lhes benefícios com interação ao desejo (Park, 2006; Gill, 2008). Porém, estão mais seguras quando o produto possui muitos aspectos utilitários, pois será mais fácil justificar a sua aquisição (Okada, 2005; Arruda Filho, 2008). Além do prazer e divertimento, Arruda Filho (2008) define que o uso de um produto tecnológico com várias características hedônicas possui atrativos com utilidades sociais, no qual o fator utilitário do produto passar a ser um ativo para posição social (status social).

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Assim, este estudo tem como foco a análise dos valores utilitários e hedônicos na escolha de produtos tecnológicos, onde a decisão do consumidor está delineada por uma coesão de experiências anteriores com a categoria, complexidade ou facilidade de uso do produto, além do posicionamento deste.

Os valores utilitários são identificados pelo uso de um produto que apresente sua finalidade relacionada a uma necessidade individual ou coletiva, tais como dispositivos de auxílio ao trabalho, estudo e funções indispensáveis ao desenvolvimento pessoal, do mercado ou de uma empresa (Slama & Singley, 1996).

Assim, este trabalho estuda a necessidade de uso, de forma a verificar se as preferências pelo produto estão voltadas às questões básicas ou do desejo do consumidor, envolvido na construção de justificação de utilidade (Okada, 2005). Desta forma, busca-se identificar como os consumidores procuram por diferenciações nas inovações tecnológicas, além de preferirem as funções hedônicas desses dispositivos inovadores. Para isto, nesta análise do comportamento do consumo, com dispositivos possuindo grande número de integrações e convergência tecnológica, é importante levar em consideração fatores como: avaliação dos custos, facilidade do uso, moda (design), conhecimento sobre a categoria do produto e justificação da utilidade (Gill, 2008; Davis, 1989; Katz e Sugiyama, 2006; Coupey et al., 1998; Okada, 2005).

Objetivando este desenvolvimento relacionado com o uso de produtos tecnológicos, percebe-se que, neste ambiente da hiper-conectividade as pessoas passam mais tempo ligadas à internet, que acaba por fornecer toda atualização necessária, com uma conexão via uma diversidade de dispositivos que estão disponíveis no mercado. Com isto, a rede mundial de computadores alcançou uma audiência elevada. Mesmo estando em deslocamento para o trabalho com pouco tempo livre para acesso, ou ainda, em qualquer lugar externo (sem conexão por fio), as pessoas navegam na internet utilizando smartphones (celulares inteligentes).

Quando estes consumidores estão em casa ou no trabalho pelas redes fixas e móveis, eles possuem suas conectividades utilizando os netbooks como plataforma compacta. Desta forma, verifica-se que, para cada novo serviço (internet móvel, mapas, dentre outros) e uso (marcar reuniões com grupos sociais, instalar serviços de jogos ou comunicação pessoal tipo skype), existe um novo produto integrado, até mesmo para leitura de livros e revistas, como os e-readers que vêm ocupando um espaço interessante no mercado que, anteriormente, era focado em livros comuns em vez dos virtuais.

Baseado em todo este comportamento tecnológico de alta evolução e atualização, decidiu-se escolher como objeto de estudo o tablet(prancheta virtual), um produto com alta integração, diversificação e inovação no mercado, direcionando este estudo para interpretar o comportamento do consumidor tecnológico, além de definir seus valores de consumo.

Desta forma, foi analisada a preferência tecnológica do iPad, produto altamente tecnológico, recém-lançado pela Apple, relacionando os fatores intrínsecos deste produto e suas interpretações tecnológicas, utilizando a metodologia qualitativa pelo estudo da netnografia.

O iPad, tablet da marca Apple, foi a aposta para o mercado high tech de 2010, o qual possui a tela de 9,7 polegadas, medindo 1,3 centímetro de espessura. O novo produto estava previsto para custar de U$ 499,00 a U$ 829,00nos Estados Unidos no primeiro semestre de 2010. Possui o item multiplataforma com alta integração de serviços,

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navegador de internet, funcionalidade com jogos, filmes, imagens e outros fatores sedutores para os futuros consumidores.

Após avaliar as teorias presentes na percepção de uso e intenção de compra dos consumidores para produtos de alta tecnologia, define-se o objetivo da pesquisa pela descrição das categorias de consumidores envolvidos neste ambiente estudado, relacionando com as composições dos fatores de integração (Bundle), inovação, múltiplas funcionalidades e diversão, que servem como descrição dos valores e benefícios percebidos pelos usuários. Isto se apresenta como uma replicação do estudo anterior de Arruda Filho et al. (2008), que avaliou como os consumidores escolheram e justificaram suas preferências pelo iPhone em seu lançamento.

Logo, este artigo possui o desenho de pesquisa proposto pelo método qualitativo, explicando a forma e a confiabilidade do uso dos produtos pela análise netnográfica do iPad. O trabalho é dividido da seguinte forma para ser melhor avaliado: (1) inicia-se a apresentação dos dados utilizados e suas validades científicas para depois, (2) apresentar a avaliação destas informações, gerando os resultados da coleta realizada em forma de categorizações destes consumidores. Finalmente, após estas descrições, (3) conclui-se o artigo com as discussões pertinentes à pesquisa e à literatura, descrevendo o comportamento dos consumidores para estes tipos de produtos tecnológicos.

2. MÉTODO O objeto de análise (tablet da Apple) se justifica pelos parâmetros de preferência do mercado, ligados à identidade da marca como base para o produto (Belk e Tumbat, 2005)no fato de estar em um período de pré-lançamento e de pré-venda nos Estados Unidos e possuir uma alta tecnologia e diferenciação no mercado. O iPad se caracterizava como um produto inovador e estava posicionado no cenário, em que os consumidores possuíam um processo de aceitação/adoção da nova tecnologia. Segundo descrição de Bass (1969), este processo são etapas recorrentes entre o período de aceitação e adoção do produto, integrados por uma experiência positiva no experimento (uso), a qual não era ainda provada pelos consumidores do iPad, dado o período de lançamento do produto no mercado internacional e as discussões analisadas.

De acordo com as discussões dos blogs analisados (tabela 1), a grande expectativa em questão estava relacionada ao investimento do setor de tecnologia, ao grande número de integrações tecnológicas do tablet, ao preço e à intensa procura antecipada ao lançamento. Logo no primeiro dia de pré-venda, cerca de 120 mil iPads foram vendidos.

Um sucesso impressionante dado que nenhum consumidor teria ao menos tocado no produto.

Baseado nestes dados do produto, a opção metodológica da pesquisa foi a netnografia, que consiste em extrair informações de blogs/fóruns de discussões (Kozinets, 2002) sobre um determinado tema cultural ou social, ao qual se deseja analisar o comportamento dos consumidores, podendo estes serem adeptos aos grupos de discussões ou simples participantes em busca de informações. Estes blogs devem ser de alta confiabilidade para possibilitar maior credibilidade quanto à legitimidade do comentário do consumidor participante. Esta confiabilidade é percebida pela interpretação dos conteúdos

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descritos e discutidos, no qual grupos de pessoas concordam ou discordam de forma categórica, generalizando um certo conhecimento (experiência).

O importante da netnografia é o fato de procurar-se um espaço aberto para demonstração de satisfação/insatisfação da decisão de compra ou uso, além de procurar identificar e interpretar a adoção e aceitabilidade do assunto abordado que, no caso deste trabalho, é um produto tecnológico. Nesta análise da aceitabilidade é avaliada a decisão, baseada na influência dos fatores hedônicos e utilitários sobre a escolha e preferência de compra, associados à sociabilidade e ao hedonismo desta preferência.

Toda esta análise utilizando netnografia é desenvolvida da mesma forma que a etnografia, pois após serem coletados os dados de análise que virão de blogs ou elementos virtuais da internet, estes serão codificados, categorizados e interpretados com comparações pela literatura para comprovar o estudo desenvolvido.

A escolha do site da Apple foi mobilizada pela não interferência da empresa quanto aos comentários dos usuários, sendo eles pontos positivos ou negativos a respeito do produto. A Apple possui um sistema que consegue obter respostas (recall) dos consumidores para corrigir os erros e identificar os acertos no posicionamento de mercado.

Então, cabe averiguar quais as funções extras que são mais aceitas pelos pré-consumidores do iPad, quais suas necessidades e suas expectativas quanto ao tablet da empresa.

Os agentes de tecnologia da informação da Apple utilizam as respostas para otimização dos serviços e funções dos produtos da empresa. O site da Apple para discussões, chamado “everythingicafe”, possui em média mais de 20.000 discussões diretas sobre vários contextos de produtos Apple, onde os usuários podem opinar com textos, fotos e vídeos nas discussões dos fóruns.

O próprio tipo de pesquisa netnográfica (Kozinets, 2002) é baseada neste modelo, em que, assim como na forma qualitativa etnográfica de avaliação por imagens, busca ações ou ambientes existentes, sem a necessidade de avaliar se o que acontece ou quem participa deve ser valorizado individualmente, dado que todos são potenciais clientes e caso não possuam o produto, estes ainda não o possuem por dúvidas. Alguns consumidores ainda buscam respostas, ou ainda, possuem separatismo dado à devoção que alguns produtos apresentam.

O material utilizado foi de 22 páginas no formato Word, letra Times New Roman 11, justificado, e organizados para interpretação, dispostos em um arquivo ocupando 2/3 de cada página, para deixar o espaço restante (1/3) para codificação e resultados da pesquisa.

Os dados da coleta sobre as discussões do iPad, assim como os enredos utilizados (escolhidos pela profundidade da discussão) e palavras-chaves, são apresentados na tabela 1. A codificação desenvolvida é a mesma utilizada por qualquer modelo qualitativo etnográfico que não utiliza software, na qual o pesquisador precisa ler cada assunto e, inicialmente, este começa a marcar e escrever palavras diferenciadas que demonstrem o sentimento pelo assunto discutido.

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Tabela 1. Dados Primários da Pesquisa Efetuada Nome do Site

EverythingiCafe (Fórum sobre os Produtos da empresa Apple)

URL

http://www.everythingicafe.com/

Data da Coleta de dados (Download) das discussões

De 12 de Março até 18 de Março de 2010

Total de Enredos Checados

4 Enredos com argumentos relacionados sobre o iPad.

A quantidade de discussões utilizadas é bastante significante, por conter 108 participações escritas para analisar o conteúdo (tabela 2), onde segundo Kozinets (1997), a repetição de conteúdos descreve a saturação do objeto de estudo. A escolha dos enredos é realizada por uma leitura inicial dos conteúdos descritos para interpretar seus conteúdos e contribuição para as perguntas realizadas nas discussões. Cada palavra-chave é inserida na busca para encontrar os blogs de discussões mais adequados sobre o assunto, então de diferentes discussões encontradas são escolhidas pela primazia, aquelas cujos assuntos estão melhor apresentados e mais atualizados possuindo bons conteúdos descritos, para poder coletar todas as participações para futura análise.

Após esta coleta, é realizada uma primeira codificação, sendo esta desenvolvida por palavra ou pequenas frases. Uma segunda codificação é realizada das codificações primárias para, após isto, serem criados argumentos para descrever resultados que se assemelhem (categorizações).

Os tipos de enredos utilizados e os pôsteres individuais e conjuntos podem ser vistos na tabela 2. Verifica-se nesta que os pôsteres únicos são aqueles relacionados ao número de participantes por discussão, e os pôsteres totais são aqueles que apresentam o número total de participações para cada enredo, dado que um participante pode postar mais de uma vez seus comentários para uma mesma discussão.

Baseado nos dados coletados, foram criadas categorizações relacionadas com os grupos específicos de consumidores deste tipo de tecnologia. Os autores trabalharam igualmente revisando de forma individual os dados, codificando e avaliando os conteúdos, para depois integrarem e interpretarem conjuntamente que categorias de consumidores melhor representariam os usuários destes produtos inovadores.

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Tabela 2. Divisão do Enredo Desenvolvido para dar Suporte à Pesquisa Número

Nome do Enredo

1

Surpreso com o dispositivo

I'm so freakin excited about the iPad.

Justificando o iPad

How will you justify the iPad?

3

Vício por tecnologia

4

Utilidade vs.

Hedonismo

2

Título das Discussões

No. de pôsteres únicos

Pôsteres totais

Palavras

12

15

578

23

35

2754

Am I Crazy?(Estou louco?)

7

8

859

What will be your primary use for the iPad? (Qual será o seu principal uso para o iPad?).

46

50

3007

88

108

7198

(Estou loucamente excitada com o iPad).

(Como você vai justificar o iPad?).

Total

Após a coleta dos dados e avaliação do método que seria desenvolvido, foram elaborados parâmetros no modelo de títulos-chave dos conteúdos de cada categorização para os diferentes públicos-alvo de consumidores, que dão suporte para descrever como os futuros consumidores e usuários de produtos se comportam na expectativa por possuir uma nova tecnologia tão diferenciada ou mesmo inovativa.

Trechos dos pôsteres estudados foram apresentados para cada categoria criada, colocando a página e linha do material coletado de 22 páginas. A partir da literatura sobre comportamento do consumidor, fez-se a comparação com a análise interpretativa utilizando como referência as observações dos pesquisadores e os dados literários anteriores.

3. PREFERÊNCIA HEDÔNICA E JUSTIFICAÇÃO UTILITÁRIA As categorizações são os pontos conclusivos de uma pesquisa qualitativa na área de marketing e essa é uma das estratégias para identificar o tipo de consumidor e interpretar sua necessidade ou desejo. Baseado nos dados descritos anteriormente e nas informações coletadas do site de discussão do iPad, descrevem-se aqui categorizações identificadas.

As análises são apresentadas primeiramente com uma breve nota explicativa sobre a categorização identificada. Em seguida, são reportados alguns comentários dos participantes das discussões do fórum (discussões traduzidas por dois especialistas em língua inglesa e depois ajustados para um resultado único para caracterizar da melhor

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maneira os conteúdos). E por fim, complementa-se com a literatura relacionada à categoria.

3.1. Justificação utilitária de itens hedônicos Dentre os tipos de comportamentos de consumidores de produtos high tech, existe a categoria de compradores que possuem um sentimento de culpa associado à compra quando o produto é caro e possui grandes integrações hedônicas, ou seja, com muitos itens focados na diversão. Desta forma, a justificativa da compra de produtos que proporcionam bem-estar à pessoa que o adquire simplesmente pelos dispositivos de entretenimento se configura como uma tarefa difícil para estes usuários destes produtos hedônicos integrados (Okada, 2005; Arruda Filho et al., 2008).

Estes consumidores têm preferência pelos produtos com integração quando detém pouco conhecimento sobre a categoria do produto (Harris e Blair, 2006). Quando os produtos são complexos, os consumidores são confrontados com a tarefa de identificar atributos relevantes (Hoch e Deighton, 1989; Harris e Blair, 2006). Assim, para isentar-se de responsabilidade quanto à escolha de um produto com mais características hedônicas do que utilitárias, os consumidores optam por identificar as razões que justificam a seleção do produto.

“Eu sinto que não preciso justificar o iPad para tê-lo, pois eu nunca faço alarde para possuir uma nova tecnologia”. P. 19, Linha 19-23.

“Bem, se você já tem um laptop que você leva com você, o iPad pode ser desnecessário. Você pode apenas comprar uma placa externa de wireless, em seguida, obter, pelo menos, a velocidade 3G no laptop. Isso pode ser uma boa escolha se o dinheiro é um problema. Por outro lado, o iPad parece um dispositivo muito legal que seria útil ter como eReader, tela grande para filmes, etc.”P. 18, Linha 43-48.

“O iPhone/iPod Touch são demasiados pequenos para fazer a leitura, navegação e e-mail que eu gosto de fazer quando eu estou fora de casa. Claro que um netbook ou um laptop pode resolver isso, mas eu não posso fazer mais nada sobre ele, já que eu faço todo o meu trabalho gráfico em casa no meu desktop. Do IPAD seria muito mais fácil de lidar do que um netbook ou laptop ...Quero a web mais fácil de interagir onde e quando eu quiser. “ P. 18, Linha 17- 24.

"Seria um desperdício comprar um leitor dedicado a livros. Mas o IPad, que tem múltiplos usos, corre todos os meus aplicativos, e navega na net. É muito mais do que um leitor eletrônico. Mas, neste momento, já com um netbook, estou tendo um tempo difícil para justificar olhando o IPAD, mas estou definitivamente interessado ". P.10, Linha 1014.

Observa-se que o fato de justificar a compra do produto para estes consumidores significa fornecer explicações quanto à utilidade prática e objetiva para o modo de uso do dispositivo. Este dado pode ser explicado pelo fato de que a justificação está interligada com o sentimento de culpa de que a compra de produtos de alto valor econômico para fins estritamente hedônicos podem produzir nos consumidores (Van der Heijden, 2004; Okada,

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2005; Park, 2006). Esta culpa demonstra o quanto os consumidores não conseguem explicar o motivo pela preferência deste produto, os fatores hedônicos são óbvios no dispositivo considerado caro, e assim, é necessário para o consumidor, justificar a razão para possuir este bem material, razão esta focada no uso utilitário.

A justificativa utilitária revela-se uma forma de amenizar esse sentimento de culpa para os consumidores de alta tecnologia, sendo mais apropriado e estratégico justificar suas compras pelas funções e possibilidades dos dispositivos para fins úteis, do que simplesmente pelo fator de satisfação pessoal (Gill, 2008).

3.2. Devotos pela marca A categoria dos consumidores devotos pela marca é caracterizada como posicionamento de consumidores que seguem os valores e se tornam defensores da ideologia da empresa. As pessoas cultuam marcas de forma semelhante a uma devoção ideológica, pois são atraídas para fazer parte de um grupo social, no qual os membros se identificam por compartilharem os mesmos interesses e se posicionam de uma forma especial em relação aos outros consumidores (Pimentel e Reymolds, 2004; Atkin, 2007).

Os devotos pela marca atribuem características positivas à marca amada e negativas às marcas rivais. Este tipo de consumidor vive a marca de forma pessoal e afetiva. A devoção se dá em um contexto missionário, pois os devotos buscam agregar o maior número de fãs como um catequizador busca fiéis.

“Somos todos viciados (a maioria) em produtos Apple, alguns mais que outros. Eu gosto do iPad e vou obter um. Na minha opinião eles poderiam ter feito muito mais nele, mas mesmo assim vou comprar". P. 15, Linha 17-20.

“Veja o iPad. Ele é perfeito, é acessível, é pequeno, é possível compactá-lo e eu posso colocar nele todas as minhas fotos. "P. 19, Linha 33-34.

A categoria dos devotos pela marcas se diz “viciada” por produtos Apple. Nota-se que os consumidores da Apple fazem referência a marca em seus apelidos (nicknames) nos fóruns como Appleme, i.mac, macgirl, semelhantes aos fãs do Harley Davidson que usam o corpo tatuado para expor sua devoção à marca. Nota-se o poder da marca como um fator que agrega valores, pois os consumidores de produtos da empresa Apple imprimem a idéia de um grupo social fechado (Kozinets, 1997; Belk e Tumbat, 2005). O segundo comentário apresentado descreve o iPad como algo perfeito, ideal para ser colocado como o melhor produto para aquele consumidor, algo que descreve a devoção pela busca de seguir, possuir ou fazer parte de algo diferente e importante.

Dentre os consumidores devotos, foram propostas quatro subcategorias conforme exposto abaixo: 3.2.1 Orientados pela Apple (entusiasmados) Os orientados pela marca Apple possuem interesses voltados à extensão de seus produtos por agregarem mais um item à coleção. Eles são seduzidos pelo posicionamento social que a obtenção destes dispositivos passa. O que é interessante para este grupo é a

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possessão (Belk, 1988), mostrando que é um grupo de pessoas que, em se tratando de alta tecnologia, possui o melhor e conhece o melhor. O consumidor almeja se diferenciar dos demais usuários de produtos high tech. Este usuário quer ser visto como um Apple Guy, que é um ser integrado à comunidade de entusiasmados com o valor da marca (Schau et al., 2009).

“Meu primeiro produto da Apple foi um iPod vídeo e em seguida um iPhone. Eu nunca possuí qualquer um dos seus laptops ou desktops (mesmo pensando que eu preciso obter um 27 "iMac). Vindo de um cara não-Apple ... Estou animado para chegar em minhas mãos o aparelho ... Acho que há muito potencial nele, que outros estão cegos pra ver. Será um dispositivo revolucionário, de várias maneiras”. P. 13, Linha 10-17.

“Eu tenho meu Macbook Pro comigo na maioria das vezes e meu iPhone comigo o tempo todo. No entanto, posso me ver ficando com o MBP menos comigo e com meu iPad com mais frequência ”. P. 6 Linha 22-25.

Consumidores agem de acordo com um grupo social. Destaca-se a condição “Apple guy” (comunidade), defendem a marca pela experiência anterior e pelo grau de interação que os consumidores possuem com os produtos (Pimentel e Reymolds, 2004). Essas pessoas utilizam tecnologia como algo peculiar em seus cotidianos, pois atribui um papel simbólico ao seu uso (Katz e Sugiyama, 2006).

3.2.2 Orientados pelo iPhone (orientação do produto) A experiência anterior com o uso do iPhone deu estímulo para a compra do iPad, pois muitos usuários transferem o mesmo significado do produto anterior para o lançamento do equipamento novo como uma extensão de produto. Como o iPhone foi um sucesso de vendas e aceitação, os consumidores possuíam expectativas de terem o mesmo benefício como se este novo produto, iPad, fosse um iPhone grande. A tela maior teve o efeito sobre ponto de vista do consumidor de potencializar os aplicativos como jogos, navegação de internet e vídeos.

A orientação direta é devida ao iPhone, mesmo que o consumidor possua outros produtos Apple, ele não é devoto pela marca mas, pelo produto anterior, que é um reflexo do iPad (imagem melhorada do produto). "... Quando eu penso em todos os excelentes aplicativos do iPhone logo eu penso o que alguns dos desenvolvedores podem fazer com um processador rápido e uma tela enorme... Eu estou animado!." P. 9, Linha 1-3.

“Estou loucamente empolgada com o iPad. Eu não sei porquê. Alguns atribuem isso só pela obtenção de um eletrônico novo... Eu não sou um usuário do Mac OS. Mas eu amo o iPhone. Vou verificar a força do IPAD contra o HP Slate” P.12, Linha 36-40.

A experiência anterior com o uso do iPhone facilitou a justificativa da compra do iPad, pois o produto foi identificando com baixa complexidade para estes usuários (Mukherjee e Hoyer, 2001). É interessante notar que os devotos da marca buscaram defender o produto por ter experimentado um novo dispositivo semelhante da mesma

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marca. Então, se eles amam o iPhone, imediatamente vão se tornar amantes do iPad, pois as descrições apresentam que o iPad é uma melhoria do iPhone contendo mais espaço e facilidade na utilização.

3.2.3 Orientados pela Substituição (Produto Intermediário) Os pré-usuários do iPad justificam a compra do dispositivo por ser um produto intermediário. O eletrônico, assim, substituiria o Macbook Pro e o iPhone. Muitos usuários utilizam o laptop mais para usar a internet e para filmes e música. Então, a justificativa deste tipo de consumidor é usar a internet de forma versátil e com maior facilidade.

“Eu tenho meu Macbook Pro comigo na maioria das vezes e meu iPhone comigo o tempo todo. No entanto, posso me ver ficando com o MBP menos comigo e com meu iPad com mais freqüência ”. P. 6 Linha 22-25.

“Eu vou estar usando o IPad para substituir algumas das funções dos meus outros dispositivos.: Viagens - Eu costumava usar um netbook quando viajava, mas descobri não dava para ao mesmo tempo usá-lo em casa. o IPAD servirá para as duas coisas. E-Books – O iPad pode assumir o trabalho do Kindle e é muito mais é muito sedutor. Eu, provavelmente, estarei satisfeito com a experiência da leitura no IPAD. Jogos - Eu tenho um iPod Touch (estará à venda em breve ) E amo muito os jogos na App Store. ... Eu acho que do IPAD tem a oportunidade de ampliar a experiência do toque do jogo.” P 9. Linha 14-23 “Para passar fotos, eu teria que ficar tentando compartilhá-las em um laptop (muito volumosos) ou em um iPhone (muito pequeno).”P. 9 Linha 10-12.

Os futuros usuários predizem que usarão mais o dispositivo integrado (Nunes, 2000), pois irão usá-lo para todas suas necessidades e se vêem utilizando menos os outros produtos da Apple, uma vez que o consumidor acredita que o iPad pode substituir o uso do Macbook Pro e o iPhone. Porém deve-se repensar se isto é apenas uma justificativa empregada pelo consumidor que aspira obter este produto e buscar explicações criteriosas.

3.2.4 Orientados pela Ansiedade (Usuários do Último Lançamento – Latest users) Consumidores sentem-se excitados e transferem grandes expectativas com relação a um lançamento de um produto quando este se apresenta com alta tecnologia. Os usuários justificam suas compras por achar que irão utilizar mais o novo produto. Os consumidores justificam a vontade de possuir um dispositivo integrado por acreditarem no aumento do uso do serviço após sua compra (Arruda Filho, 2008). Neste determinado grupo, identificado pela pesquisa, estes consumidores possuem um alto grau de ansiedade, pelo fato de não existir nenhum equipamento parecido no mercado, apresentando assim problemas de ansiedade social (Reid e Reid, 2007) que precisam ser justificados pela possessão do produto (Belk, 1988).

“Eu li a palavra “reservado” na página de reserva e o cara me disse: “Sim, mas isso é o que diz, mas confia em mim, você não vai querer esperar na fila e, se depois eles acabam, mesmo que você tenha reservado um”Ele disse que isso aconteceu quando "reservaram" online os iPhones, não lhes garantiram e ele se esgotou.” P. 3 Linha 38-43

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"Eu fiz o pedido tanto pela entrega e também a reserva na loja, vou cancelar um dos dois quando eu decidir o que fazer, pelo menos desta maneira eu estou coberto!" P. 6 Linha 19-21 “Eu não sei quanto a vocês, mas eu me sinto como um garotinho dois meses antes do Natal, esperando e esperando para os presentes. Apple poderia ao menos dar-nos uma atualização do iPhone para acalmar-nos até o final de março...Eu estou morrendo aqui.” P. 14 Linha 24-28.

As pessoas desesperadas pelo uso justificam que não podem mais esperar pela obtenção do dispositivo. Elas atribuem um significado que vai além da própria razão, são alienadas, se sentem mal por não conseguirem esperar dias e alguns discutem até pelas horas de entrega no dia do lançamento. Antes do lançamento do iPad, os consumidores estavam extremamente angustiados e ansiosos. As suas falas se comparam a crianças à espera do presente de Natal, colocando-se muito sensíveis e na expectativa de algum resultado rápido. Estes consumidores reservaram de dois ou mais tipos de entrega do produto para ter antes de todo mundo o iPad e até compraram os cases (porta iPad) antes de adquirir o produto.

Tais consumidores se dizem doentes pela espera do iPad, sendo que para estes futuros usuários, obter o produto primeiro é mais importante do que usá-lo, por uma questão de posse e extensão do seu eu (Mittal, 2006), visto que as pessoas se realizam a partir do que criam em torno de um produto idealizado. O consumo se torna uma fonte de comunicação do consumidor e as suas identidades são construídas a partir da relação de expressar-se através do consumo (Belk, 1988).

3.3. Consumidores inovadores (não devotos) As inovações de produtos atraem grandes expectativas para os consumidores (Mukherjree e Hoyer, 2001). Os consumidores inovadores (lastest users) representam um grupo de referência aos demais consumidores de alta tecnologia, pois possuem bastante conhecimento sobre o produto – compilam o maior número de informações sobre a categoria dos dispositivos – e uma experiência anterior importante para o posicionamento do produto, no qual o sucesso desta experiência garante a aceitação ou fracasso com o público em geral (Knotts et al., 2009).

Os consumidores de produtos inovadores são usuários de dispositivos recémlançados no mercado. A preferência real é a tecnologia, com a qual os inovadores influenciam a opinião pública e a mídia sobre o potencial dos dispositivos lançados (Anthony e Sienfield, 2007). Eles informam as falhas e as inovações dos aparelhos dando continuidade ou não para estes no mercado.

“Eu não tenho problema em vender o meu iPad wi-fi e em um mês obter um 3G. Eu vou esperar até eu ver como vai ser o HP Slater. Eu apenas tenho que ter o iPad no momento do lançamento. É uma doença”. P. 13, Linha 21-25.

“Eu tenho uma suspeita de que estou apostando pela versão Wi-Fi somente no lançamento e depois devolvê-lo no final do período de retorno (e pagar a taxa) apenas para ter um, antes de sair a versão 3G .Que triste é isso?”. P. 14, Linha 10-15.

Muitos consumidores aprovam o lançamento de novos produtos all-in-one no mercado high tech, pois acreditam que quanto maior o número de integrações de produtos em um único dispositivo, maior será a utilizarão deste produto (Nunes et al., 2000; Harris e

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Blair, 2006). Diante dessa interpretação, a inovação corresponde a um fator que influencia na decisão de compra do tablet.

Consumidores tecnológicos de lançamento têm uma fascinação por adquirir o produto em primeira mão. Eles não se importam por adquirir o iPad versão wi-fi e depois trocá-lo em 30 dias pelo lançamento do iPad 3G. Os futuros usuários justificam que, não é pelo simples fato de ser um eletrônico novo, mas o de achar que o iPad tem algo a mais (Mittal, 2006).

Os usuários que estão dispostos a comprar o iPad desejam um produto com grandes números de integrações, possuindo o que há de melhor no mercado, ou seja, algo inovador, reconhecido como um produto realmente novo (Hoeffler, 2003). Parte dos usuários já possui experiência anterior, sendo os primeiros a obter os produtos inovadores, procurando algo que difere de todos os dispositivos tecnológicos já usados, e possuindo como justificativa o fato de possuir algo tão tecnológico utilitário (Okada, 2005; Arruda Filho et. al., 2008).

Os inovadores foram divididos em duas (2) subcategorizações vistas na sequência.

3.3.1 Orientados pelo e-reader (Extensão de produto) Este grupo identificado busca um novo produto no mercado da alta tecnologia, que detém a ferramenta e-reader, que é uma nova plataforma de leitura cuja função é especialmente voltada para a leitura de e-books. Os consumidores da extensão do produto procuram os benefícios desta nova categoria de produto. Eles acompanham a concorrência das várias marcas de e-readers disponíveis no mercado, identificando a melhor oportunidade.

“Se eu pegar um, e eu estou inclinado para ele (mesmo com suas limitações), eu especialmente usarei como um eReader. Eu tive um Kindle quando surgiu pela primeira vez e eu realmente gosto dele. Ser capaz de ler a minha biblioteca acumulada de livros Kindle no IPad é uma grande vantagem. Além disso, o meu K1 não suporta PDFs, eu estou achando que o iPAD vai fazer isso muito bem... Eu não tenho nenhum produto Apple...”P. 10, Linha 21-27 “Eu vou usar o meu inicialmente como um leitor eletrônico e também vou usar o Safari. Tenho acompanhado de perto a competição de leitores virtuais e falo com aqueles que têm o Kindle, o leitor eletrônico Sony e outros e nada se destacam como o iPad. O iWork pode ser de bom uso, mas vou ter que ver.” P. 6, Linha 22-27.

O consumidor busca a inovação do e-reader em um produto com multifuncionalidades (Gill, 2008). Este produto apresenta muitas integrações, como a internet (sarafi) e aplicativo iWork do iPad, pois possui funções similares às do Microsoft Office, que são conhecidos por outros grupos de consumidores, que não sejam os acólitos da Apple ( Belk e Tumbat, 2005).

3.3.2 Orientados pela Tecnologia Os usuários chamados geeks, comunidade nerd que adora produtos high tech (Machrone, 1993), buscam os últimos lançamentos para preencher o que lhe falta e neste caso, estes estão em busca de continuidade de produtos diferenciados, para compor seu pool de inovações (Hoeffler, 2003).

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"Provavelmente vou esperar um ano para comprar o IPAD. Eu quero ver o que os desenvolvedores farão para a nova plataforma. Eu não estava super impressionado com o iPhone quando ele estreou. Os aplicativos da Apple não eram convincentes... Acho que os desenvolvedores trarão alguns conceitos inovadores para o IPAD... Em um ano do IPAD vai ser muito mais atraente.” P.9 Linha 14-23.

“O IPAD é interessante para mim porque eu posso ser capaz de manipulá-lo em uma interface muito melhor, e ver todo o texto...O IPAD é aparentemente o tamanho certo.

Eu desejo a versão 3G, porque eu preciso de acesso em locais que não são pontos quentes.

Um dos grandes vícios da minha vida é a tecnologia. Cada coisa nova que eu gosto que chego a me perder no teclado do computador.” P.16 Linha 27-32.

Uma parcela dos consumidores de alta tecnologia possui incertezas quanto à compra do produto quando a categoria deste não é familiar (Harris e Blair, 2006). Por mais que o iPad use softwares do iPhone, os produtos não se equivalem. A expectativa para estes usuários é o melhor desenvolvimento da tecnologia, visto que o interesse é focado no uso do produto em vez da posse (Nunes, 2000).

Estes consumidores que estão em processo de adoção de tecnologia, querem o mais avançado, mesmo que tenham que esperar suas atualizações (Moreau et al., 2001).

Apostam que os desenvolvedores possam potencializar o dispositivo, estando sempre atualizados sobre o que ocorre no mercado.

4. DISCUSSÃO E CONCLUSÃO O artigo baseou-se no uso de um produto recém-lançado pela empresa Apple, conhecido como iPad, que possui uma impressionante quantidade de integrações de hardwares e convergência de serviços e softwares muito similares ao dispositivo iPhone. O iPad têm acesso à Internet, jogos, Youtube, mapas das cidades com restaurantes e pontos importantes, e-mail, bolsa de valores e produtos de cotação (os mais variados aplicativos), música no formato MP3, vídeos e leitor virtual. Os downloads imediatos de filmes e músicas dos sites dos fabricantes, levam os consumidores a comprar diretamente pelo iPad, novos serviços e muitas outras ações existentes no dispositivo são pontos fundamentais para a preferência além do sistema operacional ser de fácil utilização.

O produto iPad tem o diferencial diretamente ligado ao tamanho e comodidade que este proporcionará ao consumidor. Este foi o primeiro dispositivo no formato tablet o que se torna muito atraente do ponto de vista do usuário. Para o ano de 2010, estava previsto o lançamento de vários tablets com a plataforma de multifuncionalidades competindo com iPad, porém a Apple se antecipou e foi a primeira a lançar este dispositivo diferenciado.

Os usuários do último lançamento estavam com alta expectativa vinda pelo alto nível tecnológico proposto em comparação com outros tablets que ainda seriam lançados no mercado, como a HP Slate. A marca atingiu um nível tão forte de devoção, que os consumidores apostam que as características existentes no iPad sejam superiores às características similares dos outros tablets que se propõem para o mercado.

O próprio iPhone, que obteve grande aceitação no mercado, facilitou a justificativa de uso do novo produto, identificando-se com baixa complexidade para estes usuários (Mukherjee e Hoyer, 2001). Os devotos à marca buscaram defender o produto pelos

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atributos favoráveis que este possuía e pela experiência anterior com a marca e produto semelhante. Alguns devotos “viciados” nos produtos Apple justificavam que o iPad poderia ter sido melhor elaborado, porém, para eles, o que realmente importava era cada um dos fatores hedônicos positivos do produto.

Por mais que existissem diferentes tipos de consumidores do iPad, com relação à quantidade de integrações, estas aumentavam diretamente a quantidade de consumidores do dispositivo, então, para cada desejo individualizado, existe uma característica realizando o serviço de forma convergente no tablet. A grande inovação do ponto de vista de um produto altamente integrado é agradar ao máximo de usuários possíveis. É interessante ressaltar que os produtos altamente tecnológicos integrados tendem a aumentar o leque de consumidores e mercado para o produto, principalmente pela influência hedônica nas características das integrações, fazendo com que consumidores utilitários e hedônicos tivessem o mesmo produto que os satisfizessem.

Com isto,o produto integrado se configura com grande potencial de mercado, tornando cada item integrado correspondente à satisfação esperada pelos vários grupos sociais. A proposição de moda com beleza, design e fatores de diferenciação são também pontos extremamente fortes na decisão do produto.

As empresas responsáveis por desenvolvimento de novos produtos (NPD) tecnológicos podem se basear em características hedônicas como um fator determinante para a criação e extensão de novas tecnologias, elaborando um planejamento de marketing para esta implementação (Danaher et al., 2001). Porém, não se deve esquecer que, um produto high tech, para ter força no mercado, precisa possuir um nível alto de integrações utilitárias, respectivamente.

O tipo de pesquisa possui como limitações o fato das perguntas não terem sido feitas no site. Apenas foram selecionadas discussões, que tendessem a apresentar os fatores discutidos e avaliados. Pode-se, no entanto, em uma pesquisa mais aprofundada, inscreverse em algum destes fóruns, para assim, colocar outras discussões em jogo e avaliar de forma participativa, focalizando no que se deseja avaliar ou aprofundar.

Novas propostas utilizando pesquisas quantitativas ou qualitativas podem ser realizadas com produtos tecnológicos, podendo avaliar o fator hedônico/social existente nos diferentes produtos e divulgar ao mercado os seus novos modos de utilização, pois com a acelerada movimentação e atualização tecnológica atual, consumidores estão cada vez mais aptos a buscarem novos produtos que tragam prazer e divertimento para manterem seus estilos de vida.

Finalizando, tanto os consumidores utilitários como os hedônicos desejaram o produto antes de seu lançamento e durante o seu uso, pois, de alguma forma, o produto levou o sentimento de prazer aos seus usuários, relacionado diretamente com o fator social de ser visto e possuir diferentemente de outros o produto. O fator social está então descrito neste artigo como um ponto fundamental na decisão dado o posicionamento do consumidor, e o fator hedônico coloca-se como o diferenciador do produto, que eleva o benefício deste e automaticamente aumenta o valor para os usuários, focando suas percepções nos desejos e justificando estes, dado os sentimentos de culpa pela preferência multifuncional.

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JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol.9, No.1, Jan/Apr, 2012, pp. 189 ISSN online: 1807-1775

Congresso / Conference

9th CONTECSI International Conference on Information Systems and Technology Management May 30th to June 1st, 2012 USP/São Paulo/SP FEA USP São Paulo, Brazil The 9th International Conference on Technology and Information Systems Management CONTECSI is an event focusing Technology and Information Systems Management under a multidisciplinary view. CONTECSI aims at putting together academics and professionals involved in IT and Systems management for a state-of-the-art discussion. International researchers are expected to contribute for the integration between the academic and the professional communities.

The Conference welcomes papers submission for presentation and panel discussions. Major topics on interest include, but are not limited to: Information Society, Open Systems, Systems Interfacing and Integration, Wireless Computing, Entrepreneurship in IT and IS, Accounting Information Systems, E-Commerce / E-Business, Software Engineering, ERP Systems, Financial Management in Information Systems, IT Strategic Management, etc. Submit online a full paper and abstract in English, Spanish or Portuguese by January, 15th 2012. All papers will be subject to a blind review process and full papers will be published (CD) in the Conference Proceedings.

More information: http://www.tecsi.fea.usp.br/eventos/contecsi Coordination: Prof. Edson Luiz Riccio. PhD – FEA USP and TECSI Contact: contecsi@usp.br

9º CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 30 e 31 de Maio e 01 de Junho de 2012 USP/São Paulo/SP FEA USP São Paulo, Brasil O 9º Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação CONTECSI visa reunir acadêmicos e profissionais envolvidos com a temática de gestão para discussão do Estado-da-arte deste campo. Atualmente este campo encontrase disperso em áreas específicas, carecendo de uma visão holística e integrada do assunto. O CONTECSI contará com a presença de palestrantes de renome, bem como estará aberto para a recepção de trabalhos para serem apresentados em sessões paralelas e painéis.

Assim como compareceram nos anos anteriores, são esperados personalidades, professores e pesquisadores do Brasil e do exterior, principalmente de Universidades da França, Inglaterra, Espanha, México, Portugal, Chile, Argentina, Colômbia, Uruguai, Venezuela entre outras. Os foco de interesse deste congresso inclui todas as abordagens referentes à gestão de Tecnologia e dos Sistemas de Informação nas instituições publicas e privadas e na sociedade em geral.

Data final para envio de trabalhos: 15 de Janeiro de 2012.

Mais informações no site: http://www.tecsi.fea.usp.br/eventos/contecsi Coordenação: Prof. Dr. Edson Luiz Riccio – FEA USP e TECSI Contato: contecsi@usp.br

JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação ISSN online: 1807–1775

Every four months/Quadrimestral

1) Paper Submission Guidelines Register at "Online Submissions" and submit your paper accordingly to JISTEM guidelines. a) Manuscript style Articles must be submitted in English, Spanish, Portuguese or French in MS-Word format. Authors must translate the final version of the article to English.

First page must present: title of the article, author's full name, affiliation, full address, telephone, email, fax and a brief curriculum vitae. Limit of 3 co-authors per article.

Second page must present: title of the article, abstract in the original language of the article of about 100 words, title, area and 5 key words (if accepted an abstract in English and keywords will be required), Articles must be limited to 30 pages in double-space, Arial or times new roman, 12 points; Authors must include figures and graphics in high-resolution 300 dpi (jpg or gif). They must be numbered (Arabic) and with the complete title. References to each table or figure have to be made in the text.

Authors must submit the questionnaires and research results to the editor and review purposes.

Acknowledgments to institutions regarding financial support can be included only in the final accepted version. b) Structure Style Articles should clearly present the Abstract, Introduction, Objectives, Justification, Question, literature review, research method, results, conclusion, recommendation and limitation, plus references; References are to follow the American Psychological Association (APA) guidelines. More detailed explanations and examples of these guidelines can be found at the following locations: http://www.apastyle.org/faqs.html or Publication Manual of the American Psychological Association (6th ed., 2010) American Psychological Association (APA).A list of reference must be presented in alphabetical order.

A glossary can be included in the end of the article if needed.

2) Book Review Book review should be sent by Prof. Edson Luiz Riccio at jistem@usp.br

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1) Instruções para submissão de artigo a) Quanto à Formatação Os artigos submetidos para publicação, em inglês, espanhol, português ou francês, devem ser enviados em formato MS-Word. Após aceito, os autores devem traduzir o artigo para o idioma inglês.

Na primeira página do artigo deve constar: título, subtítulo (se houver), tema, nome, instituição, departamento, endereço, telefone, fax e e-mail do autor e co-autores (máximo de 3 co-autores) e breve curriculum que indique sua formação, instituição/empresa a que pertence e sua área atual de trabalho.; Na segunda página do artigo deve constar: título, subtítulo (se houver), tema e resumo na língua original do artigo, com 100 palavras aproximadamente e 5 (cinco) palavras-chaves. Se o artigo for aceito para publicação será solicitado o envio do título, abstract e palavras-chave em inglês; Os artigos deverão ter no máximo 30 páginas em espaço duplo, fonte arial ou times new roman, tamanho 12; As figuras e gráficos devem estar em alta qualidade com resolução de 300 dpi (figuras) e extensão jpg e/ou gif no artigo. Cada ilustração deve conter numeração e legenda. Deve ser feita referência à figura ou tabela no corpo do texto.

Questionários e resultados da pesquisa devem ser enviados para a avaliação do Editor e pareceristas.

Agradecimentos a órgãos de financiamento da pesquisa devem ser incluídos apenas na versão final do artigo, após o aceite. b) Quanto à Estrutura Os artigos enviados devem conter em seus tópicos os seguintes itens: Resumo, Introdução, Objetivos, Justificativa, Problema/Questão, Revisão da Literatura, Metodologia, Resultados, Conclusão, Recomendações, Limitações e Referência Bibliográfica; As citações e referências devem seguir o estilo da APA (http://www.apastyle.org/l) As referências deverão ser apresentadas no corpo do texto, incluindo o sobrenome do autor, a data de publicação e o número de página (se for o caso), conforme normas da APA. Referências bibliográficas completas do(s) autor (es) citados deverão ser apresentadas em ordem alfabética, no final do texto, de acordo com as normas da APA. Para maiores informações: American Psychological Association (APA).

(2001). Publication Manual of the American Psychological Association (5th ed.). Washington, DC Poderá ser incluído um glossário ao final do artigo, caso o autor julgue necessário; 2) Sugestões de livros para Resenha Resenhas devem ser enviadas para o Prof. Edson Luiz Riccio pelo e-mail: jistem@usp.br

JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 190-191

www.jistem.fea.usp.br

JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol.9, No.1, Jan/Apr, 2012, pp. 03-04 ISSN online: 1807-1775

Editorial Edson Luiz Riccio Editor

É com grande satisfação que, neste primeiro número de 2012, informamos aos nossos prezados autores e leitores que a recente avaliação da Qualis Capes elevou a JISTEM para o nível B1 na área de Administração, Contabilidade e Turismo. Além dessa área, a JISTEM foi avaliada por outras sete áreas do conhecimento, o que comprova a sua interdisciplinaridade.

A JISTEM tem mantido sua evolução em qualidade e visibilidade nacional e internacional. A maior parte dos artigos de 2011 foi publicada em inglês e, com isso, a JISTEM está sendo cada vez mais acessada por pesquisadores e estudantes de diversas partes do mundo.

Aproveitamos esta oportunidade para informar que o 9th CONTECSI International Conference on Information Systems and Technology Management ocorrerá de 30 de maio a 01 de junho de 2012, na FEA USP, São Paulo, Brasil. Cerca de 230 trabalhos serão apresentados nas seguintes categorias: sessão paralela, fórum de pesquisa, comunicação de pesquisa, consórcio doutoral e, pela primeira vez, ocorrerá o Master Colloquium. Também está confirmada a vinda do Prof. Dr. Dov Te´eni, Tel Aviv University, atual presidente da AIS (Association for Information Systems). Desde o primeiro CONTECSI, temos tido a honra de receber o presidente em exercício da AIS para abrir a conferência. Os autores dos melhores trabalhos serão convidados à submetelos em “fast-track” à JISTEM como ocorre anualmente. Para mais informações consulte o site www.tecsi.fea.usp.br/eventos/contecsi. Neste CONTECSI, ocorrerá também o lançamento mundial do ICT4DEVIS – Information and Communication Technologies for Development - International School, um curso internacional para a formação de especialistas em projetos de desenvolvimento socioeconômico, desenvolvimento humano e direitos humanos.

Neste primeiro número de 2012, publicamos artigos de alto nível sobre Egovernment, System Requirements Analysis, Management Model, Open Journal Open System (OJS), Knowledge Management, Intelligent Tutoring System, IT Outsourcing, Supply Chain Management e Introdução de Novos Produtos de Alta Tecnologia.

Além de autores do Canadá e Dubai, apresentamos também autores brasileiros.

Convidamos a todos a acessarem estes artigos e lhes desejamos uma excelente leitura.

ISSN online: 1807-1775 Publicado por/Published by: TECSI FEA USP – 2012

4

Editorial, Vol. 09 No. 01, 2012

Editorial Edson Luiz Riccio Editor

It is with great satisfaction that, in this first issue of 2012, we inform to our esteemed authors and readers that the recent release of the Brazilian Academic Journals Board (Qualis Capes) raised JISTEM to the level B1 (Area of Business). In addition to this the area, JISTEM was also classified by other seven fields of knowledge, which indicates JISTEM´s strong interdisciplinary.

JISTEM has achieved its aim for high quality and visibility in both national and international sectors. Most articles of the 2011 volume were published in English which makes JISTEM to be increasingly widely accessed by researchers and students from various parts of the world.

We take this opportunity to inform that the 9th CONTECSI - International Conference on Information Systems and Technology Management - will occur from May 30th to June 1st, 2012 in FEA USP, São Paulo, Brazil. Nearly 230 papers will be presented in the following categories: parallel session, Forum search, communication research, Doctoral Consortium, and for the first time, the Master Colloquium. It is also confirmed the participation of Prof. Dr. Dov Te´eni, Tel Aviv University, current President of the Association for Information Systems (AIS). Since the first CONTECSI we have had the honor to receive the President of AIS to open the Conference. The authors of the best papers will be invited to submit them by "fast-track" to JISTEM as it happens annually.

For more information access the website www.tecsi.fea.usp.br/eventos/contecsi. Another remarkable event will also occur during the 9th CONTECSI. It is the world launch of the ICT4DEVIS – Information and Communication Technologies for Development-International School, an international course for the training of specialists in socio-economic development projects, human development and human rights.

In this first issue of 2012, JISTEM features high-level articles on E-government, System Requirements Analysis, Management Model, Open Journal System (OJS), Open Knowledge Management, Intelligent Tutoring System, IT Outsourcing, Supply Chain Management and Introduction of new high-tech products.

In addition to authors from Canada and Dubai, we also present Brazilian authors.

We invite everyone to access these articles and wish you all a great reading.

JISTEM, Brazil Vol.9, No. 1, Jan/Apr. 2012, pp. 03-04

www.jistem.fea.usp.br