Contents
Volume 25, Number 2, April, 2020
Articles
Estimating the underestimation profile of health service need s through telephone counseling
centers ........................................................................................................................................... 6
Djalma Silva Guimarães Junior, Fagner José Coutinho de Melo, Carlos Henrique Michels de
Sant’anna, Eduardo José Oenning Soares, Gileno Ferraz Júnior, Denise Dumke de Medeiros
Factors that Determine the Purchase of Portable Electronic Devices ....................................... 19
Antonio Carlos Guidi, Nadia Kassouf Pizzinatto, Maria Imaculada Montebelo
The interconnection between entrepreneurship and dynamic capabilities: a bibliometric
analysis.. ...................................................................................................................................... 34
Giovani Cruzara, Vivien Mariane Massaneiro Kaniak, Itamir Caciatori Junior, Rivanda Meira
Teixeira
Cluster Life Cycle: A Study in the Vale dos Sinos Footwear Cluster…..................................... 45
Vitor Schmidt, Aurora Carneiro Zen, Bruno Anicet Bittencourt, Raquel Engelman Machado
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1
Estimating the underestimation profile of health
service need s through telephone counseling centers
Djalma Silva Guimarães Junior1, Fagner José Coutinho de Melo2, Carlos Henrique
345
Michels de Sant’anna, Eduardo José Oenning Soares, Gileno Ferraz Júnior, Denise
Dumke de Medeiros6
1
Universidade de Pernambuco - dsgjunior@gmail.com
2
Universidade de Pernambuco - fagnercoutinhomelo@gmail.com
3
Universidade de Pernambuco - carloshmsantanna@gmail.com
4
Universidade do Estado do Mato Grosso - eduardo.oenning@unemat.br
5
Universidade de Pernambuco - planasp.ufpe@gmail.com
6
Universidade de Pernambuco - medeirosdd@gmail.com
KEYWORDS BSTRACT
A
Underestimation, Health The public and private health systems around the world face an expansion of services in parallel
demand, Health system, with the demand for improved quality and cost savings. Quality and efficiency of such systems
Logistic regression, are affected by the underestimation of the needs for patient care, compromising the clinical
Statistics. condition of the patient and system costs. The objective of this study is to identify the factors
t determine the underestimation of the need for health services in Brazil. The survey used
tha
data collected from medical advice call center reports, totaling 19.690 observations; 2.166 of these
have involved underestimation of needs, wherein the complexity of the intention of the patient
is smaller than the recommendation proposed by the physician, which is divided into very or less
critical. Through a logistic regression model, it was possible to estimate the critical factors in
determining the underestimation in very and less critical needs for health services in Brazil. The
closeness to the weekend increases the probability of a very critical underestimation. Daytime
hours feature a very critical underestimation tendency. In terms of age groups, we can see a
probability of very critical underestimation in younger individuals. This study showed that the
user profile that was most likely to have very critical underestimation of the demand for health
care was that of the underage individual who calls on weekends and in the early hours of the day.
PALAVRAS-CHAVE RESUMO
Subestimação; Demanda Os sistemas de saúde público e privado em todo o mundo enfrentam uma expansão dos serviços
em paralelo com a demanda por melhor qualidade e redução de custos. A qualidade e eficiência
de saúde, Regressão
de tais sistemas são afetadas pela subestimação das necessidades de atendimento ao paciente,
logística, Estatísticas.
comprometendo a condição clínica do paciente e os custos do sistema. O objetivo deste estudo
é identificar os fatores que determinam a subestimação da necessidade de serviços de saúde no
Received 20.12.2019 Brasil. A pesquisa utilizou dados coletados em relatórios de call-center de aconselhamento
Reviewed 22.06.2019 médico, totalizando 19.690 observações; 2.166 destes envolveram subestimação das necessidades,
Accepted 25.06.2019 em que a complexidade da intenção do paciente é menor do que a recomendação proposta pelo
édico, que se divide em muito ou menos crítica. Por meio de um modelo de regressão logística,
ISSN 1980-4431 mfoi possível estimar os fatores críticos na determinação da subestimação nas necessidades muito
Double blind review e menos críticas de serviços de saúde no Brasil. A proximidade do fim de semana aumenta a
probabilidade de uma subestimação muito crítica. O horário diurno apresenta uma tendência de
subestimação muito crítica. Em termos de faixas etárias, podemos ver uma probabilidade de
subestimação muito crítica nos indivíduos mais jovens. Este estudo mostrou que o perfil do
usuário com maior probabilidade de subestimação muito crítica da demanda por assistência à
saúde foi o do menor que liga nos finais de semana e nas primeiras horas do dia.
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 7
and McGinnis (2007) and Njeru et al. (2017) the
potential of e-health technologies to educate
1 Introduction patients and promote management improvements
is unlimited. Health system operators can make use
The Brazilian health system is formed by of certain information and counselling practices to
public and private systems. The private system is reduce the flow of patients, redirecting them to real
represented by health insurance plans and self-demand. Patients intending to enter emergency
employed professionals, whereas the public system care can be redirected to general practitioners’
is represented by the Unified Health System (SUS offices for less complex procedures or can make an
- Sistema Único de Saúde). The latter safeguards appointment through medical advice systems via
all Brazilians universal access to health care. call centers.
However, such a configuration of the Brazilian Given that the potential demand of the health
health system does not ensure user satisfaction with system is not usually the adequate demand of the
the services provided. According to the Federal real needs of the patient, the medical advice
Council of Medicine (2014), 93% of Brazilian platform enables the user to obtain information that
respondents consider the public and private health provides him or her with an appropriate use of the
systems in Brazil to be poor or very poor. available health service. For instance, the user can
An increasingly used resource in this contact this service both in non-emergency and
segment to improve the service level is the emergency situations by dialing a few digits and,
adoption of Information and Communication thus, receiving medical information, consultation,
Technologies (ICT), which enable health care treatment, screening, diagnosis, forwarding and
providers to offer patients health care (Westbrook advice by registered doctors (Ivatury, 2009; Lv et
et al., 2009; Niv et al., 2018). The main al., 2016).
stakeholders of the e-healthcare industry are Turner et al. (2002) present a study on the
employers, patients, providers and health insurance implementation of medical advice centers in
plans (Mukherjee and McGinnis, 2007; Kim et al., Australia and shows that the advice proposed by
2019). Mobile health or m-health is a subset of e-the center diverged from the original intention of
healthcare, comprising several health services that the patient. The advice center recommended
may be provided by the mobile phone and other patients to seek an appointment instead of hospital
communication devices (Weinstein et al., 2013; emergency units; the percentage was 54% for
Castillo et al., 2017). adults and 78% for children. In a study on the
The scope of e-health studies has expanded inadequate use of emergency services in England,
in recent years. Some research initiatives are: the McHale et al. (2013) show that a higher percentage
impact of medical advice phone centers on of inadequate care occurs with children in early
reducing costs of the system (Guimarães et al., childhood. In Brazil, Carret et al. (2009) and
2015; McFarland et al., 2017) highlights the main Guimarães et al. (2015) presented similar results,
uses of m-health on smartphones and tablets, wherein the proportion of inadequate demand for
through developing numerous applications health services in young people and children is
(Handel, 2011) and presents a system that evaluates significantly higher.
the priority of a call to a nursing station based on With respect to gender, (Guimarães et al.,
the patient’s context and information, including the 2015; McHale et al., 2013) note that males are more
recommendation for the most appropriate care likely to use health services inappropriately;
(Ongenae et al., 2014) and another group of however, previous studies emphasize otherwise
researchers evaluated the quality, as perceived by (Sarver et al., 2002; Carret et al., 2007). Another
users, and with service efficiency (Mechael, 2009; factor considered in the literature that can interfere
Akter et al., 2010; Babich et al., 2016). with the patient’s initial demand is the time of day
The increased use of phones, especially the in which the service is demanded. Oktay et al.
more recent use of mobile phones and (2003), Bianco et al. (2003), Carret et al. (2007),
smartphones, has introduced an important frontier McHale et al. (2013) and Guimarães et al. (2015)
for e-health, which is the possibility of doctor-found that incorrect service occurred with lower
patient interaction by distance communication intensity in the early daytime hours.
(Albritton et al., 2018). According to Mukherjee Improved health education equips patients
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 8
with the ability to take better preventive measures women than in men.
that will save patients money as well as decrease In this context, the objective of this article is
health system costs (Mukherjee and McGinnis, to identify factors that determine the
2007; Bunik et al., 2007; Babich et al., 2016) underestimation of the need for health services
identified the cost saving potential in making use from data from calls to a medical advice call center.
of medical advice centers. Kile et al. (2008) The impact that underestimation may have on the
recognizes that the use of a phone can potentially patient’s health and on the health system costs is
reduce emergency care services by diverting also highlighted. The use of telephone counseling
unnecessary emergency visits, leading to a centers can help minimize underestimation of
potential reduction in service costs, health system needs. Articles about underestimation are rarely
costs and overcrowding of hospital emergency found. This study may contribute important
rooms. information for patients and public and private
However, when the patient underestimates health system managers.
his actual health condition, whereby, the patient
stays home or seeks an appointment at a clinic 2 Theoretical Framework
instead of going to the hospital, the consequences
can be more serious. Jat et al. (2015) found that the In this section, the topics will be presented:
underestimation of the severity of health conditions Information technology in the health service and
in pregnant patients led to a delay in seeking proper Previous studies about E-healthcare.
assistance and contributed to maternal deaths. One
of the reasons for possible underestimation is that 2.1 Information technology in the health service
the advice offered by the call center is not always
accurately interpreted by the patient (Leclerc et al., The use of information technology in the area
2003; Njeru et al., 2017; Morony et al., 2018). This of health services has been progressing
quality of service was studied by Mayo (1999) and considerably in recent years and helping to create
corroborated by Chang et al. (2002). One of the digital solutions that help improve people's quality
points raised was the importance of the time spent of life and even save lives (Mesko and Győrffy,
in the conversation with the patient in improving 2019). Due to this digital advance, in the 2000s the
the understanding, and nursing advice performed concept of E-healthcare appeared in the world (Wu
well in interventions with patients. et al., 2006; Sharma et al., 2019). According to the
The underestimation of service priorities was Healthcare Information and Management Systems
inserted as a performance indicator to detect life Society (HIMSS, 2019) E-healthcare can be
risk situations by the emergency medical conceptualized as a healthcare service system that
dispatchers in the study by Lindström et al. (2011). uses information and communication technologies
On the other hand, Laugsand et al. (2010) in their to provide healthcare services to its users.
study on the underestimation by the health care The provision of the service through this type
provider with patients who have symptoms of of health service system ranges from the
cancer, show that this action causes undertreatment communication between partners of the same
of the symptoms and had less favorable results. network of hospitals to the care of patients in the
Guise et al. (2014) and Keijser et al. (2016) most diverse and remote locations.
note that the patient’s safety risks associated with In this sense, health information technology
telephone assistance, including the is advancing rapidly, bringing improvements to
underestimation of the knowledge required to use professionals, patients and hospital organizations
the technology (Hopp et al., 2006) demonstrates (Gams et al., 2019). Transforming power tools such
that hiding emotions at work is linked to human as Artificial Intelligence, Internet of Things (IoT),
health, while Seok et al. (2014) studied the robotics, Big Data, etc., are already part of the daily
relationship between emotion at work and the use routine of health professionals and directly impact
of medical services (consultations, hospitals and the patient's life (Xiang et al., 2020 ).
pharmaceutical drugs) in Korea. They concluded Thus, among the main benefits of using
that those who underestimate their emotions, or information technology in the health area, we
who hide them, are more inclined to use the highlight: 1- Automation of medicine, 2-
medical services, which may be more harmful in Improvement in patient care, 3- More accurate
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 9
diagnoses through high-definition exams and studied, the authors concluded that the use of
telemedicine, 4- Safety and accuracy in surgical telemedicine significantly reduces the costs of
procedures, 5- Reduction of diagnostic errors and breast cancer tracking and major cardiovascular
surgical procedures and 6- Use of decision support diseases. Therefore, the use of telemedicine has
systems for assertive management (Hamza et al., proven to be a promising approach to provide
2019; Majumdar et al., 2020). various health services, especially for patients who
In view of the characteristics and tools used are in the most remote and difficult to reach places.
in E-healthcare, in the next section some previous Calvillo-Arbizu et al. (2019), developed an e-
Studies on E-Healthcare will be presented. Health system for renal patients, adopting design
practices focused on the user, usability and
2.2 Previous studies about E-healthcare accessibility standards. As a result of this process,
a multifaceted system was created and meeting the
Due to the importance of the problematic of needs of each user. Thus, the improvement of the
E-healthcare system, many authors have been proposed system is directly linked to the use by
studying this theme. different types of users.
Sarabdeen and Moonesar (2018), although García et al. (2019) developed a cell phone
considering that E-healthcare is a system that application for cerebrovascular accident detection
lowers health costs and improves the quality of that uses the cloud to store and analyze data, in
service provision, affirms that among the problems order to provide statistics for public institutions. To
of this type of system, the protection of data validate the applicability of the application, 90 tests
privacy of patients may be a barrier to the non-were performed checking the three most important
materialization of provision of service. In this way, symptoms of strokes: smile detection, voice
the authors sought to investigate the privacy recognition to determine if a sentence is correctly
protection laws of available E-healthcare data and repeated and whether arms can be lifted. The
the perception of people who use E-healthcare research results showed that the application
services. Thus, the authors used descriptive developed, through the test, determines whether or
statistics and correlational analysis in a sample of not users have symptoms of cerebrovascular
46 health professionals and 187 health service accident.
users in Dubai. As a conclusion, the authors found Gams et al. (2019) presented a vision of the
that the available health data protection laws are progress of environmental intelligence and
limited in scope and that users felt they could rely artificial intelligence to aid medical diagnosis. In
on E-healthcare service systems. line with the studies by Gams et al. (2019), Xiang
Giansanti and Maccioni (2019) proposed a et al. (2020) sought to investigate the perceptions,
new model of respiratory rehabilitation in the field receptivity and demands related to the
of Telemedicine and e-Health, in order to reduce implementation of artificial intelligence in the
the impact of respiratory disease on the quality of medical field. For this purpose, an online
life of the patients. As it was an initial research, the questionnaire was applied to 2780 participants and
practical results of the integrated model of then the linear regression model was used. Among
Telemedicine and e-Health were not evidenced. the results, the authors found a high level of
The proposed model was built in an environment receptivity (approximately 100%), a high level of
for domiciliary rehabilitation based on lung demands (approximately 80%) and a high level of
incentive gamified devices integrated into the e-expectations (100%) regarding the implementation
Healthcare system. of artificial intelligence in the medical field.
Marino et al. (2019), sought to evaluate the It is observed a sequence of current research
implementation of screening programs and early which prove the importance of the study of
detection in the prevention of breast cancer and information technology and communication in the
cardiovascular diseases with the establishment of a service sector, as well as the dissemination of the
remote diagnosis through Telemedicine in a sample concept and practice of E-healthcare. Despite the
composed of 321 women submitted to breast fact that the topic is quite discussed in the literature,
cancer screening and 109 individuals undergoing few studies are aimed at identifying the factors that
cardiovascular screening, such study was determine the underestimation of the need for
developed in southern Italy. For the sample health services. Thus, this work aims to study this
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 10
theme. underestimating of the need for health
services.
3 Methodology
H2: Gender affect the probability of
The data used in the survey are gathered from underestimating of the need for health
information contained in service reports from services.
medical advice centers. The reports have the
following information: the patient's age, sex,
original intention in seeking care, recommendation H3: The patient's original intent for health
by the medical advice center, and day and time of care affect the probability of underestimating
service. The information was collected of the need for health services.
continuously over a period of two months. Service H4: The medical advice affect the probability
users are customers of health plans or the public of underestimating of the need for health
health system of municipalities contracting the services.
service. It should be noted that, in the case of under H5: The Part of the day affect the probability
18-year-old users, the advice service was of underestimating of the need for health
conducted by a responsible adult. This information services.
was supplied by a medical advice center based in
Recife, Brazil. This company provides medical H6: Day affect the probability of
advice service by telephone to users from different underestimating of the need for health
states and regions of Brazil. services.
The telemedicine service in Brazil is
incipient, but it has been growing considerably. The data used in the survey comprise all
According to Globo (2020), one of the largest incoming calls in the period of two months, totaling
online appointment scheduling platforms, it scored 19.690 observations; 2.166 are situations of
an average of 1,200 appointments per day. Thus, underestimation of needs wherein the complexity
taking into account the growing demand for online of the patient's intention is smaller than the
consultations, the pandemic by COVID-19 and recommendation proposed by the physician.
some characteristic aspects such as safety in the Bogdan et al. (2004) and Guimarães et al.
movement of patients and doctors, agility and (2015) assumed that the recommendation provided
optimization of time, availability of access, the by a medical advice center is divided into the
search for humanization in care and the rapid and following three categories: home care (low
effective diagnosis of these online consultations, intensity of care); visit to the clinic (intermediate
the theme becomes highly relevant and therefore intensity, not including emergency actions, such as
should be studied. visiting a general practitioner and scheduling an
The variables extracted from this set of data appointment); and hospital visit (high intensity of
are as follows: Age (continuous), Gender (1 = care, including emergency actions and going to
female, 2 = male), The patient's original intent for hospitals).
health care (1 = home care, 2 = visit to the clinic, The underestimation of the need for health
and 3 = hospital visit), The medical advice (1= care is divided into very critical underestimation
home care, 2 = visit to the clinic, and 3 = hospital when the patient should go to a hospital emergency,
visit), The part of the day (00:01 - 06:00; 06:01 - but prefers to stay at home (home care) or schedule
12:00; 12:01 - 18:00; and 18:01 - 24:00), and Day an appointment (visit to a clinic) that then severely
(Monday, Tuesday, Wednesday, Thursday, Friday, compromises the user's health due to failure to
Saturday, and Sunday) of the phone call. provide the adequate level of service, and less
From the variables highlighted above, the six critical underestimation when the user should
hypotheses were developed to identify factors that schedule an appointment (visit to a clinic), but
determine the underestimation of the need for prefers to stay at home (home care), compromising
individual’s health because of the delay in
health services from data from calls to a medical the
advice call center. diagnosing and treating an illness. The latter may
be considered less serious than the former. Figure
H1: Age affect the probability of 1 illustrates this situation.
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 11
Supplementary Health Studies (IESS, 2016), while
there has been a drop in the tax collection,
Figure 1. Flow chart of representation of very critical and less compromising the transfer of funds to the public
critical situation health system. Therefore, it is fundamental for
managers of public and private health systems to
minimize costs and increase their efficiency. The
literature shows that providing information to the
patient reduces costs (Bunik et al., 2007; Kile et al.,
2008; Guimarães et al., 2015).
In this way, nineteen thousand observations
were collected and 2.166 showed situations of
underestimation. Table 1 shows information from
the sample, demographic characteristics and
circumstances of the service of 2.166 telephone
Source: The authors (2020) calls that were collected by a medical advice
system when the patient initially underestimated
All statistical analyses were performed using the need for health services. It also shows the
XLSTAT software (Addinsoft, 2016). First, an distribution of the very critical and less critical
analysis was performed using chi-squared testing requests according to the aforementioned
in both underestimation groups. Next, a binary characteristics. Overall, 63.7% (n = 1.380) of the
logistic regression model was used in which the calls were considered very critical and 36.3% (n =
underestimated level was assumed as the 786) were considered less critical requests.
dependent variable and the other requests were Medical advice call center users are predominantly
explanatory variables. In the regression model women (64.6%), and the predominant age group is
(Equation 1), the Stepwise Forward method was those patients above 59 years of age (28.9%),
used. At each iteration, this inserts the significant which is followed by those between zero and
variables of the model. In the end, the only fifteen years of age (19.6%). In the latter case, the
parameters that remained were those that have a requests for health care are made by the parents or
consistent relationship with the dependent variable. guardians. Regarding the most frequent time for
The study was submitted to the Committee of using the service, the period from 6:00 a.m. to 6:00
Ethics in Research of the University of the State of p.m., accounting for 69.7%, is the busiest. For the
Mato Grosso. The information used in the survey day of the week, patients called more often on
was obtained from a secondary dataset provided by Tuesdays (17.5%), Wednesdays (16.9%) and
the medical advice center, which has a service Fridays (16.1%).
protocol that originates data without identifying the According to Table 1, with respect to gender,
user (patient). The rapport of the Committee of an equal proportionality of data for both very
Ethics is contained in Letter No. 008/2014- critical underestimation and for less critical
restimation (χ 2 = 0.137; p-value = 0.711) can
REC/UNEMAT. unde
be observed. However, with respect to age, we see
4 Results and Discussion a significantly higher proportion of patients with a
very critical underestimation attitude in the group
om zero to fifteen years old (χ 2 = 25.527; p-value
In recent years, Brazil has faced a fr
recessionary economic environment that is <0.001) and a higher proportion of patients with a
associated with high inflation. This combination less critical underestimation attitude in the group
om 25 to 34 (χ 2 = 7.807; p-value = 0.005). The
has reduced the purchasing power of households fr
with χ 2 = 2.669 and p-value =
and, consequently, the income available for health other groups (16-24
with χ2 = 0.618 and p-value = 0.432;
expenses, as evidenced by the number of Brazilians 0.102; 35-44
with χ2 = 3.058 and p-value = 0.080; and
who have quit the private health system. In 2015, 45-59
r 60 years old with χ2 = 0.706 and p-value =
766,000 Brazilians abandoned their health ove
insurance plans, a decrease of 1.5% over the 0401) do not present statistically significant
previous year, according to the Institute of differences in their proportions. In relation to the
time that patients call, those with a very critical
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 12
underestimation attitude have a higher proportion the literature when the variable of interest has only
in the 00:01 - 06:00 time slot (χ 2 = 28.208; p-value two results and is influenced by independent
<0.001) and in the 06:01 – 12:00 time slot (χ 2 = variables. The choice of the binary logistic
6.507; p-value = 0.011). However, we see a higher regression model in this study was based on similar
proportion of patients who have a less critical work by McHale et al. (2013) and Guimarães et al.
underestimation attitude in the 12:01 - 18:00 time (2015). The proposed model is presented in
slot (χ 2 = 17.484; p-value <0.001). Equation 1.
Table 1. Sample profile and demographic distribution of very 𝑂
𝐸𝑣
𝑔𝑖 𝑖 = 𝑙 ()=
critical and less critical requests according to explanatory 𝐿
− 𝑂 𝐸𝑣
variables. 1
DemogrFrequency (%)
0 + 𝛽1XDay + 𝛽2 XPart of day+ 𝛽3 XAge
p-Y= 𝛽
aphic Less Very χ²
distribuGeneral critical critical value
tion (n=2.166)
(n=786) (n=1,380)
Onde:
Gender
𝑔𝑖 𝑖 = Y = is the dependent variable related to
Females 64.6 65.1a 64.3a 0.137 0.711 𝐿
Males 35.4 34.9a 35.7a 0.137 0.711 probability of underestimating of the need for
Age health services
0-18 19.6 13.9a 22.8b 25.527 <0.001
0: is the intercept of regression
18-24 9.1 10.4a 8.3a 2.669 0.102 𝛽
1: is the slope related to the independent variable
25-34 17.8 20.9b 16.1a 7.807 0.005 𝛽
35-44 10.8 11.5a 10.4a 0.618 0.432 XDay
45-59 13.8 15.5a 12.8a 3.058 0.080 𝛽
2: is the slope related to the independent variable
60 plus 28.9 27.9a 29.6a 0.706 0.401
XPart of day
The part of the day
3: is the slope related to the independent variable
00:01 - 𝛽
06:00 4.0 1.0a 5.7b 28.208 <0.001 XAge
06:01 -
From the result of the binary logistic
12:00 36.1 32.6a 38.0b 6.507 0.011
12:01 - regression model, the relationship between the
18:00 33.6 39.2b 30.4a 17.484 <0.001 independent variables with the probability of the
18:01 - underestimated needs of the patient is obtained. As
00:00 26.4 27.2a 25.9a 0.425 0.514
seen in Table 2, the critical variables that compose
Weekday
Monday 10.1 7.5a 11.6b 9.207 0.002 a very critical profile for the underestimation of
Tuesday 17.5 20.2b 15.9a 6.006 0.010 needs for health services are, as follows: weekdays
Wednesday 16.9 17.9a 16.4a 0.868 0.351 (OR: 1.058; 95% CI: 1009-1108), part of the day
Thursday 13.5 15.9b 12.1a 6.206 0.013
(OR: 0.803; 95% CI: .725 - 0.890), and age (OR:
Friday 16.1 19.1b 14.4a 8.058 0.005
Saturday 14.1 11.3a 15.7b 7.997 0.005 0.947; 95% CI: 0.904 - 0.993).
Sunday 11.8 8.0a 13.9b 16.770 <0.001
Regression model
Values with different letters within the same row are significantly Table 2 –
95% C.I. for
different (p≤0.05) according to the chi-square test to K proportions
VariableEXP(B)
with Marascuilo procedure and multiple comparisons. s B S.E. Wald df Sig. Exp(B)
Source: The authors (2020) Lower Upper
1.009 1.108
With respect to the distribution of weekdays, Day 0.056 .024 5.538 1 .019 1.058
there is a higher frequency of patients with a very Part of 0.725 0.890
the day -0.21 .052 17.568 1 .000 .803
critical underestimation attitude on Mondays (χ 2 =
0.904 0.993
9.207; p-value = 0.002), Saturdays (χ 2 = 7.997; p-Age -0.05 .024 5.104 1 .024 .947
value = 0.005) and Sundays (χ 2 = 16.770; p-value
Constant 1.172 .186 39.534 1 .000 3.228
<0.001). On Tuesdays, Thursdays and Fridays,
there was a higher proportion of patients with a less Source: The authors (2020)
critical underestimation attitude (χ 2 = 6.006, p-
From Table 2, it is possible to see that
value = 0.010; χ 2 = 6.206, p-value = 0.013; and χ
2 = 8.058 and p-value = 0.005, respectively). Equation 2 of the regression model occurred by:
Binary logistic regression models are used in
Y= 3.228 + 1.058 XDay + 0.803 XPart of day + 0.947
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 13
XAge underestimation attitude between genders.
In this study, the highest incidence of calls
As seen in Table 2, the closeness to the last occurs in the early hours of the day, wherein the
days of the week increases the probability of very time slot from 06:01 to 12:00 (36.1%) is the one
critical estimation by 5.8% per day; as a result, on with highest incidence, unlike what authors such as
weekends, the probability of underestimating very Bianco et al. (2003), Carret et al. (2007) e
critical situations is higher and may more severely Guimarães et al. (2015) have written in their
compromise the patient’s health. There is a higher papers, including that the quantity of mistaken calls
probability of very critical underestimation in the was lower in the early hours of the day. It is
early hours of the day, which decreases as the hours important to note that from 00:01 to 12:00, very
advance, and each period of the day has a 19.7% critical underestimation is more frequent. It is also
reduction in the probability of very critical important to highlight that the regression model
underestimation. Underage individuals tend to be reinforces this idea, showing that from the first
more likely to very critically underestimate hours of the day, for each increase of 6 hours in the
considering that, for each additional year, the slot, there is a reduction in the probability of a very
probability of very critical underestimation is critical underestimation by approximately 19.7%.
reduced by 5.3%. The closeness to the last days of the week
Hence, it can be inferred that the user’s increases the probability of very critical estimation
profile and service circumstances with higher by 5.8% per day; as a result, on weekends, the
probability of very critical underestimation of the probability of underestimating very critical
demand for health services are, as follows: situations is higher and may more severely
underage individuals on weekends and in the early compromise the patient’s health. There is a higher
hours of the day. The proposed model is probability of very critical underestimation in the
statistically significant because it rejects the null early hours of the day, which decreases as the hours
hypothesis (β0, β1, β2 and β3 = 0) in the likelihood advance, and each period of the day has a 19.7%
ratio test, according to Equation 2. Therefore, the reduction in the probability of very critical
estimated parameters are significant, which is underestimation. Underage individuals tend to be
endorsed by the low p-value. more likely to very critically underestimate
The Wald test corroborates to confirm the considering that, for each additional year, the
significance of the proposed logistic regression probability of very critical underestimation is
model. As shown in Table 2. Each estimated reduced by 5.3%.
parameter � is significantly different from zero. Several authors, such as Bianco et al. (2003),
That is, the relationship between the dependent Afilalo et al. (2004) and McHale et al. (2013)
variable and Day (H6), Part of the day (H5) and demonstrated that patients have an inadequate
Age (H1) is confirmed. demand attitude for health services, especially on
In line with the results found in this research, the the weekend. This survey shows that very critical
authors McHale et al. (2013) Carret et al. (2009) underestimation occurs on Saturdays, Sundays and
and Guimarães et al. (2015) showed that age is a Mondays. In this sense, this study explores
determining factor in the inadequate demand for something deeper than the inadequate demand and
health services such that the lower the age, the its relationship with age, the time of day or day of
higher the probability of inadequate demands. This the week, which also indicates the severity of the
study also showed that age also affects the severity inadequate underestimation and its possible effects
of the decision and that within such on patient lives.
underestimation there are different levels of health The role of underestimation of the need for
risk, because as age increases, the probability of commitment to the individual's health has been
very critical underestimation decreases, decreasing studied by Kile et al. (2008) in his article on the
by 5.3% for each additional year. contribution of underestimation for maternal death,
Another important finding is that most calls as well as by Laugsand et al. (2010) who show that
come from women, which is consistent with the results are not as beneficial regarding cancer
results of Oktay et al. (2003), Carret et al. (2007) e treatment in their study on underestimation by the
Guimarães et al. (2015). However, this study health care provider. The severity of human health
showed no statistically significant difference in the can also be associated with underestimation of
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 14
emotions at work according to Hopp et al. (2006)
and Seok et al. (2014). As a result, identifying this This study explores beyond the inadequate
patient’s profile requires increasing the probability demand, which has been, up to now, not previously
of saving lives. presented in the literature; it explores the
With such a purpose, a more thorough study possibility of deterioration in the patient’s health,
was conducted by performing a more detailed either by a wrong initial decision or because
identification of the patient who underestimates the patients do not follow the recommendations from
need to care for his own health by analysing the medical advice call centers.
gender, age, day of the week and time of his call to This survey shows that, based on the
the medical advice call center. Sixty-four percent identification of the patient's profile and
of the patients who underestimate the doctor's circumstances of the service that underestimate his
advice were identified to correspond to the very need for health services (very critical and less
critical underestimation group, increasing the critical), there is a need for the health system to
potential harm to the patient’s health. readjust its strategy with respect to monitoring the
Another factor presented in the literature that patient after the call, through educational and
compromises the clinical condition of patients is promotional campaigns, and information policies
the fact that the user may or may not follow the through contact channels with the health system
guidance provided by the service provider. Bogdan (m-health). These actions aim to increase the
et al. (2004) demonstrated that 68% of patients patient’s life expectancy, making it necessary to
disagreed with the actions originally recommended assess the ability of the attendant to use the active
by the nurses and 46% chose an action in which the call center (calling the patient) and understand the
health care was lower than what had been effort and time involved in such calls when
suggested. A different result was reported by determining whether the instructions were
Kempe et al. (2006), who conducted a study of all followed. Furthermore, the delay in providing
pediatric patients whose families had contacted the assistance can be more expensive for the health
call center after work, concluding that system.
approximately 75% of those families followed their Hence, in this context, the combination of
recommendations to stay home or go to the informational efforts and monitoring can reduce
emergency. Another notable point is the quality of the patients’ underestimation and his or her needs,
service, Chang et al. (2002) e Lindström et al. helping cover the gap between the patients’ thought
(2011) confirmed that the quality of service is an about his or her health and real conditions, avoiding
important factor for interventions to have a higher health complications from wrong decisions as well
probability of success. as reducing costs in the healthcare system.
As a result, medical advice via call centers,
besides enhancing cost reduction in assistance, can 6 Implications and Further Research
influence the well-being of the patient who
underestimates his or her need for health services The research can make a link between the
from the moment he or she follows the provided object of study, underestimation of health care
recommendations. However, the use of the needs and practical application for the benefit of
technology by the user must be studied as part of society. The understanding that weekends, in the
profile identification. Guise et al. (2014) and early hours of the day, and in groups of underage
Keijser et al. (2016) note that the risks of individuals, constitute the risk group for
underestimation are related to the knowledge underestimation of needs, provides information
required to use the technology. Tate et al. (2013) that can support the development of health service
state that the use of mobile phone messages or management policies that provide information for
specific applications on the smartphone can help publics more likely to underestimation. The
minimize underestimation. Shahrokni et al. (2015) adoption of information policies oriented by the
propose that the internet, through mobile devices results of the research tend to increase the right
for people over 65 years of age, could be used for decision making in the demand for health services,
interventions related to health. bringing social contributions - preservation and
quality of life from the adoption of health
5 Conclusion procedures, with the correct specification and at the
Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 15
right time, as well as economic - reducing health could be useful to analyze its effect along with the
care costs, late adoption of a treatment can other variables (days of the week, gender and age).
aggravate the clinical condition of the patient, a fact And finally, the causes of underestimation have
that causes a more burdensome treatment. also not been researched and identified in this
For Paese and Aguiar (2012), the formulation study.
of strategic policies in the health sector is Thus, for future work it is recommended to
composed of a set of stages, in which the expand data collection in more than one medical
formulating agent decides which parameters will counseling center in various locations including the
directly impact on the organizational management. district/region demographic variable. Another
According to Campelo, Santos and Oliveira (2017) recommendation with regard to future studies
in this process of policy formulation, the refers to the evaluation of the causes that lead
organizational manager must take into account all women to make most of the calls since the study
the essential factors related to the decision process, did not show a statistically significant difference in
as well as the profile to whom these policies are the attitude of underestimation between the
addressed. genders. Furthermore, the current format of the
Therefore, among the possible practical study does not consider what happened to the
implications of this study for health service policy-patient after the underestimation and neither the
makers through telephone counseling centers, it is reason why proximity to the weekend increases the
highlighted that the identification of the factors that probability of a very critical underestimation, this
determine the underestimation of the need for being another recommendation. At last, it is
health services can contribute to the organizational recommended to replicate this study in other
context, since it guides the organizational policy-countries to identify differences and similarities in
makers in the health service scenario, establishing the behavior of people using the m-health service.
a set of relevant factors for the elaboration and
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Revista de Negócios, v. 25, n. 2, p. 6-18, April, 2020. 1
Factors that Determine the Purchase of Portable
Electronic Devices
Antonio Carlos Guidi¹, Nadia Kassouf Pizzinatto², Maria Imaculada Montebelo³
1
Universidade Metodista de Piracicaba - antoniocarlos.guidi@gmail.com
2
Universidade Metodista de Piracicaba - nkp@nadiamarketing.com.br
3
Universidade Metodista de Piracicaba - milmonte50@gmail.com
KEYWORDS ABSTRACT
Consumer purchasing, This study establishes whether the link to a specific sector of activity influences
consumer purchasing behavior, and the factors that determine that lead them to
Industrialization,
Ornamental Stone Sector. purchase a portable electronic device. The ornamental stone industrialization sector
was selected. A statistical descriptive study was carried out with a sample of 145
consumers involved in processing in the ornamental rock sector. Descriptive statistics,
orrelation and multiple linear regression analysis were applied for data analysis. The
c
results demonstrate that consumers take into account interconnected factors, such as
brand, design and utility, when purchasing a portable electronic device, and they look
for a simultaneous application in their professional activities, with little emphasis on
new features. Thus, it is concluded that consumers are interested in products with a
proven multifunctional application. Future studies could analyze consumer behavior in
other economic sectors, as well as proceed with an comparative analysis of the results
achieved, which could contribute to improvements in organizational management for
micro and small companies in different economic segments.
PALAVRAS-CHAVE ESUMO
R
O estudo objetiva verificar se o vínculo a um setor de atividade específico influencia o
Comportamento de compras,
Industrialização, comportamento de compra do consumidor e os fatores determinantes que o levam a
Setor de Rochas Ornamentais. adquirir um dispositivo eletrônico portátil. Foi escolhido o setor de industrialização de
rochas ornamentais. Um Estudo Descritivo Estatístico foi realizado tendo como
amostra 145 consumidores envolvidos com o beneficiamento do setor de rochas
Received 20.12.2019 ornamentais. Para a análise dos dados aplicou-se a estatística descritiva, correlação e
Reviewed 22.06.2019 ise de regressão linear múltipla. Os resultados mostram que os consumidores no
anál
Accepted 25.06.2019 ento da compra do dispositivo eletrônico portátil levam em consideração fatores
mom
interconectados como marca, design e utilidade, e buscam uma aplicação simultânea
ISSN 1980-4431 entre a atividade profissional, com pouca ênfase no aspecto da novidade. Assim,
Double blind review conclui-se a existência de interesse por produtos que atestam sua multifuncionalidade.
Estudos futuros poderiam analisar o comportamento do consumidor de outros setores
econômicos, bem como proceder uma análise comparativa dos resultados, o que pode
contribuir com melhorias na gestão organizacional para as micro e pequenas empresas
de diversos segmentos
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 20
1 Introduction norms and regulations),of equal importance to the
previous items (Kuhl & Cunha, 2013), cannot be
To a large extent, unrelenting competition ignored.
has been responsible for the increasing speed in In fact, seeking to understand the
changes that have taken place both within and importance of the process of presenting new
outside of organizations (Guidi et al.,2018). In this products and services in this setting of accelerated
setting, company behavior has demonstrated a technological development, so, the search problem
significant transformation, which has resulted in could be defined as: would their purchasing
these companies giving greater emphasis to decisions for these products be influenced by their
individual values, collective competencies and professional performance?
structural reconfigurations, striving for flexibility The main objective of this study is to
and dynamism. These qualities require constant identify which requirements consumers consider
change and innovation, which are determinants in when they decide to acquire gadgets. Seeking to
organizational performance (Guidi et al., 2017a; discover the needs and reasons that lead them to
Jia & Li, 2016; Tomei & Ferrari, 2010). obtain new, technologically developed products is
Thus, radical or incremental innovation is a justified by the fact that the development of
means to temporarily achieve a competitive newand/or replacement products is fundamental
advantage, which is a condition relevant for for a company’s long-term success, guarantee
company participation in current and potential Neves & Castro (2003) and Pantano & Priporas
markets. For the client, innovation also makes a (2016). However, as the authors highlight, it is not
difference, since it creates value for personal gain, a simple process, since “the capacity for innovation
through the supply of technologically more is the differentiating factor for consumers” (p. 41).
advanced products (Feldens, Maccari, & Garcez, Therefore, researching why a client acquires a
2012; Šandová & Grabowska, 2015). However, the gadget assists with an organizational vision and
high costs generated by the lack of useful justifies obtaining the knowledge required to
information and absence of qualified labor have prospect for new portable electronic devices.
been, in Kuhl and Cunha’s (2013) opinion, the Therefore, this research is equally justified,
most common obstacles that result in companies to a large extent, by an individual’s sense of
delaying their development processes for new satisfaction with life, and as Costa & Horn (2012)
products or services. recommend, may be related not only to differences
We highlight that the marketing process, as in the objective experience but also to what a
an innovative tool, greatly assists companies in person has and their expectations. This said, the
implementing changes, product design or even reputation of products and the possibility of social
with packaging, as well as their positioning, interaction that gadgets provide, favor the
promotion and in establishing prices, with a view intensification of their assimilation. Thus, for
to providing a better response to client needs, as Crossland, Silva & Macedo (2014), electronic
well as facilitating the opening of new businesses, products, such as smartphones, tablets and e-book
or even repositioning a product in an existing readers have achieved a marked increase in sales,
market, in the eagerness to improve sales (Jia & Li, with a rapid deference to the possibility of
2016; Organisation for Economic Co-operation accessibility in recent years. In line with McHenry
and Development [OECD], 2005; Šondová & et al. (2017), the increase in assimilation is also due
Grabowska, 2015). to developments in the provider’s level of comfort
Furthermore, programming innovations is a and the possibility of an environment characterized
challenging procedure that requires study, time and by high levels of technology.
resources, as well as determination by the The relevance of this work is to verify the
managers who make decisions, with a view to influence of consumer behavior, with regards to the
overcoming the turmoil caused by these barriers. growing search for technologically developed
Among the obstacles, those which are most products. So, the search problem could be defined
prominent are of economic, organizational, as: would their purchasing decisions for these
informational and technical (qualified staff and products be influenced by their professional
technical services) origin; however, the existence performance? Thus, paraphrasing Lauterborn
of other difficulties (cooperation, consumers, (1990), Grönroos (1994, 1996), Gummesson
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 21
(2017), Payne & Frow (2017) and Rosenberg & Therefore, we highlight that an early
Czepiel (1992), improvements in making the understanding of market characteristics is part of
appropriate decisions is required to support this the informational strategy with which an
topic, which may provide an insight into what operational manager needs to operate, in order to
consumers are looking for, or need to attain. guarantee a competitive advantage over direct and
Similarly, Pantano & Priporas (2016) and indirect competitors. With this in mind, the
Eastman & Liu (2012) highlight the relevance of a organization should aim to learn about the behavior
study concentrating on improving knowledge of of current and potential clients in advance, in order
consumer behavior in this setting of an increase in to adjust in time and, therefore, have better
portable electronic products, as a promising area conditions for functionality, service, accessibility,
that lacks investigation. Consequently, for image, deadlines, price, quality and respect for
Rodriguez-Torrico, Cabezudo & San-Martin international norms (Grover & Kohli, 2012; Ravald
(2017, p.465), portable electronic devices “are & Grönroos, 1996; Zeithaml, 1988; Zeithaml &
involved in almost 70% of purchasing processes.” Zeithaml, 1984).
Thus, consumer influence in the purchasing According to Costa & Horn (2012), in
decision-making process is highlighted and, Brazil the dramatic growth of e-commerce reflects
according to Gensler, Verhoef & Bohm (2012), this the expansive reality, and the search for gadgets for
is demonstrated by the possibility of greater daily use is presented as a new frontier of
interactivity in all stages of the process, such as: consumerism (Guidi, Giuliani & Spers, 2017c).
research, purchasing and post-sales. Examining perceived quality in a direct
Following this initial chapter, we present comparison with experience, Costa & Horn (2012)
the theoretical foundations on the topic and, highlight four standards in their observations: a)
according to Knopf (2006), should be conclusive. the gap between what a person has and what this
To this end, we do not merely seek to describe a person wishes to have; b) the gap between what a
summarized list of what each researcher presents person has and what s/he thinks similar people
but, instead, focus on the body of work, seen as a have; c) the gap between what a person has and
whole; in other words, in the spirit of performing a what s/he owned in the past that was considered
literature review, to provide theoretical support. better and d) the difference between what a person
The methodology used is detailed in the third has and their expectations.
chapter and data analysis is presented in the fourth Starting with competence, represented by
chapter. The debate is brought to a close in the fifth the sum of individual know-how, a company can
chapter, putting forward the final considerations. acquire new knowledge for their products,
processes and applicability (Grönroos, 1994;
2 Theoretical Framework Guidi, Spers, & Oliveira, 2017b; Payne & Frow,
2017). With regards to knowledge, this can take
Modern consumer shave presented distinct place in three ways: a) through social networks
behavioral characteristics, e.g., greater demands, with users; b) by identifying perceived
individualism, involvement with the origins of opportunities, and c) from other companies,
products, independence in personal choices, through their capacity for design, and following-up
information and quality of the goods acquired competitor behavior through consumer behavior
(Capon & Hulbert, 2000). However, despite being (Grönroos, 1994; Payne & Frow, 2017).
vital for the growth, profitability and longevity of According to Paiva, et al. (2018) and
Brazilian companies, the development and launch Schumpeter (1961), an entrepreneur’s search for
of portable electronic products has become a reality new consumer markets leads him/her to cross new
(Zeithaml, 1988). frontiers and promote conceptual innovations, with
According to Kratzer, Meissner &Roud a view towards retaining intensive commercial
(2017) and the OECD (2005), a company is transactions. These authors see the current
characterized as groundbreaking when it presents technological growth as part of what they call
an innovative program (e.g., product, process, “creative destruction”; in other words, a process
marketing and organization) during its market that is required in order to prepare companies to
evaluation period and is achieved by anticipating replace their old products with new or
tendencies. technological more advanced ones, following the
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 22
target market trend. the consumer (Story, Boso, & Cadogan, 2015;
Generally speaking, for Assis, Serralvo & Tukker, 2015; Urdan & Osaku, 2005; Scuotto,
Prado (2015), Gomes & Pereira (2015), Manfio & 2016; 2014; Scuotto, Giudice & Carayannis, 2017).
Lacerda (2016) and Rozenfeld et al. (2006), Strategies for product reputation and
presenting products consists of a set of activities recommendations of association and content are
through which possibilities and possible perceived using the sequential analysis of actions.
technological restrictions are sought from the Along these lines, Henard& Szymanski (2001)
desire for consumption, to achieve ideal present what they consider to be predictions of
specifications. However, we highlight that the performance that would lead to success on the
conceptualization of new products has basic launch of a new product: a) marketing proficiency;
differences but they all converge towards the b) a proficient launch; c) market orientation; d)
definition established by the Oslo Manual, which proficiency in strategic planning activities for
considers products, based on three attributes: a) products; e) meeting consumer needs; f) marketing
really new products; in other words those that do orientation; g) dedicated R&D resources; h)
not yet exist in the market; b) products launched to technological innovation of the product; i)
meet client demands, and c) products created to technological proficiency: applied human
replace existing ones and do not meet client resources, and j) market orientation: proficiency in
demands (OECD, 2005). strategic planning activities for products.
For Peres, Muller & Mahajan (2010) and Thus, the observation that the importance
Saeidi, et al. (2015), the main factor for the growth of success factors usually declines over time and
of new products is the heterogeneity of consumers, requires new theoretical approaches, in order to
and not interaction between them. According to better capture the nature of new product
their approach, the social system is heterogeneous development (NPD), is unmistakable. To this end,
in innovation, sensitivity and price requirements. it may be inferred that the potential to create
Despite this, the market volume dynamic is competitive advantages by understanding NPD
determined by product distribution facing a fall in factors of success is reduced when knowledge
prices (Scuotto, Giudice & Carayannis, 2017). becomes more widespread among managers. On
In relation to the factors for success or the other hand, consumer behavior has other
failure of many companies’ products, various variables; in other words, a search for a previously
definitions can be used, which may lead to different recognized problem and also purchasing actions
results (Guidi et al., 2017b). For a wide range of have developed with individual impulses
organizations, the measure of success is the volume (Evanschitzky, et al., 2012; Costa & Horn, 2012;
of sales achieved while, for others, it is the profit Rodriguez-Torrico, Cabezudo & San-Martin,
obtained. There are also those who consider 2017).
success as a way of improving their market image.
The determinants of the success or failure of the 3 Methodology
same product are different in each company
(Cordova, Dolci, & Gianfrate, 2015; Crosetto & With the aim of achieving the goals
Regner, 2014; Mattar, 1982; Ramoglou & Tsang, proposed for this research, the methodological
2016; Scuotto, Giudice & Carayannis, 2017). investigation strategy observed was a deductive,
Therefore, the market presents a positive quantitative and positivist study, with a cross
tendency in relation to the search for something section, since the data had been collected in a single
new, in terms of innovation, or even products with event and summarized statistically. Thus, we
on-board technology systems1, for the development organized this article using hypothetic-deductive
of new products. The economic advantage logic (Hair, et al., 2007; Levine, et al., 2008).
generated by the success of a new product We highlight that an adapted, structured
produces a significant relation, by altering questionnaire was used, taking the foundations
characteristics of company behavior in relation to proposed by Gade (1998), Davenport & Prusak
1
On-board technology systems are related to the use of
hardware (electronic) and software (instructions),
incorporated into a device with a pre-defined objective.
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 23
(1998), Santini, et al., (2019), Van Roy & Zaman this area. Therefore, we define the classification of
(2019) and Cromwell et al., (2020) as the basis, the sampling techniques as non- probabilistic and
which discuss the fact of motivation originating in selected for convenience, since this technique uses
the individual through instinct, impulses or needs; random selection, the researcher`s criterion, and
in other words, they seek to store the data on availability of the sample unit (Malhotra, 2012;
technology systems, located in various Creswell, 2014).
departments, which central information systems Since the researchers were not present on
departments manage, to improve responses to application of the questionnaire, it was made up of
requests for organizational marketing management closed questions, which are easy to apply and
.From another perspective, observing the analyze, accompanied by clear and specific
foundations proposed by Lee, Kim & Choi (2019), instructions (Creswell, 2014). Since the
Grewal, et al., (2019), Muhammad, Dey & characteristics of the population were inferred from
Weerakkoky (2018), Ahmad, et al., (2019) and a sample, an error factor was introduced to the
Camurça (2008), who highlight the presence of process, with regards to the real difference between
psychological factors, which are also determinants the sample and the population (Hair et al., 2007;
for the consumer in this process, identified in the Levine et al., 1998; Levine et al., 2008).The data
following way: for pleasure, profit, self-esteem, was collected during the period between December
social approval, and to avert loss or pain. Thus, 31, 2013 and June 10, 2014.
among the internal and external factors, we Before the instrument was applied, it was
established the questioned criteria for this research duly validated using Cronbach’s Alpha, to discover
that led a consumer to acquire a specific product, if the construct scales correctly represented the
thereby improving the understanding of the power respective concepts. We measured all the variables
of the need for satisfaction and the background to in Likert or semantic differential scales, with five,
purchasing decisions. mutually exclusive, ordinal points.
When gathering the data, there was neither We used the multiple regression analysis
persuasion nor personal insistence, in relation to technique, which is made up of a combination of
the respondents during application of the independent variables, in order to better understand
questionnaire. From the structured questionnaire a the variable dependent, from an analysis of the
total of 185 respondents replied by the end of the results attained. We performed the premises of
established timeframe. From this total, at the end homoscedasticity (Breusch-Pagan), the absence of
of the specified period, only 145 questionnaires multicollinearity (FIV), serial autocorrelation
were considered valid, therefore forming the final (Durbin-Whatson), and normality of the residuals
sample, henceforth called the “sample”. This result (Kolmogorov-Smirnov) (Hair et al., 2007; Levine
demonstrates a very low number of non-valid et al., 1998; Levine et al., 2008).
responses. To continue, we adopted the multivariate
We opted to use primary, instead of approach, to analyze the structures in the internal
secondary data, to undertake this research. The relations between the variables, favoring use of the
target population was specifically made up of exploratory factor analysis (EFA) technique, which
consumers who had acquired portable electronic was proceeded by the principal component analysis
devices in the last 24 months, on account of the method, use of Varimax orthogonal rotation and
considerable increase in sales in recent years. The Kaiser normalization, in order to provide the
above-mentioned sample was made up of variables, observed from the created factors. We
employees at micro and small companies, who also undertook the following procedures during
work in the ornamental stone processing sector in this phase of analysis: analysis of internal
the southeast region of Brazil. Thus, the sample consistency reliability by calculating the
unit of this research is made up of “elements of the Cronbach’s Alpha coefficient; Bartlett’s test of
population who will be submitted to the sampling” sphericity, significant to the level of 5%, and the
(Malhotra, 2012, p.272); in other words, Kaiser-Meyer-Olkin – KMO test. Similarly, we
collaborators at micro and small companies who also observed the cluster analysis and
are involved in the ornamental stone processing multidimensional scaling. The level of significance
sector in the southeast region of Brazil, since this used in all the analyses was 5% (Creswell, 2010;
region has the largest technological development in Hair et al., 2005; Levine, et al., 2008; Stevenson,
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 24
1986).We performed all the statistical procedures Source: Prepared by the authors.
using SPSS 22 software.
4 Analysis The coefficient of variation (CV) presents a
better sense of data dispersion. Therefore, it is a
With regards to sample characterization, it measure that associates the standard deviation with
was made up of both male (63%) and female (37%) the average; in other words, it provides the
respondents, with an age variation of between 25 variation of the data obtained in relation to the
and 55. The vast majority of the respondents had an average. In this case, the higher this coefficient, the
average income of between seven and ten more heterogeneous the data obtained (Creswell,
minimum salaries per month. They were all 2014; Hair et al., 2007). Thus, data variability is
identified as being regularly employed, as better described through CV. With regards to the
participants in a formal activity, and small business percentage of data variability analyzed, the Status
owners, operating in the ornamental stone (X10) variable has 53.38%, Professional Activity
processing sector in the state of Espírito Santo. (X11) 33.42%, Exclusivity (X13) 46.49% and New
Their main activities were not identifiable. Features (X14) 40.82%. Based on this data, the
In relation to the descriptive statistics standard deviation for these variables has a
(Table 1), we noted that, on average, the consumers relatively high value and indicates the dispersion of
represented in the sample are indifferent to the the sample data, i.e., how much they differ from the
importance of the New Features(X14) variable average(Hair et al., 2007). It was also confirmed
when purchasing their gadgets, since the average is that the standard deviation of the sample presents
very close to 3. The Professional Activity (X11) high values. For the four variables analyzed above,
variable presents an average close to 4, indicating the standard deviation varies between 1.19 and
that, on average, the sampled individuals partially 1.29, with these values being relatively high, when
agreed with the importance of its application in compared with approximate averages of 2.60 and
their professional activity, with regards to purchase 3.80 respectively.
and use. Following the same line of interpretation, The positive correlations, as per Table 2,
the Status (X10) variable average was 2.3103, and indicate that when one variable increases, the other
this demonstrates that the sampled individuals also rises. In a negative correlation, the increase in
partially disagreed with the importance of status at the value of a variable is associated to a reduction
the time of acquisition. For the Exclusivity (X13) in the value of another. This statistical analysis only
variable, the average of 2.5586 indicates that the evaluates linear associations, excluding any other
individuals in the sample position themselves format. They may vary between -1 and 1, with the
between partially disagree and being indifferent, in closest to 1 in module, the stronger the correlation,
relation to the importance of exclusivity. and the closer to zero, the weaker the correlation,
thereby indicating that a variable is not very
linearly associated with the other (Creswell, 2014;
Table 1: Descriptive Statistics Hair et al., 2007).
Variable n Mean Std.
Deviation The New Features(X14) variable only
X1 = Brand Reliability 145 4.0966 1.0496 presents significant correlations with the Price
X2 = Product Design 145 3.9241 0.9866 (X4), Advertising (X6), Family/Friends (X7), Self-
X3 = On-Board Technology 145 4.4414 0.6548
esteem (X8), Status (X10) and Off-The-Shelf
X4 = Price 145 3.4621 1.1961
X5 = Practical Use 145 4.3034 0.8844 (X12) variables, and application in Professional
X6 = Advertising 145 2.7379 1.1181 activity (X11). They are all positive and, between
X7 = Family/Friends 145 2.4621 1.2528 them, those that display a lower coefficient are
X8 = Self-Esteem 145 2.2276 1.2458
X9 = Cost-Benefit 145 3.8069 1.0158 Price (X4) and Off-The-Shelf (X12). Although the
X10 = Status 145 2.3103 1.2333 Professional Activity (X11) variable does not have
X11 = Professional Activity 145 3.8414 1.2838 a significant correlation with the New
X12 = Off-The-Shelf 145 2.9448 1.2178 Features(X14) variable, as highlighted in Table 2.
X13 = Exclusivity 145 2.5586 1.1895
X14 = New Features 145 3.0069 1.2275
Note: Generated by the Statistical Package for
Social Sciences (SPSS) statistical software.
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 25
Table 2: Correlation of variables matrix
Correlation
A X1 = Brand 1.0000
reliability
B X2 = 0.3089 1.0000
Design
C X3 = On-Board 0.3821 0.2457 1,0000
Technology
D X4 = -0.1796 -0.0289 -0.0405 1.0000
Price
E X5 = 0.1103 0.0743 0.3547 0.0438 1,000
Practical Use
F X6 = 0.1164 0.2525 0.1591 0.0704 0.1933 1.0000
Advertising
G X7 = -0.0394 -0.0501 0.0713 0.2782 0.1546 0.4638 1.0000
Family/Friends
H X8 = Self--0.1444 -0.1215 -0.0133 0.1526 0.1134 0.3821 0.5728 1.0000
Esteem
I X9 = 0.0567 0.2139 0.0768 0.3540 0.2357 0.0652 0.0433 0.0295 1.0000
Cost-Benefit
J X10 = -0.0609 0.0024 0.0356 0.1092 0.0850 0.3565 0.4728 0.5548 -0.0405 1.0000
Status
X11 =
K Professional 0.3206 0.0946 0.1582 0.0164 0.1895 0.1111 -0.0275 -0.0511 0.2479 -0.0652 1.0000
Activity
X12 =
L Off-The-Shelf 0.0477 0.2161 0.0656 0.2894 0.1639 0.1984 0.2398 0.1411 0.3899 0.1502 0.3364 1.0000
M X13 = 0.0121 0.1488 0.0290 0.2029 0.1678 0.2936 0.3754 0.4432 0.0841 0.3165 0.0766 0.4433 1.0000
Exclusivity
N X14 = -0.0868 0.0750 0.0048 0.1681 0.1580 0.1936 0.2688 0.3577 -0.0323 0.4022 -0.1623 0.1954 0.4206 1.0000
New Features
Note: Generated by the Statistical Package for Social Sciences (SPSS) statistical software.
Source: Prepared by the authors
. Smirnov adherence test states that the hypothesis of
adherence to normal distribution can be accepted.
Multiple linear regression, as per Table 3, There is an absence of serial autocorrelation, since
explains the New Features(X14) variable through the Durbin-Watson test value was 2.2 (Hair et al.,
the Exclusivity (X13), Status(X10) and 2007; Levine et al., 2008).
Professional Activity (X11) variables. Table 3 Observing the levels of significance, we
indicates that the R² for the model is 0.286. This noted that all of the model variables are significant,
means that the percentage of 28.6% variability of where, with each 1 point increase on the Status
the New Features(X14) variable is explained by the variable, there is an average increase in the New
Exclusivity (X13), Status (X10) and Professional Features variable of 0.36 points. Therefore, we
Activity (X11) variables; or rather, it means that the highlight that there is a positive correlation; in
28.60% variation of the return (dependent variable) other words, the increase in the Status variable
may be explained by three independent variables influences an increase in the New Features
(Hair et al., 2007). variable. Similarly, we noted that with each 1 point
From the ANOVA F-test, we observed that increase on the Professional Activity variable,
the model presented is significant (p=0.19). We there is an average increase in the New Features
highlight the inexistence of multicollinearity, since variable of 0.28 points, and with each 1 point
the Variance Inflation Factor (VIF) values were increase in the Exclusivity variable, there is an
less than 5 (Hair et al., 2007; Levine et al., 2008). average reduction in the New Features variable of
Through the Variance Inflation Factor (VIF) values 0.16 points. Therefore, the null hypothesis that
presented, as per Table 3, the inexistence of there is no relation between the variables (Table 3)
multicollinearity (Wooldridge, 2007) can be can be rejected.
assumed. The homoscedasticity test states that the
homoscedasticity hypothesis can be accepted and
the randomness test states that the randomness
hypothesis can be accepted. The Kolmogorov-
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 26
Table 3: Association of the New Features variable with Status, Professional Activity and
Exclusivity
95% confidence
Variable dependent – Standard interval for B
New Features B error t p value* Lower Upper VIF
limit limit
Status 0.355 0.078 4.566 < 0.001 0.202 0.059 1.123
Professional Activity 0.281 0.075 3.744 < 0.001 0.133 0.429 1.121
Exclusivity -0.069 -2.376 0.019 -0.298 -0.027 1.015
0.163
F = 5.645
p value (F) = 0.019
Durbin-Watson = 2.218
R² = 28.60%
B - Coefficient; t – Test statistic; *. Multiple linear regression; VIF – Variance inflation factor;
statistically significant if p<0.050.
Source: Prepared by the authors.
confirmed; in other words, the accumulated
Exploratory factor analysis (EFA) is a variance percentage explained by the factors was
multivariate technique (Table3) that approaches higher than 50%, which is the minimum accepted,
the problem of analyzing a structure of correlations according to Marôco (2010). The internal
between a high number of variables, reducing their consistency of each factor was considered
dimension in to factors. To this end, the higher the substantial; in other words, between 0.61 and 0.80.
factor loading, the higher correlation perceived For an analysis of the results and
(Hair et al., 2007). The Product Design (X2) c
lassification reliability, using the Cronbach’s α co
variable was disregarded during this process. Thus, efficient calculation, according to the limits
14 variables were reduced to 13 and then to only 4 presented in order of importance, a value above 0.5
factors. Therefore, from the 13 variables, with 145 (α
> 0.50) is considered acceptable. Thus, we
observations, 4 factors were obtained with 145 concluded that: a) component 1 ha
s α = 0.796, a
observations. We observed data reduction, with a value which is considered high; in other words,
39.282% loss in the total variance of the data there are inter-correlations among its variables in
observed in the model. the external influences component; b) component 2
According to Aranha & Zambaldi (2008) ha
s α = 0.605, a value considered moderate and,
and Bruin (2006), the initial eigenvalues are values therefore, it is also concluded that there are inter-
obtained from the covariance or correlation correlations among the variables in the
matrixes, where the aim is to obtain a set of price/delivery component, and c) the other
independent, uncorrelated vectors that explain components, 3 and 4, as presented, also
maximum data variability. Thus, they indicate the demonstrate an internal consistency.
total variance caused by each factor. Consequently, We noted
that the first factor, ‘External
the sum of all the eigenvalues is equal to the influe
nces’, principally explains the Self-Esteem,
number of variables: 13 in this case. The selection Status, Family/Friends, Exclusivity, Advertising
of 4 factors was achieved from an evaluation of the and New Features variables. The following factor,
higher eigenvalues, or those close to 1, and their c
alled ‘Delivery-Price’, principally explains the
total variability. Therefore, the external influence Cost-benefit, Price and Off-The-Shelf variables.
factor had the highest value (eigenvalue =3.346); F
actor 3, ‘Professional-Reliability’, principally
the second was the Delivery-Price factor explains the Professional Activity and Brand
(eigenvalue =2.036); the third was the Reliability v
ariables. Factor 4, ‘Brand/Use’,
Professional-Reliability factor (eigenvalue =1,528) principally explains the On-Board Technology and
and the fourth the Brand-Use factor (eigenvalue Practical Use variables. Thus, achieving the goal of
=0.993). identifying which requirements consumers
Proceeding, also in line with Aranha & consider when they decide to acquire gadgets, we
Zambaldi (2008), a variance total of 60.718% was identified, through EFA, that needs and external
influences are relevant factors. Therefore, the
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 27
external influences factor was of greater relevance; desire to acquire. Thus, external influences and the
it was also characterized by a higher number of product being Off-The-Shelf were the main
variables and was responsible for 25.74% of the elements explained by F1 and F2.
variance explained. Thus, it corresponds to a use Proceeding, the professional reliability
requirement, connected to external aspects, and, factor is responsible for 11.68% of the explained
therefore, self-esteem, status, the influence of variance and corresponds to the possibility of use
friends and relatives, the possibility of exclusive in professional activities, concomitant with the
use and the influence of advertising are elements guarantees required with product quality. And,
that, together, are put forward as the strongest for lastly, but no less importantly, the Brand-Use
decision-making on acquisition. Therefore, they factor is responsible for 7.64% of the explained
are the most sensitive elements perceived by variance, and corresponds to the obligation
consumers. perceived by consumers with use, linked to
Therefore, the Delivery-Price factor is electronic elements and instructions incorporated
responsible for 15.66% of the explained variance, into the product; in other words, with the intention
and corresponds to the cost-benefit implicit in the of considering a predefined design.
product, and Off-The-Shelf, together with the
Table 4: Factors, factor loading, Cronbach`s Alpha, Eigenvalue and % of Total Variance
Components
Factor 1 (F1) Factor 2 Factor 3 (F3) Factor 4 ronbach’s % of
Variables (F2) (F4) CEigenvalue
Alpha variance
External Off-The-Professional -Brand -
Influences Shelf Reliability Use
Self-Esteem 0.798
Status 0.759
Family/Friends 0.755 0.796 3.346 25.739
Exclusivity 0.640
Advertising 0.637
New Features 0.562
Cost-Benefit 0.764
Price 0.709 0.605 2.036 15.661
Off-The-Shelf 0.669
Professional Activity 0.770
*** 1.518 11.676
Brand Reliability 0.683
On-Board Technology 0.791
*** 0.993 7.642
Practical Use 0.779
Total - - - - - - 60.718
Extraction method: Principal component analysis.
Rotation method: Varimax with Kaiser normalization
Source: Prepared by the authors.
words, the application of cost-benefit, price and
According to Aranha & Zambaldi (2008) off-the-shelf are related to the evaluation the
and Hair et al. (2007), the X8, X10, X7, X13, X6 consumer makes of price/delivery(F2) (Table 4).
and X14 variables are correlated, since they have a In order to verify the presence of a
high communality value, or rather, application of significant correlation between the variables, we
self-esteem, status, family/friends, exclusivity, applied the Kaiser-Meyer-Olkin test and Bartlett’s
advertising and new features are related to the test of sphere city. The Kaiser-Meyer-Olkin
evaluation the consumer makes of external (KMO) test provided the result of 0.722,
influences (F1). Therefore, the X9, X4 and X12 considered satisfactory, since it is higher than the
variables, are equally correlated, since they present minimum value suggested of 0.6, as demonstrated
a high communality for these variables; in other in Table 5. Therefore, it is demonstrated that the
multivariate analysis of the data is adequate. It is
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 28
also noted that the it is an adequate sample, or there Table 6: Communalities
is a partial correlation between the variables Variable Initial Extraction
(Bruin, 2006). X1 = Brand Reliability 1.000 0.626
From the result of Bartlett’s test of sphere X3 = On-Board Technology 1.000 0.691
city, the null hypothesis should be rejected. The X4 = Price 1.000 0.594
correlation matrix is an identity matrix, where the X5 = Practical Use 1.000 0.679
variable correlates exactly with it (r=1), but does X6 = Advertising 1.000 0.506
7 = Family/Friends 1.000 0.588
not correlate with the other variables (r=0). The test X
8 = Self-Esteem 1.000 0.652
provided the p value < 0.001. (Table 5). Therefore, X
9 = Cost–Benefit 1.000 0.644
the application of factor analysis is adequate and X
X10 = Status 1.000 0.588
the factors explain the high proportion of data X11 = Professional Activity 1.000 0.684
variability (Aranha & Zambaldi, 2008; Bruin, X12 = Off-The-Shelf 1.000 0.661
2006). X13 = Exclusivity 1.000 0.512
X14 = New Features 1.000 0.469
Table 5: KMO and Bartlett's Test Extraction Method: Principal Component Analysis.
Kaiser-Meyer-Olkin measure of sampling Note: Generated using SPSS 22 statistical software.
adequacy. 0.722
Chi-square Source: Prepared by the authors.
approximation 448.166
Bartlett’s test of
sphericity gl 78
P value < 0.001
Source: Prepared by the authors. 5 Conclusion
Thus, the relevance of marketing as a tool
It is also perceived that the variables (X11) to sell the ideas that new product innovations
and (X1) have a high communality value; in other require was also analyzed, in the theoretical
foundation, which enables new studies to
words, application of ‘professional activity’ and
understand the value of this, as a way of learning,
‘reliability of a known brand’ is also strongly
related to the evaluation the consumer makes of influencing and acting, in a hyper-competitive
market
‘professional-reliability’ (F3). Proceeding, it is
confirmed that the On-Board technology (X3) and The statistical model provides an
Practical Use (X5) variables have a high approximation and, therefore, the data, while not
communality value and therefore are strongly being completely true, may be close to reality.
related to the evaluation the consumer makes of Thus, the model applied presents the relevance of
the research, based on the sample attained, and
‘brand/use’ (F4). Thus, in almost all the variables,
the communality value was higher than 0.5, and considers the coverage of its results.
only X14 obtained a lower value but was still close, In response to the research problem; in
as presented in Table 6. other words, the requirements that consumers take
To summarize, the communalities represent into consideration when they decide to purchase
the explanatory percentage that a variable obtained portable electronic devices, it was noted that, a
on the factor through factor analysis, where values priori, the choices take place, striving for a
under 0.50 should not be considered (Mâroco, simultaneous application between professional
2010). The highest communalities were observed activity and other external activities, with moderate
for the On-Board Technology (0.691), Professional a tendency towards the new feature aspect.
Activity (0.684) and Practical Use (0.679) Consequently, based on the data obtained, we can
variables, and all of the remaining ones were higher confirm that these consumers essentially take into
than 0.50. This indicates a good explanatory consideration a group of interconnected
power, with the exception of the New Features requirements at the time of the respective choice.
variable, which obtained the value of 0.469. To this end, we primarily highlight brand
However, this was not removed, since this variable conceptualization, product design and their related
is important for researchers. applications to professional activity. We noted that
the “professional activity” aspect was intrinsically
connected to other activities related to the external
Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 29
factors highlighted. We also observed the existence academic criteria, as well as an analysis of the
of a demand for products that have a proven, results achieved, which may improve
multifunctional application. organizational management for micro and small
We highlight that the results indicate that companies in the segment analyzed. In an
the external environment exercises a strong increasingly interconnected world, an
influence on the organizational environment, improvement in speed of access to information for
requiring a proactive and innovative approach. academics, as well as an analysis of the results
Thus, we note that the need to implement and use achieved could improve organizational
online strategies to obtain organizational management for micro and small companies in this
objectives, and improve the creation of value for sector, since this improvement enhances
consumers, allied to productivity, is implicit. management capacity and market communication.
In addition, the following variables were
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Revista de Negócios, v. 25, n. 2, p. 19-33, April, 2020. 1
The interconnection between
entrepreneurship and dynamic capabilities: a
bibliometric analysis
Giovani Cruzara1, Vivien Mariane Massaneiro Kaniak2, Itamir Caciatori Junior3,
Rivanda Meira Teixeira4
1
Universidade Federal do Paraná - giovani.cruzara@outlook.com
2
Universidade Federal do Paraná - vivikaniak@gmail.com
3
Universidade Federal do Paraná - itamircj@gmail.com
4
Universidade Federal do Paraná - rivandateixeira@gmail.com
KEYWORDS ABSTRACT
Entrepreneurship, Dynamic The aim of this study was to map the academic production addressing the themes
Capabilities, Bibliometric. entrepreneurship and dynamic capabilities. Through bibliometric analysis as a research
thod and using the WoS database we found 805 papers from which we present an
me
examination of citations, co-citations, most prevailing journals, and the most productive
authors displayed in form of maps produced with the assistance of VOSviewer software.
Received 27.01.2020 Between the papers detected, it was possible to find 7 bibliometric analysis that treated the
Reviewed 29.06.2020 entrepreneurship and dynamic capabilities topics together. However, a deep exam on the
Accepted 27.08.2020 seven papers demonstrated that most studies had the major focus on dynamic capabilities
only addressing entrepreneurship related either to the entrepreneur itself or to its
ISSN 1980-4431
entrepreneurial orientation. Therefore, we conclude that entrepreneurship and dynamic
Double blind review
capabilities are two fields of studies already consolidated by themselves but, in what
concerns the research of the themes combined, they still need to have their relationships
better explored. This work contributes theoretically by highlighting a relationship still
derexplored at the literature, thus encouraging future studies on the theme. The
un
ractical contribution remains in offering information that may be useful to prepare
pmanagers to a most strategic and dynamic action.
PALAVRAS-CHAVE RESUMO
Empreendedorismo, Capacidades O objetivo deste estudo foi mapear a produção acadêmica abordando os temas
dinâmicas, Bibliometria. empreendedorismo e capacidades dinâmicas. Por meio da análise bibliométrica como
método de pesquisa e usando o banco de dados WoS, encontramos 805 artigos a partir dos
ais apresentamos um exame de citações, cocitações, periódicos mais prevalentes e os
qu
ores mais produtivos exibidos na forma de mapas produzidos com o auxílio do software
autVOSviewer Entre os artigos detectados, foi possível encontrar 7 análises bibliométricas que
trataram os temas empreendedorismo e capacidades dinâmicas em conjunto. No entanto,
um exame aprofundado dos sete artigos demonstrou que a maioria dos estudos teve como
foco principal as capacidades dinâmicas, abordando apenas o empreendedorismo
relacionado ao próprio empreendedor ou à sua orientação empreendedora. Concluímos,
portanto, que empreendedorismo e capacidades dinâmicas são dois campos de estudos já
onsolidados por si próprios, mas, no que diz respeito à pesquisa dos temas combinados,
c
nda precisam ter suas relações mais bem exploradas. Este trabalho contribui
ai
teoricamente ao evidenciar uma relação ainda pouco explorada na literatura, incentivando
estudos futuros sobre o tema. A contribuição prática reside em oferecer informações que
possam ser úteis para preparar gestores para uma ação mais estratégica e dinâmica.
Revista de Negócios, v. 25, n. 2, p. 34-44, April, 2020. 35
1 Introduction theoretical approach that interconnects with the
field of entrepreneurship, mainly to the fact that
Entrepreneurship as a research field has been dynamic capabilities and the exploitation of
gaining prominence over the past years since its entrepreneurial approach are considered processes
introduction over the 80’s decade. It started to gain that involve not just the entrepreneur but the
more focus over the year of 2000, precisely when environment as well (Teece, 2016). For this reason,
the works of Shane and Venkataraman (2000) and studying the interconnection of the two concepts
Sarasvathy (2001) were published at the Academy are vital to understand an enlarge the view of how
of Management Review. While the former the creation and use of dynamic capabilities can
proposed an integrating framework for the help organizations to better perceive
entrepreneurship field, the last assumed that entrepreneurial opportunities, exploit them, and
entrepreneurship is a process that involves not just also undertake changes to implement new
the individual characteristics of the entrepreneur, reconfigurations (Zahra, Sapienza and Davidsson,
but the environmental characteristics that will also 2006; Gomes et al., 2019).
affect the outcomes of an entrepreneurial Despite of the importance of the two themes
opportunity. and the high number of bibliometric studies
At the same time another theoretical addressing the two concepts separately, the two
approach was also gaining prominence at the subjects are rarely explored together as it will be
academy over the past years, which was the demonstrated by the present study.
concept of dynamic capabilities, that emerged from Aiming to map the present scenario of the
the work of Teece, Pisano and Shuen (1997). The scientific production based on entrepreneurship
authors define the dynamic capabilities as being and the dynamic capabilities this bibliometric study
"The ability that the company has to integrate, built presents an analysis of the existent literature, listing
and reconfigure internal and external competences the main journals that published the themes
in order to address rapidly changing markets." together, the most productive authors, and the most
(Teece, Pisano and Shuen, 1997:516). The authors cited references related to both matters. Afterwards
point out that dynamic capabilities are considered clusters of keywords related to entrepreneurship
processes, which are shaped by the organization and dynamic capabilities are also examined as well
positions and its history. as other bibliometric studies that concerned the
The emergence of studies in dynamic matter.
capabilities is related to the efforts of researchers This paper contributes theoretically by
aiming to understand why some firms possess and addressing a relationship between two important
sustain competitive advantage, especially in themes and their interconnection as well as
markets of unpredictable and rapid changes provides practical contribution, once the discussion
(Peteraf, Di Stefano and Verona, 2013). In this about the relationship between dynamic
sense, seminal authors like Teece, Pisano and capabilities and entrepreneurship can be useful to
Shuen (1997) stated that the rational action of the prepare managers to a most strategic and dynamic
managers had a fundamental role in innovating, action.
which is the key challenge for organizational Apart from this introduction, this paper is
change. structured as follows: Section two encompasses a
However, it was only in 2006 that the study review of the literature that focused on the field of
of Zahra, Sapienza and Davidsson (2006) proposed entrepreneurship as well as the field of dynamic
to join the ideas of entrepreneurship and dynamic capabilities. Section three details the
capabilities. Their article suggests that methodological procedures of our study, followed
entrepreneurs have an important role as agents of by section four, where we discuss the results of the
change, but that change should also be embedded research. On section five we present the final
in organizational routines in order to achieve a considerations and on section six future research
reconfiguration of the firm’s resources. This study directions are provided.
achieved such importance that according to Mota
et al. (2017) the article is listed as one of the most 2 Literature Review
cited references at the dynamic capabilities stream.
In this sense, dynamic capabilities is a
Revista de Negócios, v. 25, n. 2, p. 34-44, April, 2020. 36
2.1 An Overview of Previous Bibliometric Vogel and Guettel, 2013; Benavides-Velasco,
Studies on the Fields Separately Quintana-García and Guzmán-Parra, 2013;
Stefano, Gambardella and Verona, 2012). In the
According to McBurney and Novak, (2002) most recent study published, Gomes et al., (2019)
bibliometrics is an approach to evaluate and it is possible to find an analysis related to the
monitor the progress of a discipline field. As the innovation ecosystem, in which, according to the
approach relies on statistical quantification of data authors, there is a research stream that draws from
to have the analysis performed, such approach can the previous business ecosystem literature. In this
only be used when a stream of research already has sense, although the study focusses neither on
some sustainable literature that would provide a dynamic capabilities nor on entrepreneurship as its
sample of statistical representation to perform the main line of inquiry it contains the concept of
study (Diodato, 1994). In this sense, both dynamic capabilities related to the business
entrepreneurship and dynamic capabilities ecosystem literature. The concept of
considered separately, are research streams that entrepreneurship is also mentioned and considered
already demonstrated such a sustainable amount of as on pf the the keywords of the paper.
literature which resulted in a number of The study of García-Líllo et al. (2017) focus
bibliometric papers published (Suominen, on the ‘born global firms’, also known as
Seppanen, and Dedehayir, 2019; Apriliyanti and ‘international new ventures’. In this sense,
Alon, 2017; Dan and Goia, 2018; Santos, Marques entrepreneurship is pointed as a field of study in
and Ferreira, 2018). which this type of organization is often explored,
Most studies concerning dynamic usually with studies addressing international
capabilities focus on the strategic management entrepreneurship. Dynamic capabilities, on the
aspects like Ferrreira et al. (2017) and Vogel and other hand, are simply pointed as being used as a
Guettel (2013), demonstrating that dynamic theoretical framework in some of the studies that
capabilities is a research stream with different the authors reviewed.
emerging perspectives such as strategic learning The study published by Mota et al. (2017)
and organizational change. In general, it can be focus specifically on the dynamic capabilities
stated that bibliometric studies that addressed the stream, aiming to map the scientific landscape from
dynamic capabilities vary within their objective, 1990 to 2015. In this sense, the authors point to an
but most of them focus on addressing aspects of increase on the number of publications over the
dynamic capabilities itself (the processes related to past few years, considering the areas of business,
these capabilities). economics and engineering the most important.
Considering the field of entrepreneurship, the The authors highlight that the resource-based view
studies range from different aspects of and the neo-Schumpeterian approaches were their
entrepreneurship. The most recent ones focused on main theoretical roots.
aspects such as regional development (Dan and In contrast Ferreira, Fernandes and Ratten
Goia, 2018), female entrepreneurship (Santos, (2016) focus on the broad area of strategic
Marques and Ferreira, 2018), social management which also includes the dynamic
entrepreneurship (Dionisio, 2019), organizational capabilities. They conclude that there is a division
failure and decline (Kucher and Feldbauer-between strategic entrepreneurship and corporate
Durstmueller, 2018), as well as ethical aspects entrepreneurship, but they do not aim to establish a
(Vallaster et al., 2019) and internationalization relation between dynamic capabilities and
(Baier-Fuentes et al., 2019). entrepreneurship.
Vogel and Güttel (2013) also investigated the
2.2 Bibliometric Studies on Dynamic field of strategic management, but the authors
Capabilities and Entrepreneurship Combined focuses specifically at the dynamic capabilities at
the strategic management field, analyzing the
Some authors addressed the topics of literature between 1994 and 2011. They highlight
dynamic capabilities and entrepreneurship as a that the dynamic capabilities is related to learning
joined issue and did conducted bibliometric studies and change capabilities, which also concerns firm
(Gomes et al., 2019; García-Lillo et al., 2017; Mota performance, aspects of organization theory, and
et al., 2017; Ferreira, Fernandes and Ratten, 2016; the strategic management of the organizations.
Revista de Negócios, v. 25, n. 2, p. 34-44, April, 2020. 37
Entrepreneurship, on the other hand, is only For the present study, a bibliometric research
slighted mentioned as the entrepreneurial behavior, method was chosen to map the academic
which, according to the authors, is a cluster that production addressing the themes entrepreneurship
shares a common overlap with other clusters (such and dynamic capabilities. The approach of the
as sensing opportunities, and absorbing study is based on statistical techniques that allows
knowledge) more specifically when it comes to a clear visualization of the scientific field as well as
ambidexterity between exploration and produce bibliometric maps (Zupic; Čater, 2015).
exploitation. Bibliometric is known as an academic stream
The sixth study, published by Benavides-that seeks to evaluate the research developed by a
Velasco, Quintana-García and Guzmán-Parra scientific community in a specific research field
(2013), deals with the research field of family (Gutiérrez-Salcedo et al., 2018). In line with that,
business, with a review of literature that ranges the cited authors point that bibliometric technics
from 1961 to 2008. In this sense, dynamic are methods that aim to measure the research
capabilities are identified in some studies of their studies using scientific publications from
sample. The authors consider it as being a suitable bibliographic databases. In this sense, the
theoretical perspective that can provide advances availability of data enhances the aggregate data
on the studies related to the family firms. analysis, which provides the possibility of idea
Entrepreneurship, on the other hand, appears with creation for the researchers.
more emphasis on their study since it directly Other authors like Osareh (1996) defends
connects with the scenario of family business. In that bibliometric methods seek the improvement of
this sense, the authors provide a list of journals that scientific documentation, information and
published more than 5 papers related to family communication through the quantitative analysis of
business, in which a number of entrepreneurship the academic work collections. The cited author
journals can be identified. Examples of them are: explains that bibliometric studies contributes to a
Entrepreneurship and Regional Development (5 better understanding of the scientific research field,
papers); Journal of Business Venturing (25 papers); analyzing it as set of social activities with the use
and Entrepreneurship Theory and Practice (55 of scientometrics techniques.
papers). Although the study does not establish a
direct relationship between dynamic capabilities Table 1. Summary of bibliometric research stages
and entrepreneurship the high number of papers Step Activities
resulted in the identification of a topic named Definition of research question;
Entrepreneurship/innovation, which encompasses Research Choice of the most suitable bibliographic
studies that address entrepreneurship aspects Design method according to the research question;
inition of keywords.
within the family business organizations. Def
Last but not least, the seventh study, Search on database;
Elaboration and compilation of files
published by Stefano, Gambardella and Verona Compilation obtained;
(2012) focus on the sources of innovation for of
organizations. The authors address specially bibliometric Filtering and exportation of bibliographic
ata
technology and market demands. The dynamic ddata using the Bibliometrix package for the
capability is mentioned since the authors identified statistics software R.
they are central to their literature review. In this Data cleaning;
Results generation in the Bibliometrix
paper, the study of Teece, Pisano and Shuen (1997) Analysis package (R);
is identified as being the most central reference to Data and graphics selection.
the sample collected. The authors also mention that Tables and graphs development with the
entrepreneurship plays a central role, even though resulting data from Bibliometrix (R);
some literature addresses innovation and Visualization Choice of the most suitable software for
e bibliometrics maps visualization.
entrepreneurship in isolation. Nevertheless th
Generation of bibliometric maps in the
dynamic capabilities and entrepreneurship are, VOSviewer;
again, explores in isolation from each other. Analysis of results considering the
Interpretation theoretical background and the previous
3 Methodology steps of research
ource: Adapted from Zupic and Čater (2015).
S
Revista de Negócios, v. 25, n. 2, p. 34-44, April, 2020. 38
The citation traceability and the collaboration software R and the bibliometrix package. At this
among researchers allow the consolidation of the stage, the researchers eliminated the
bibliographic data exploration from the scientific inconsistencies of the databases, such as blank
research, as well as the orientation of these fields, and invalid data.
researches according to the most crucial study In the visualization step, two stages were
topics (Zupic; Čater, 2015). The authors also state accomplished. In the first stage we generated and
that bibliometric studies are a complement, and not compiled the statistical data from the databases
a substitute, of the traditional academic review using the bibliometrix package (R software), were
methods, since it can provide analysis of academic we also created tables with the most cited papers,
fields by its structure, categorizing them by collaboration indicators between authors, and
countries, universities, and journals. In this sense, indications of countries and research centers
while traditional methods focus on analyzing the affiliations. On the second stage, we generatde a
subjects in a more detailed way, the bibliometric bibliometric map using the VOSviewer software.
techniques can cope with a large number of studies This software was created by Van Eck & Waltman
and generate different results representations, thus (2010) and enables the data graphic visualization
encompassing a broader level of analysis. In order based on labels, density, cluster mappings, and also
to reach that, this study followed some steps dispersion levels. Furthermore, VOSviewer is
regarding its reliability. Table 1 summarizes the useful once it considers the items distances from a
steps considered for this study. multidimensional scaling. In this sense, the more
In this sense, the present study was based on the items are quoted together, the stronger is their
Zupic and Čater (2015) five step model. The first relationship. Thus, the closer will be their position
step initiates with the following research question: on the map. It also allows one to demonstrate
What is the present scenario of the scientific graphically how many citations the items received
production based on entrepreneurship and the individually (Van Eck; Waltman, 2010).
dynamic capabilities theoretical approach? Finally, in the fifth step the analysis of the
The second step consisted of defining the results was conducted and will be presented in the
keywords related to the areas to be explored. For following chapter.
this study the keywords dynamic capabilities and
entrepreneurship were chosen. Then a search was 4 Analysis and Discussion
conducted on WOS and Scopus database in August
2020. The first analysis performed at the
The strings “dynamic capabilit*” AND bibliometric approach was to verify the
“entrepreneur*” were used at the title, abstract, concentration of articles by journals. It was
keywords and keywords-plus of the papers. The identified that 88 studies (10,4%) out of 805
types of the documents selected were “article” and documents from WoS database are from five
“review”. As a result of the search we identified different journals, as demonstrated at Table 1.
289 papers at the Scopus database, and 805 papers
at WOS database. Considering the statements of Table 1. Journals with most publications
Vieira and Gomes (2009), in which the authors
conclude that about 2/3 of published papers are Year 2016 2017 2018 2019 2020
available to be found in both databases, and also International Business 1 2 3 3 2
Review
considering that the use of VOSviewer software is Sustainability 0 1 7 8 6
only possible applying one database (Van Eck; Journal of Business
10 0 5 7 4
Waltman, 2010), we selected WoS for this study Research
regarding the major number of researches Industrial Marketing 1 3 7 6 2
provided. Management
Strategic
In the third step information such as title, Entrepreneurship 3 4 2 1 0
author, keywords, journal, year, abstract and Journal
references from the studies were gathered to Total 15 10 24 25 14
analyze the bibliographical coupling network and
the impact measurement of the articles. After that, Source: the authors (2020)
the analysis was conducted by using the statistical
Revista de Negócios, v. 25, n. 2, p. 34-44, April, 2020. 39
Based on the results, it was also identified ARMSTRONG JS, 1977, J MARKETING RES,
110
that the period between the 2017 and 2019 V14, P396.
registered an increase in the number of ZAHRA SA, 2002, ACAD MANAGE REV, V27, 107
publications. The journal that published the most P185.
urce: the authors (2020)
was the Journal of Business Research, with 26 So
articles, followed by the journal Sustainability with
22 articles. The journal in third position (Industrial In order to identify the most productive
Marketing Management), published a special issue authors of the sample we present fractional
in October/2018 about capabilities in business counting and full counting method. The difference
relationships and networks, which resulted in the between these two counts is that while the former
concentration of 7 publications at the year. splits the publication weight among the number (N)
The second analysis performed was to of authors with a fractional weight of 1/N (e.g. if a
identify the most cited references. The result study has four authors, each one receives 1/4 of the
demonstrate that the study of Teece, Pisano and publication, or 0.25 each), the latter assumes the
Shuen (1997) prevailed and was cited in 545 value of 1 for all authors of the study (Perianes-
documents. It was followed by the study of Rodriguez; Waltman and Van Eck, 2016).
Eisenhardt and Martin (2000), cited in 386 Table 3 summarizes the 10 most productive
documents. Table 2 displays the 20 most cited authors. For comparison purposes we decided to
maintain the authors counting with both full
references.
counting and fractional counting.
Table 2. Most cited references
Table 3. Most productive authors
Cited References Citations Authors-Articles
Authors Articles
TEECE DJ, 1997, STRATEGIC MANAGE J, Fract Fract
V18, P509. 545 Teece DJ 13 Teece DJ 9.167
EISENHARDT KM, 2000, STRATEGIC Zahra SA 8 Zahra SA 3.583
MANAGE J, V21, P1105 386 Mahoney JT 6 Anning 3.000
TEECE DJ, 2007, STRATEG MANAGE J, V28, Dorson T
P1319. 355 Mcgrath H 6 Arend RJ 3.000
O toole T 6 Wang Y 2.667
BARNEY J, 1991, J MANAGE, V17, P99. 347
Saarenketo S 6 Mcgrath H 2.417
ZAHRA SA, 2006, J MANAGE STUD, V43, Weerawardena J 6 O toole T 2.417
P917. 207 Wright M 6 Alonso AD 2.333
LUMPKIN GT, 1996, ACAD MANAGE REV, Agarwal R 5 Deakins D 2.250
V21, P135. 189 Blesa A 5 Foss NJ 2.250
ZOLLO M, 2002, ORGAN SCI, V13, P339. 185 Source: the authors (2020)
COHEN WM, 1990, ADMIN SCI QUART, V35,
P128 184 According to the results, Teece is the most
WINTER SG, 2003, STRATEGIC MANAGE J, productive author, on both fractional and full
V24, P99. 178 counting followed by Zahra. It is interesting to
FORNELL C, 1981, J MARKETING RES, V18,
P39. 171 point that authors like Zahra, Wright and Argawal,
PODSAKOFF PM, 2003, J APPL PSYCHOL, had studies published at a phase that was called by
Take-off
V88, P879. 159 Landström and Benner (2010) as the “
se” of entrepreneurship.
PENROSE E, 1959, THEORY GROWTH FIRM. 150 pha
WERNERFELT B, 1984, STRATEGIC This phase started during the 90s and is
MANAGE J, V5, P171. 150 known by the migration of scholars from different
HELFAT C.E., 2007, DYNAMIC sciences fields to the field of entrepreneurship, on
CAPABILITIES. 141 a
movement called “transient researchers”
MARCH JG, 1991, ORGAN SCI, V2, P71. 140
(Landström and Benner, 2010).
COVIN JG, 1989, STRATEGIC MANAGE J,
Another analysis was conducted to verify the
V10, P75. 133
NELSON R. R., 1982, EVOLUTIONARY most productive authors over time, verifying if
THEORY. 117 these 10 most productive authors were only
transient researches” or if they held a sustainable
MILLER D, 1983, MANAGE SCI, V29, P770. 115 “
production over a longer period of time. Figure 1
Revista de Negócios, v. 25, n. 2, p. 34-44, April, 2020. 40
summarizes the most productive authors with their represent a group of scholars that influenced the
respective year of publication, which demonstrates seminal works of the dynamic capability stream
that most authors held a sustained production over such as Teece, Pisano and Shuen (1997) and Teece
a long period of time. (2007) which are two of the most expressive works
of the sample. In this sense, this cluster is
Figure 1. Authors contribution over time
represented by a predominance of scholars related
to the seminal works of dynamic capabilities,
including scholars from the resource based theory,
and other seminal works of the strategic
management stream.
On the right side of the map, the green cluster
displays papers related to the entrepreneurship
field, such as Lumpkin and Dess (1996).
Nevertheless, other authors with researches that do
not directly relate to entrepreneurship can also be
identified in the cluster, such as Fornell and
Larcker (1991) and Covin and Slevin (1989). These
Source: the authors (2020) authors are related to the strategy field. These
cluster thus represents studies that are related to the
Subsequently a co-citation analysis was dynamic capabilities studies.
performed, in which the 50 most cited references of Finally, the third cluster is displayed in blue,
the sample were identified. Figure 2 presents this located at the top of the map. This group of authors
analysis, in which Teece’s work appears as a
contains studies that deals with dynamic
central reference as well. capabilities aspects, such as organizational
capabilities, born-global firms, imitability,
Figure 2. Bibliometric map of co-citations
international growth, and new ventures. This
cluster displays authors related to the aspects of
international business research and is also related
to the main cluster of dynamic capabilities.
The results displayed at figure 2 suggests that
dynamic capabilities is a stream with a large
amount of influence on the sample which can also
be observed in the authors’ contribution analysis.
Another analysis conducted was the
keyword relationship between the studies. Thus,
from the 805 studies of the sample, 1690 keywords
were identified. Figure 3 summarizes the keywords
that had 7 or more citations, which resulted in 50
keywords.
Figure 3 demonstrates three distinct clusters.
The red cluster located on the right bottom left
contains keywords more related to the field of
keyword ‘dynamic
Source: the authors (2020) dynamic capabilities once the
apabilities’ is the central keyword. This cluster
c
The co-citation analysis was categorized also contains keywords such as performance and
under three clusters with the assistance of the firm and management. These subjects are often
software VOSviewer which is based on the related to the organizational strategy aspects and
characteristics of the papers. The red cluster are directly related to the dynamic capability and
located at the left includes authors from a classical strategic management approaches.
strategy research stream, such as Nelson (1982),
Penrose (1959), and Barney (1991). Those authors
Revista de Negócios, v. 25, n. 2, p. 34-44, April, 2020. 41
Figure 3. Bibliometric map of the 50 most cited keywords entrepreneurship, once it concentrates mainly on
the person of the entrepreneur. Based on this
evidence, we argue that such approach could lead
to a constrained view of entrepreneurship.
On top of all, the analysis of the 7
bibliometric studies addressing dynamic
capabilities within the entrepreneurship field
evidenced that their content was explored in a way
that isolated the fields from each another. In this
sense we also argue that the two research fields
could have their relationships better explored and
articulated leaving space for deeper immersion. In
addition, the creation of new theoretical models
involving the issues related to dynamic capabilities
and entrepreneurship could be also prospected.
5 Conclusion and Final Considerations
Source: the authors (2020)
In contrast, the green cluster, displayed on The results of the present study demonstrated
the right side of the map, contains keywords related that despite the great number of papers dealing with
to the entrepreneurship field, with the keyword entrepreneurship and dynamic capabilities there is
entrepreneurial orientation being one of the most still a theoretical gap concerning researches that
expressive one. In this cluster, other keywords like addresses the two of the field in an integrated way.
corporate entrepreneurship and market orientation As evidenced in the findings there is some
also appear and are related to the entrepreneurship predominance of the dynamic capability over the
field. entrepreneurship field that tends to treat the
ntrepreneurship only by its entrepreneur’s feature,
Lastly, at the top of the map the blue cluster e
shows the keyword ‘competitive advantage’ as the setting aside other perspectives of this field study.
most expressive evidence. It contains studies As previously demonstrated, the few authors
addressed mainly to international ventures who intended to address both fields though
literature. bibliometric analysis did not accomplished that in
In sum, the results demonstrate that the major an interrelated way. Thereby, given the
part of the studies used in this sample are related complementary roles of dynamic capabilities and
directly to the dynamic capabilities stream. This is entrepreneurship, it is important to advance in the
evidenced by the authors contribution analysis and understandings of the topics together as well as the
also in the analysis of the maps of co-citation and theoretical and empirical level.
keywords. The findings testify that dynamic Finally, this study has some contributions
capabilities were a central point for the studies both to literature and to practicing. First by offering
analyzed. a unique bibliometric analysis that seek to
Even considering the analysis of the interconnect both the entrepreneurship and the
keywords map, in which it was possible to notice a dynamic capabilities approach, as it was evidenced
cluster that emphasizes the entrepreneurship field, in the results, is rare to be found. Second, by
most of the keywords are directly related to pointing the gaps that still remain between these
dynamic capabilities revealing the predominance two important areas of knowledge. Third by
of this field in comparison to the entrepreneurship encouraging future studies that could reach the
one. underexplored gaps among dynamic capabilities
Furthermore, it is possible to extract from the and entrepreneurship. And finally, we expect that
map of co-citation that Teece as first author (1997; the information and the discussion contained in this
2016) are the most preeminent, although, despite of study may provide managers with information that
the unquestionable importance of the author, his can lead to a most strategic and dynamic action.
approach tends to limit the analysis of
6 Implications and Further Research
Revista de Negócios, v. 25, n. 2, p. 34-44, April, 2020. 42
This research has limitations such as its Dan, M. C. & Goia, S. I. Entrepreneurship and
quantitative method, which does not contemplate a regional development. A bibliometric analysis
deep analysis of content of all the 805 articles, but (2018). In: Proceedings of the International
only on their main information. To reach a more Conference on Business Excellence. 12 (1), 276-
profound analysis we suggest that future 287.
researchers conduct a qualitative review or even a
meta-synthesis of the content. Diodato, V. (1994). Dictionary of bibliometric.
Another limitation refers to the fact that only Haworth Press: Binghamton.
one database was used for the study. For this Dionisio. M. (2019). The evolution of social
reason, relevant papers may have been missed. To entrepreneurship research: a bibliometric analysis.
overcome this limit, we suggest that future Social Entrepreneurship Journal. 15(1), 22-45.
researches deal with a combination of different
softwares that can enable the use of more than one Eisenhardt, K. M. & Martin, J. A. (2000).
database per analysis. Dynamic Capabilities: What are they? Strategic
Finally, we argue that studies involving Management Journal, 21, 1105-1121.
entrepreneurship and the dynamic capability Fereira, J. J.; Raposo, M. L.; Estevão, C.; Peris-
theoretical approach is a fertile area for both Ortiz, M.& Rueda-Armengot, C. (2017). The
theoretical and empirical studies. We are looking dynamic capabilities perspective of strategic
forward to future studies that can surpass our management: a co-citation analysis.
constraints and bring advances to this significant Scientometrics, 112(1), 529-555.
area of study. Ferreira, J. J. M. & Fernandez, C. I.; Ratten, V.
(2016). A co-citation bibliometric analysis of
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Cluster Life Cycle: A Study in the Vale dos Sinos
Footwear Cluster
Vitor Schmidt1, Aurora Carneiro Zen2, Bruno Anicet Bittencourt3, Raquel Engelman
Machado4
1
Universidade Federal do Rio Grande do Sul -vitorks1993@hotmail.com
2
Universidade Federal do Rio Grande do Sul -aurorazen@gmail.com
3
Universidade Federal do Rio Grande do Sul -brunoabittencourt@gmail.com
4
FEEVALE - raqueleng@feevale.br
KEYWORDS STRACT
AB
This paper aims at analyzing the stages of the lifecycle of clusters, based on four
Cluster, lifecycles, stages of
development, decline and dimensions: diffusion of knowledge in the cluster, competitive advantage, structure
of cluster. of cluster and policies for clusters. For that, the Footwear Cluster of Vale dos Sinos-renewal
Paranhana in Rio Grande do Sul was chosen as a study object. The results point out
hat the cluster is little collaborative and little innovative. The cluster is still
t
Received 17.05.2020 recognized as a great footwear producer, but the own identity of the people with the
Reviewed 13.07.2020 cluster is being lost. The local culture does not promote the diffusion of knowledge
Accepted 28.08.2020 due the companies are closed. This research contributes with the comprehension of
how the clusters develop, for this purpose, the flow of knowledge will have a central
ISSN 1980-4431
role in the renewal of the cluster. As a practical implication, the awareness of the
Double blind review
difficulties and the necessary mechanisms to renovate a cluster are important so that
it is possible to work on sectoral policies and of cluster. As theoretical contribution,
the study reinforces that the lack of new knowledge influences the imprisonment,
resulting from its dependent trajectory, leading it to the decline.
PALAVRAS-CHAVE RESUMO
Cluster, ciclo de vida, estágios pesquisa tem como objetivo analisar a relação entre fluxo de conhecimento, o
Esta
ock-in e o estágio do ciclo de vida de um cluster. Para tanto, o Cluster Calçadista do
de desenvolvimento, declínio e lVale dos Sinos-Paranhana no Rio Grande do Sul foi escolhido como objeto de estudo.
renovação de cluster. Os resultados apontam que o cluster é pouco colaborativo e inovativo. O cluster ainda
é reconhecido como um grande produtor de calçados, mas a própria identidade das
pessoas com o cluster está se perdendo. A cultura local não promove a difusão do
conhecimento, uma vez que as empresas são fechadas. Esta pesquisa contribui com a
compreensão de como os clusters se desenvolvem, para tanto, o fluxo de
onhecimento terá um papel central na renovação do cluster. Como implicação
c
rática, a consciência das dificuldades e dos mecanismos necessários para renovar um
p
cluster são importantes para que seja possível trabalhar as políticas setoriais e de
cluster. Como contribuição teórica, o estudo reforça que a falta de novos
conhecimentos influencia o aprisionamento, o qual é decorrente da dependência de
trajetória, levando-o ao declínio.
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 46
1Introduction will show the historical context of the footwear
cluster and the data of this research. We will
Despite globalization, many scholars argue discuss the main findings in the fifth section. In the
that the location can explain the competitive last, we present the final considerations,
advantage of firms and regions (Giuliani, 2005; limitations, and further research.
Porter, 1998). Several studies show that the
agglomeration of firms of the same sector 2 Theoretical Framework
strengthens the chances of survival and growth,
besides increasing the potential of innovation of the 2.1 Clusters
firms (Baptista, 2000; Schmitz, 1999).
The cluster may be composed of several According to Porter (1998), the clusters are
institutions, such as universities, research, and geographical concentrations of interconnected
development centers and firms, creating a complex companies and institutions of a particular field; the
system of production and innovation, which holds clusters embrace a grid of industries linked to the
several interconnections that influence themselves support institutions to improve the competitive
mutually (Menzel & Fornahl, 2010). In the past performance of the firms. The primary purpose of
decades, the studies about the clusters were limited the cluster is to offer resources for the companies,
trying the explain the main characteristics of the which they could not have access to acting in an
clusters, their operation, and main advantages, isolated form (Schmitz, 1999). The superior
giving little attention to issues related to their development of the clustered firms arises from the
emergence, development and (Harris, 2020; Trippl, reduction of transaction costs due to the presence
Grillitsch, & Isaksen, 2015). of local suppliers, sharing of infrastructure, access
The clusters are dynamic agents, having to the labor, access to information, technologies,
stages of development with their characteristics and institutions (Holm & Østergaard, 2015).
that changing over time (Crespo, 2011; Martin & The clustered firms have a lower cost to
Sunley, 2011; Menzel & Fornahl, 2010). It is identify, access, and change information (Presutti,
crucial to determine the stage of the life cycle so Boari, & Majocchi, 2013), considering that
that the decision-makers can manage the cluster diffusion of technological knowledge works better
according to the specific needs of each stage inside the geographical borders (Baptista, 2000). In
(Brenner and Schlump, 2011). It is also possible to this way, the location and the proximity are shown
investigate how knowledge flow and lock-in can as key factors for the diffusion and exploration of
influence the activity of innovation in clustered knowledge (Vicente, 2018), making the clusters to
companies. This paper explores that gap in the prove themselves as environments favorable to
literature of clusters concerning the relationship innovation (Giuliani, 2005).
between the flow of knowledge and lock-in along Although the evidence shows that the
the stages of development of clusters, especially in cluster increases the propensity and the diffusion of
the context of the industries of low technological innovations, only the argument of geographical
intensity in Latin America. approximation does not apply the acquisition of
In this context, this paper aims at analyzing new knowledge by the firms (Balland, Boschma, &
the stages of the life-cycle of clusters, based on four Frenken, 2015; Presutti et al., 2013). The
dimensions: diffusion of knowledge, competitive transference of knowledge among firms depends,
advantage, structure, and public policies. To do so, among other factors, on the absorptive capacity of
we conducted a case study of Footwear Cluster of the firms (Cohen & Levinthal, 1990), and also, on
Vale dos Sinos-Paranhana, it was one of the most the cluster strategies, corporative culture and
important of the sector in the world and has passed actions of the firms (Isaksen, 2018).
through several transformations during its Giuliani (2005) adopted the concept of
trajectory. absorptive capacity for the cluster level, showing
This paper is organized in six sections, that the absorptive capacity of the cluster is the
besides this first introductory part, being them: the capacity of the cluster to absorb, disseminate, and
theoretical part will discuss the concepts of cluster explore knowledge extra-cluster. The absorptive
and life cycle of cluster. The third section describes capacity impacts the capacity of the firm to acquire
the methodological procedures. The fourth section new knowledge and, consequently, to innovate,
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 47
which makes it a crucial factor for the growth and in case the cluster cannot break this pattern, there
development of the clusters (Crespo, Suire, & will be a decrease of its heterogeneity and,
Vicente, 2015). During the learning, the firms do consequently, reduction of innovations, leading the
not keep static; they combine the already existent cluster to decline through the process of lock-in
knowledge and the knowledge of external sources, (Grillitsch et al., 2018; Isaksen, 2018; Menzel &
adjusting their technological bases (Menzel & Fornahl, 2010).
Fornahl, 2010). Due to that movement, the The effect of lock-in is the process resulting
localized learning changes the heterogeneity of the from path dependence (Grabher, 1993; Isaksen,
cluster, and the clustered firms tend to imitate the 2018; Menzel & Fornahl, 2010; Schmidt et al.,
technological patterns of the well-succeeded firms, 2020). The lock-in is characterized by a state of
which generates behavior and technological pattern balance, in which there is a low potential for
inside the cluster (Essletzbichler & Rigby, 2007). endogenous change. Then, it's needed the action of
The common focus and the same technological some exogenous strength on the actors for the
patterns promote the learning of clustered firms inertia to be broken (Martin & Sunley, 2006). In
(Martin & Sunley, 2006). However, the decrease of this context, the actors' cluster must seek new
the heterogeneity inside the cluster may lead to a sources of knowledge outside its organization to
process of lock-in and the decline of the cluster absorb extra-cluster knowledge, not immersed
(Grabher, 1993; Harris, 2020; Schmidt, Alex, Zen, inside the dependent trajectory (Giuliani,
Bittencourt, & Belussi, 2020). In this way, the Pietrobelli, & Rabellotti, 2005; Harris, 2020;
dynamic of knowledge of cluster is related to the Trippl & Otto, 2009).
heterogeneity of knowledge and the cluster The lock-in must not be seen only as a
structure. negative influence; the growth of a regional
economy derives from a positive lock-in (Martin,
2.2 Path Dependence and lock-in effect 2010; Martin & Sunley, 2006). The cluster is
composed of several firms that, initially, present
Path dependence is a historical process in high levels of heterogeneity (Menzel & Fornahl,
which the results of a system are direct 2010). Due to that distance of knowledge, the
consequences of the own history of the system in companies have different economic performances
question (Martin & Sunley, 2006). Some key (Balland et al., 2015). Thus, as far as some firms
events in the cluster's trajectory affect its get high performance, other firms tend to copy the
constitution (Martin, 2010). These events also patterns that present better results (Maskell &
influence its historical path, routines, possibilities Malmberg, 2007). That movement makes firms
for action, and economic development (Grillitsch, increase their gains of range and efficiency, which
Asheim, & Trippl, 2018; Scherrer & Vasconcellos, creates an effect of path dependence around the
2019; Vasconcellos, Calixto, Garrido, & De Souza, dominant model (Martin & Sunley, 2006). In this
2012) permanently. However, the emphasis on way, the lock-in may be understood not only as an
specific patterns can cause the trapped in its effect responsible for the decline of the clusters
trajectory (Yang, Fu, & Li, 2017). The lock-in (Cho & Hassink, 2009) but also, it explains the
makes the developed technologies and the dynamics of the regional development. Yet, despite
organizations to be driven to determined paths, the strong appeal for the argument that clusters
even though there are more efficient alternatives decline due to the inertia promoted by the lock-in
possible (Martin & Sunley, 2006). effect, the concept also helps to explain the process
Path dependence tends to be connected to of adaptation and transformation of clusters, since
regional institutions since the process of learning new trajectories emerge from the trajectories
usually is local (Martin & Sunley, 2006). The already existing (Grillitsch et al., 2018; Isaksen,
importance of path dependence increases where 2018; Trippl & Otto, 2009).
there are conditions of growing returns due to the Based on path dependence and lock-in
adoption of a pattern, which makes the effect, the performance of clustered' firms will be
incorporated technologies and products more affected differently, according to the stage of
attractive (Menzel & Fornahl, 2010). Despite the development of the cluster (Bergman, 2008).
advantages of a dominant pattern (Crespo, 2011), Moreover, competitive advantages that guaranteed
the strength of the cluster in the past may become
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 48
Life cycle of the cluster
the main factors that lead it to the decline (Grabher, Figure 1–
1993; Martin & Sunley, 2006). This way, no
economic advantage belonging to the cluster is
permanent, which leads to treating the clusters as
heterogeneous clusters and prone to changes
(Harris, 2020; Martínez-Marín, Puello-Pereira, &
Ovallos-Gazabon, 2020).
2.3 Life cycle of clusters
The approach of the life-cycle of cluster has
been used to characterize the evolution of the Source: Menzel and Fornahl (2010), p. 218.
clusters along the time (Bergman, 2008; Harris,
2020; Martin & Sunley, 2011). Most of the Menzel and Fornahl (2010) show the
research about the life cycle of cluster involve three relation of the development of the cluster and the
or five phases of development in which the cluster absorptive capacity of the clustered firms. During
may be present (Ingstrup & Damgaard, 2013; the initial phases, the cluster shows itself disperse,
Menzel & Fornahl, 2010; Presutti et al., 2013). The with little possibilities of interaction, and the
approaches about the life cycle highlight the knowledge is diffuse. During the stage of growth,
importance of the heterogeneity of knowledge of the firms start to interact more and absorb the
the firms, the evolution of the value chain, and the knowledge from one another. In the sustainment
path dependence of the industrial regions (Trippl et phase, dense knowledge networks arise intra- and
al., 2015). This new approach focuses on matters extra-cluster, the knowledge starts being widely
related to the actors, the networks, and the widespread, emerging the possibility of a lock-in
institutions. These dynamics are strongly different effect. In the decline phase, there is a weakening of
among the stages of the life cycle and affect the networks due to the exit of many firms.
transmission from one stage to another (Fornahl,
Hassink, & Menzel, 2015). The clusters aren't 2.4 Development of the model of analysis of the
isolated actors, pre-defined, and pre-established, as cluster life cycle
guaranteed structures of success (Martin & Sunley,
2011). The present article explores different
The models of life cycle usually are dimensions of analysis to determine the stage of
characterized as an S-shaped curve, in which the development of the cluster. This way, this section
cluster cross through periods of growth, stagnation, has the aim to present the main theoretical precepts
and decline (Bergman, 2008). Menzel and Fornahl that compose the model of analysis of the life cycle
(2010) developed a model that explains the of the cluster, besides the knowledge heterogeneity
dynamics and development of clusters. Besides (Menzel & Fornahl, 2010) and the diffusion of
that, they argue that the life cycle of clusters has a knowledge (Giuliani, 2005). Based on the literature
different pattern from the life cycle of industrial review, we developed an analytical framework for
sectors (Menzel & Fornahl, 2010). This fact allows presenting critical factors found next to the
each cluster to have its trajectory that will impact characteristics of each stage of the life cycle. The
on its performance (Martin & Sunley, 2006). The Table 1 shows four dimensions of analysis which
model of Menzel and Fornahl (2010) also brings involve: (i) diffusion of knowledge in the cluster;
the idea that key drivers through the stages of the (ii) the competitive advantages; (iii) the structure of
life cycle are diversity and heterogeneity of the cluster; (iv) the role of the support institutions
knowledge. Then, the stages of the cluster will be and the development policies.
defined based on quantitative and qualitative The idea that the firms in cluster have
dimensions. Figure 1 presents the model of Menzel superior innovative activities (Baptista, 2000)
and Fornahl (2010). gains more strength in moments where the tacit
knowledge has greater relevance for the generation
of innovative activities (Audretsch, Falck, &
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 49
Feldman, 2008). Audretsch and Feldman (1996) & Boschma, 2011).
reviewed the influence of the life cycle in the Malakauskaitė and Navickas (2011) related
industry on the propensity to innovative activities the life cycle of the cluster and the degree of
in clustered companies. They found out that the productivity. During the emergence of the cluster,
clustered companies presented a higher rate of the productivity tends to be low, but with growth
innovations during the initial stages of the perspective. In the growth stage, the productivity of
industrial sector and that firms outside the cluster the cluster increases significantly. In the maturity
presented higher rates of innovation after the phase, the emergence and adaptation of a dominant
growth of the sector. Thus, the authors conclude design make the productivity of the cluster to be
that the innovative activity happens especially high. In the decline stage, as the firms leave the
during the initial stages of the life cycle of the cluster, productivity tends to decrease
industry, period where the tacit knowledge is more (Malakauskaitė & Navickas, 2011).
relevant (Presutti et al., 2013). Staber and Sautter (2011) studied the
Van Klink and De Langen (2001) analyzed relations between the identity of the cluster and its
the dynamism of the value chain along the stage of the life cycle. The identity of the cluster is
development of the cluster. During the initial the shared understanding of the industrial,
stages, the networks of actors are established, and technological, social bases, and institutional
the value chain starts to be created with the characteristics of the cluster (Staber & Sautter,
strategic relations. During the phase of expansion 2011). This identity considers cultural aspects and
of the cluster, the firms seek new opportunities to local conditions (Staber & Sautter, 2011). The
expand, the collective actions focus on refining the authors conducted studies in two distinct clusters,
process of production and increasing the extent of revealing that the cluster can develop a closed
the market. In the maturity phase, the cluster identity or more flexible one driven to meet the new
stabilizes the mix of products, the patterns of demands coming from new technologies and
production, and sales. The final stage is achieved markets (Staber & Sautter, 2011).
due to a change of market, and there is a big exit of According to Vahl (2009) and Menzel and
firms which destabilized the value chain and may Fornahl (2010), there is a relationship between the
culminate with the end of the cluster (Van Klink & stage of the life-cycle of the cluster and the number
De Langen, 2001). of employees. During the initial stages, we will see
Wal and Boschma (2011) analyzed the a few companies and few employees in the cluster.
network's stability of the cluster on the perspective However, as the cluster is developing, the number
of the theory of the life cycle. In the initial stages, of employees and firms increases. During the
knowledge and technologies are tacit, and they are maturity stage, the number of companies and
fixed to the human capital factor. Thus, this regime employees is stable and starts to decline during the
results in instability and volatility in the cluster final stages of the life cycle.
networks (Wal & Boschma, 2011). In the stage of The public agents also demonstrate an
growth of the cluster, a dominant technological interest in the industrial clusters to promoting the
design starts to emerge; the cluster begins to gain development of a region (Ingstrup & Damgaard,
the market share, resulting in fast growth and 2013). In this way, the support institutions, as well
increment of the cluster stability (Martin & Sunley, as the cluster-oriented public policies and the
2011). During the stage of maturity, we can see a facilitating agents, have great importance for the
decrease of market, the number of new inbound development of the cluster (Brenner & Schlump,
clients declines, and the innovative potential 2011; Eraydin, 2016; Fornahl et al., 2015; Ingstrup
decreases. In this stage, the cluster faced a process & Damgaard, 2013). Brenner and Schlump (2011)
of shakeout; that is, a significant number of firms argue that these public policies must consider the
exits the cluster because the industry becomes characteristics of each cluster and their current
more and more competitive (Wal & Boschma, stage of life-cycle. Different stages of life require
2011). Thus, the final stages of the life cycle occur different strategies driven to the growth of the
an increase of rivalry and competition to the cluster (Brenner & Schlump, 2011; Ingstrup &
detriment of cooperation (Malakauskaitė & Damgaard, 2013). Brenner and Schlump (2011)
Navickas, 2011). There is also a decrease in a asked themselves if different types of measures
variety of firms, and a disruption of networks (Wal should be used according to stages of the life cycle
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 50
of the cluster. Thus, the authors examined the Stages of Life cycle of the cluster
dicator EmergeSustainm
effects of several policies driven to the InGrowth Decline
nte ent
development of the cluster and its effectiveness in Develop
the different stages of life cycle of the cluster, ment of Stable Reorientat
the Specializaion of the
showing which policies have a positive effect in Vvalue tion of the roles of roles of
alue Chain the firms
each stage of the life cycle and which do not. chain firms in in the the firms
with the chain in the
Ingstrup and Damgaard (2013) showed that, differenchain chain
in the initial stages of the cluster, the facilitators t firms
Growth in
create networks focusing on developing and the number Great exit
of the
improving the local conditions, building safety of Low Low, but Stable number of
companies growing
loops, identifying new actors to join the cluster, and in the cluster companie
s
creating bonds among them (Ingstrup &
rowth in Great exit
Damgaard, 2013). Thus, the focus of the facilitators Gthe number of the
Low, but
aims at creating critical mass and cohesion. In the of Low growing Stable number of
mployees employee
second stage, the facilitators focus on the ein the cluster s
cooperation and the expansion of the trust (Ingstrup Productivi
ty higher Productivi
& Damgaard, 2013). Lastly, they will be erLow, or equals ty lower
stProduction
integrators of the activities and seek new business cluof the firms but to the High or equals
fgrowing average to the
opportunities. e oof the average
r
Table 1 describes our framework and ctuindustry
uTechnologic
presents four dimensions to explain each stage: tral High High and Moderate Low and
S
and
emergent, growth, sustainment, and decline. The heterogeneitand decreasindecreasindecreasin
of the growing g g
low diffusion of external knowledge, the disruption yfirms g
of the networks, and the technological lock-in are Identity of HeterogDevelopmHomogenDecrease
ent of a of the
signs of the decline of a cluster. the cluster eneous common eous homogene
identity identity
identity ity
Table 1–Framework of analysis of the stage of life cycle of Decrease
ualificatioof the
the cluster Qn and Non-Low, but High and search for
Stages of Life cycle of the cluster specialized existent growing growing training
Indicator EmergeSustainmtraining centers
nte Growth ent Decline
Increase Integratio
of the Dense DevelopDevelopmn of the Stimulate
Few and connectionetworks Role of the ment of ent of the members the
erweak s institutions networktrade of the diversifica
ns, but of Weakenin
ring relations tion
lustDiffusion of knowlethere are knowledgg of the stecluster
e cKnowledge dge still e intra and networks luProvide
thnetworkisolated extra crfavorabl
ins firms cluster foe
ge iesconditioStimulate Creation Search for
edlicFocus of the the of new
wlConvergeWidespreHighly Poinstitutions ns to the cooperatibusiness opportunit
emerge
noDiversity of Diffuse nce for a ad –
widespreaon activities ies
f kknowledge knowledominant possibility d –
need nce of
n odge design of of lock-in of renewal the
siothe cluster cluster
ffuPropensity
Dito Low, High, but
innovative but High decreasinLow 3 Methodology
activities in growing g
the firms
Strength of Peak of The methodological strategy adopted in this
the networks stability
paper was a single case study. We chose the
in the firms UnstablGrowth of followed Disruptio
the n of the
esof the cluster e stability by the networks footwear cluster of Vale dos Sinos and Paranhana
tag(networking) shake out because its one of the most relevant in the Brazilian
an economy and having gone past different phases of
dvFirms
e acooperate Firms growth and decline during its trajectory. Besides
itivLevel of more than compete that, the footwear sector has great economic and
Coopetition Low compete, more than Low
mpetgrowth of cooperate, social importance for the region.
Co trust high trust The data collection happened in the years of
2016 and 2017, using three main sources:
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 51
interviews, databases of the government, and to conduct this analysis and compare data from
documental analysis. For the interviews, a semi different sources,
structures script was created based on the proposed
dimensions in Table 1. The interviews took place 4 Analysis
in person or by web. In total, fifteen interviews
were conducted with different organizations that The cluster Vale dos Sinos-Paranhana is
belong to the cluster. Table 2 presents information one of the oldest industrial clusters in Brazil, which
about the interviews. The duration of the interviews includes footwear manufacturers, leather goods,
ranged from 40 minutes to 1 hour and 15 minutes. and institutional agents in the value chain
(Calandro & Campos, 2016). The footwear
Table 2 - Interview information industry in the Rio Grande do Sul is considered a
Number of
Type of organization Interviewee's pages very traditional industry, generating an impressive
position quantity of jobs. The shoes production in the region
transcribed
Footwear manufacturer Entrepreneur 10 of Vale dos Sinos and Vale do Paranhana began
Footwear manufacturer Supply manager 13 through a leather-footwear tradition in which the
Footwear manufacturer Exportation 13 German immigrants brought with them when they
manager
populated the region.
Footwear manufacturer Exportation 11 Brazil is the fourth biggest producer of
manager
shoes in the world (Abicalçados, 2018), having a
Footwear manufacturer Marketing 13
manager footwear park constituted of 7.1 thousand
Footwear manufacturer Factory director 25 companies and generates more than 279 thousand
Footwear manufacturer Entrepreneur 12 working places (Abicalçados, 2018) directly.
Footwear manufacturer Director of 8 Because it is an extensive industry concerning
Operations
Marketing and labor, the displacement of the footwear industry for
Footwear manufacturer Communication 14 regions that present lower costs of production is
Director widespread, characteristic that makes the shoe
Tannery Product 10 manufacturing to be a "nomad" industry (Costa,
development 2009).
Footwear components CEO 15
Despite being a very traditional industrial
Outsourcing service
provider Vice president 2 sector, the footwear cluster of Vale dos Sinhos-
Design service Paranhana has been going past difficulties
provider Entrepreneur 14 (Abicalçados, 2018; Costa, 2009). According to
Supporting institution Project Manager 15 Abicalçados (2018), from 2015 to 2017, the
Supporting institution Director 9 footwear sector presented a decline in all the
performance indicators. The results emphasize the
Besides that, we used data bases of the loss of more than 4,1 thousand of working places
government, such as RAIS – Annual Relation of all over Brazil and a decline of 1271 establishments
Social Information, to collect information about the that manufacture footwear. The industry had also
number of employees, firms, and production of the been reducing shoes production from 1.036 million
cluster. Lastly, the documental analysis explored pairs in 2013 to 908 million in 2017.
sectoral reports, dissertations, and thesis about the
cluster to analyze the historical context. 4.1 Stage of Development of the Cluster
The data analysis of this research was
performed based on the full transcripts of the
interviews, the analyzed documents, and the The cluster of Vale dos Sinos-Paranhana
observation. The analytical categories defined in has gone past several phases over the years. In each
this study were the cluster life cycle indicators one of those phases, the cluster changed its
identified in the literature. Thus, we used the technological orientations, going past renewal
strategy of triangulation of data to determine the processes followed by new stability. We can
consistency of data and validity of the results. The identify the movement in a historical analysis of the
technique of data treatment was content analysis. number of firms and employees that belong to the
We considered the Analytical Framework (Table 1) cluster. The data withdrew from RAIS/TEM record
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 52
the formal relationships of the working places. The the cluster and in Rio Grande do Sul. The peak of
period 1985 to 2018 was used due to the workers in the cluster happened in 1988, coming to
availability of the data in RAIS. 106.947 workers. From 2004 on, the number of
Figure 2 presents the evolution of the workers starts to decline, reaching 58.731 workers
number of footwear manufacturers in the Cluster in 2018.
Vale dos Sinos-Paranhana and the State of Rio From the decade of 1960, the cluster
Grande do Sul. We also observed that the number received a high demand on the part of foreign
of companies remained constant between the years companies that decided to outsourcing production
of 1987 and 1995. After this period, the number the Brazilian companies. From the years 1990,
starts to grow considerably until the years of 2011 Asian countries started to join the world scenario
and 2012, where it comes to its maximum number of production, practicing an intense competition
of 3063 companies. From 2012 on, the number of due to its low costs, which forced the Brazilian
companies starts to decrease, coming to 1924 companies to change their strategies, since they
companies in 2018. could not compete about price with the Asian
companies. This way, the companies started to
Figure 2–Footwear manufactorers in the Cluster of Vale do invest more and more in the creation, formation,
Sinos-Paranhana and in Rio Grande do Sul
and insertion of their own brand in the international
market. Despite the changes oriented to the value-5000
4000adding, the footwear sector is still going past
difficulties, according to our data.
3000Concerning the diffusion of knowledge
2000inside the cluster, the cluster is structuring its
knowledge networks just now and that the local
1000culture of closed companies still prevails.
0However, some initiatives have already been built
to reunite groups and companies to discuss new
1987198919911993199519971999200120032005200720092011201320152017
1985technologies and tendencies. The production of
Number of footwear companies in cluster
shoes is an ancient activity, and the knowledge has
umber of footwear companies in Rio Grande do Sul
N passed through generations, coming to the point
Source: RAIS/MTE. 2018. Own elaboration.
where the knowledge in the manufacturing was no
longer tacit and could be expanded to other places,
Figure 3 – Evolution of the number of workers as it was the case of the migration of the industry
to the Northeast.
160000In terms of knowledge networks, the
140000interviewees pointed out that recently the cluster
120000started to host events and workshops to connect the
100000sector and disseminate knowledge. The
80000interviewees also pointed out that there is a
60000significant deficiency about researches and search
40000for new technologies for materials, innovations in
20000products, and services. Recently, Abicalçados
0started to promote programs, such as Moda Cor and
19851987198919911993199519971999200120032005200720092011201320152017Maratona Mude to increase the relations between
Total number of footwear manufacturing workersthe several links of the chain.
in the Cluster Vale dos Sinos-ParanhamaAbout the innovation, the cluster did not
otal number of footwear manufacturing workers
Tshow itself innovative. Otherwise, few are the
n the Rio Grande do Sul
i companies that indeed invest in research, and
Source: RAIS/MTE. 2018. Own elaboration
besides, the innovations are incremental and easily
Concerning the labor, Figure 3 presents the copied. In general, the industry stopped in the time,
evolution of the number of employees in the where there are very few changes in the industry
footwear manufacturing in the cities that are part of blueprints in the last years. In the cluster, the closed
culture of non-collaboration and copy still prevails.
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 53
The innovations are characterized by being footwear industry waits to see what becomes a
incremental and derived specially from the material tendency in the European market and adapts to the
industry. Brazilian reality. The traditional model of footwear
Concerning the knowledge diversity, the production and trade is ceasing to exist. Less and
footwear cluster presents a low variety and for a less, it is expected the companies to keep the model
long time there has been a dominant design in the B2B, where the companies manufacture significant
cluster. The manner of production is very similar quantities of shoes and deliver them to distributing
inside de companies, and the way that they try to companies that are responsible for the sales in
distinguish themselves is through design or retail. The number of small companies selling
material, however, as the inspirations for new directly to the consumer on the internet is
products are the same. There is a robust culture of increasing. This model does not count on stock and
copy, and the products end up being very similar. produces only on demand, and products with more
Regarding networking, the cluster presents added value characterize it.
a very developed network and even stable. If, on The cluster is presenting difficulties in
the one hand, there is little cooperation among the capturing and maintenance of its workforce. One of
producer industries; on the other hand, the the causes of the scarcity is that the young people
networks created showed themselves better of the region do not realize the job inside a
developed for the companies in the cluster. footwear factory as something positive, primarily
Moreover, the interviewees highlighted the role of because of the physical conditions and low salaries.
the fairs as an important means to increase the Despite the lack of workforce, the interviewees
networking and range of clients, as well as the highlighted that there are several training centers
incentive of meeting among entrepreneurs, and organizations related to the footwear inside the
suppliers, and clients, seeking the strengthening of territory of a cluster. Despite the existence of
the relations inside the cluster. several graduation courses, Senai issued an alert to
All of the interviewees pointed out that the Abicalçados, showing that there were fewer people
companies present a low level of cooperation. interested in a technical formation.
They compete much more among them, due to the The footwear cluster presents a collective
excess of products for an already saturated demand. identity and a strong cultural identification of the
The interviewees also pointed out that the attempts society with the footwear. The manufacture of
to create collective strategies even crash into the footwear is a family business and cross different
closed mindset of the entrepreneurs of the sector generations over the years. In this sense, it is said
and that many companies are still managed by that the footwear business is "inside the DNA" of
families, which do not seek partnerships. The the people. However, the interviewees also argued
interviewees also pointed out that, in the last years, that the German culture also hinders the
the proximity between the support entities had development of new innovations, since the people
improved. are very suspicious and closed, hindering the flow
Concerning the value chain, the footwear of information and knowledge.
cluster of Vale dos Sinos-Paranhana presents a Concerning the support institutions, the
complete and very stable value chain. The interviewees highlight that, recently, the
interviewees argued that the gaucho cluster has a institutions have been creating projects and helping
better value chain related to shoes in Brazil, being the companies more and more. One of the main
this an advantage in other producer regions. efforts made was the integration of the members of
Another highlighting factor is a good logistic the cluster. To stimulate cooperation among the
infrastructure, both for the intern market and firms, Abicalçados has been developing projects,
exportation. such as Future Group, Future of Footwear, and
One of the changes in heterogeneity in the Brazilian Footwear. Abicalçados aims at
footwear sector occurred through the business stimulating the relations through fairs and market
model of the companies, reducing the production research, offering opportunities of business to the
of private label shoes. The innovations also companies. About the focus of the activities of the
included design, the increment of new tendencies, support institutions, we noticed a search for
and technologies in the shoe production. However, increasing cooperation. Still, mainly, it is sought to
no great innovation has emerged in Brazil. The create new business activities through the
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 54
promotion of Brazilian brands in the national and the footwear cluster is stuck in a dominant
international markets. trajectory and needs increments on its
heterogeneity to free itself from its current state
4.2 Discussion of the Results (Trippl & Otto, 2009).
Wal and Boschma (2011) argued that
Based on the taxonomy of Giuliani (2005), networking develops with the capacities of the
the evidence indicates that the footwear cluster has cluster along its life cycle. In this footwear cluster,
absorptive capacity at the intermediate level since we observed the existence of stable networking, but
the companies have forms to generate internal such stability may have led the cluster to a shakeout
knowledge. However, this knowledge is still process. We can see the movement of the reduction
adapted from the one existing, making radical of the number of companies based on secondary
innovations a rare event in the cluster. Moreover, data (Figure 3). Moreover, the interviewees also
there are few and weak knowledge networks. The mentioned the competitive worsening on the
cluster is in the early stages of its network of footwear prices. According to Wal and Boschma
knowledge diffusion, because the region still has a (2011), the process of shakeout and the worsening
very closed culture to share knowledge. of competition for prices are characteristics of a
Institutional and cultural aspects can be a mature network.
significant limitation for the dissemination of One of the main characteristics of a cluster
knowledge diffusion since they define how the is the relation of competition, cooperation, and
agents exchange knowledge (Holm & Østergaard, the trust relations of the companies (Porter,
2015; Isaksen, 2018; Staber & Sautter, 2011). In 1998). The analysis showed that the companies of
this sense, the culture of mistrust limits the the cluster present a low level of cooperation,
knowledge to be recombined and transformed into starting to compete much more among them. There
innovations that encourage the renewal of the is strong confidence among the clustered firms, in
cluster (Grillitsch et al., 2018; Trippl & Otto, particular, in the context of the relationship
2009). between producers and suppliers. The lack of
About the innovative capacity, the cluster competition and trust and the little collaboration
presents incremental innovations and easily copied. among the actors are characteristics of clusters in
The literature about the life cycle of cluster shows the final stage of the life cycle (Malakauskaitė &
that the clusters decline due to the cognitive Navickas, 2011).
isomorphism, which leads to a decrease of The low diversity of knowledge can also be
innovations (Martin & Sunley, 2011), a process one of the aspects responsible for the low
that reinforce the lock-in effect (Harris, 2020; cooperation activity and the high mistrust within
Schmidt et al., 2020). This way, the low innovative the cluster. This aspect can be related to the
activity of the footwear cluster is a strong clue that distance between agents is very low (Boschma,
the cluster is heading to a decline stage (Audretsch 2005; Neffke, Henning, & Boschma, 2011;
& Feldman, 1996; Martin & Sunley, 2011; Trippl Nooteboom, 2000). In environments where
et al., 2015). cognitive distance is low, firms tend to have more
Regarding knowledge diversity, the cluster homogeneous routines, making knowledge a
presents a low level. The interviews identified a redundant asset and unproductive cooperation
dominant design in the cluster, and the production activities (Boschma, 2005), since there are less
model of footwear is very similar. According to gains through collaboration.
Menzel and Fornahl (2010), the existence of a The cluster presented a complete and stable
dominant model is characteristic of a mature value chain. The cluster also has a dominant model
cluster, and its continuity leads to a decrease of in the patterns of production and sales, which
heterogeneity, being possible to cause a lock-in indicates a value chain of a mature cluster (Van
and, consequently the decline of the cluster Klink & De Langen, 2001). Even after the exit of
(Grabher, 1993; Isaksen, 2018; Schmidt et al., companies, the cluster is not yet undergoing a
2020). The patterns that marked the success of the restructuring of the value chain. However, this may
cluster become obsolete, and the existent model is be the next stage of the cluster, in case it cannot
going to face several difficulties, mainly due to the reorient and renew itself.
lack of competitiveness and innovations. This way, Concerning the number of manufacturers
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 55
of footwear in the Cluster Vale dos Sinos-projects and helping the companies in several
Paranhana, it was observed a strong decrease from areas. For that matter, one of the main roles
the year of 2011. The same happened in the highlighted was the role of integrator agent of the
number of employees which has also been members of the cluster, seeking to organize the
decreasing over the years. Another factor is the companies to work more collectively.
production of the number of shoes in the most Abicalçados aims at stimulating those
recent years. The decrease in the number of relations through fairs and researches of target
companies, firms, and production are markets, offering the new companies' opportunities
characteristics of a cluster in decline (Menzel & of business. Among the main tasks performed by
Fornahl, 2010; Vahl, 2009). the institutions, there are the actions of branding,
The model of Menzel & Fornahl (2010) meetings for idea sharing, funding in fairs, market
points out that the strength that moves the cluster research, and events of networking. Based on this,
through the stages of life cycle is diversity and we noticed that the facilitator role of the footwear
heterogeneity. No radical innovation happened in cluster is slightly dissonant from the current needs
the last years, and all the companies follow the of the cluster. A facilitator that aims at the
same model of production. The low heterogeneity development of the relations is a characteristic of a
is evidence of decline (Harris, 2020; Isaksen, 2018; mature cluster. However, the footwear cluster
Schmidt et al., 2020). However, producers are needs to increase its heterogeneity to renew itself
investing in new business models and different (Menzel & Fornahl, 2010). This way, the actions of
products, which may be an increase in the institutions should be more driven to increase
heterogeneity. In that case, in case the cluster can the diversity of the region through projects that aim
increase its heterogeneity, it can go past a process at the innovation.
of renewal (Grillitsch et al., 2018; Menzel & Based on the analysis framework of the life
Fornahl, 2010; Trippl & Otto, 2009). cycle of the cluster, Table 3 presents the application
The footwear cluster presents a collective in the Footwear Cluster of Vale dos Sinos. It is
identity and cultural identification with society. observed that 9 of the 14 indications catalogued are
The rooting and the cultural identification with the found in the decline stage. The decline stage does
segment are characteristics of a mature cluster. not necessarily indicate the complete death, there
Even with the existence of a strong collective are still a lot of renewal possibilities, as several
identity, the clustered firms are finding difficulties authors (Bergman, 2008; Grillitsch et al., 2018;
in renewing their workforce. The lack of interest Martin & Sunley, 2011; Menzel & Fornahl, 2010;
of new generations is a great challenge that the Trippl & Otto, 2009). However, to renew itself, a
cluster will have to face in the future. cluster needs a greater flow of external knowledge,
Staber & Sautter (2011) showed that a fostering larger interactions with the extra-cluster
cluster has a central identity. The cultural agents and reducing the negative effect of the lock-
characteristics of the region have developed the in.
identity (Staber & Sautter, 2011). The identity of
Stage of life cycle of the Footwear Cluster of Vale
the cluster influences the trajectory of the cluster, Table 3 –
possibly following two different paths: one of the dos Sinos-Paranhana
Stage of life cycle
paths leads the cluster to greater flexibility and the EmergenSustainme
ndicators Growth Decline
second path privileges a state of inertia and Ice nt
Few
stability, that on the other hand, prevents the cluster erDiffusion networks
st
from innovation and adapting, leading the cluster cluof of
knowledge knowled
to the decline (Staber & Sautter, 2011). thege
n
Another factor to be analyzed is the e i
g
facilitation policies of the cluster promoted by the ledDiversity of Low
knowledge diversity of
support institutions (Eraydin, 2016). Policies now
kknowledge
driven to regional development have extreme of
Propensity
importance for cluster development (Ingstrup & onto
si
Damgaard, 2013). The interviewees highlight that, iffuinnovative Low
activities in
in the last years, institutions such as Abicalçados, Dthe firms
Assintecal, and IBTEC have been creating new
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 56
Strength of
the firm Developeof knowledge, competitive advantage, the structure
networks of d and of the cluster, and policies for clusters. These
sthe cluster stable
ge(networkinnetworks dimensions are aligning with Fornahl et al. (2015)
ntag) and Trippl et al. (2015).
vaLevels of Low level
The results point out that the footwear
adcooperationof
ve, trust and cooperatiocluster of Vale dos Sinos-Paranhana presents a low
cticompetition n and high
llelevel of cooperation and innovation. The cluster is
among the level of
Costill considering as the most significant producer of
firms of the competitio
cluster n
footwear, but new generations don't recognize this
Value chain Stable and cultural and collective identity. The decline of the
complete
Evolution footwear cluster is related to the path dependence
of the Decline of
number of the number and the trapping effect that emerges from it
companies of (Schmidt et al., 2020; Vasconcellos, Garrido,
in the companies
cluster Vieira, & Schneider, 2015). We identified the
Evolution Decline of difficulty of renewing the technological basis of the
of the the number
number of of cluster. This difficulty can be related to a lack of
employees employees new knowledge (Menzel & Fornahl, 2010), inertia
erin the in the past generated by outdated production models (Cho &
cluster years
ustProduction Hassink, 2009) and local culture, which does not
cl Declining
heof the firms encourage knowledge diffusion (Staber & Sautter,
f tTechnologi
Low
e ocal 2011).
heterogene
turheterogeneiity This context indicates that the footwear
ucty
StrExistence cluster needs to break with the current trajectory
Identity of of a strong Vasconcellos et al., 2012). An alternative is to
the cluster identity,
but it is invest in the acquisition and diffusion of new
being lost
The cluster knowledge and offer higher value-added products
Formation presents on the market (Trippl & Otto, 2009). In fact, since
and difficulties the 2000s, the cluster has invested in acquiring new
especialize in
d training renewing knowledge, producing its own brand, and adding
the
workforce value (Vasconcellos et al., 2012; Vasconcellos et
Integrator al., 2015) and, more recently, new sustainable
erRole of the agent of business models have emerged in the cluster.
lustinstitutions the
r cmembers However, these changes do not seem to have been
foGoal to sufficient to completely renew the cluster (Trippl
iesFocus of create
licthe new & Otto, 2009).
Poinstitutions business The capacity of assimilation of superior
activities
practices makes the clustered firms to grow over
5 Conclusions the average of the sector. However, the superior
practices end up disseminating and generating a
The emergence and the evolution of clusters dependent trajectory of a mental model, hindering
can be a research avenue to explain the difference new methods and innovations to happen. The lack
of innovation capacity in the firm and cluster of changes will impact competitiveness and start to
levels. The understanding of the specific needs that compete for costs. In this way, the companies that
each stage of the life cycle demands is vital to keep did not have privileged positions in the value chain,
the cluster competitive and innovative (Brenner & or that were not so competitive, tend to disappear
Schlump, 2011). Considering these needs, our (Wal & Boschma, 2011).
paper aimed at analyzing the stages of the life-cycle
of clusters, proposing an analytical framework. 6 Implications and Further Research
As a theoretical contribution, we proposed
a framework to analyze the stages of the life-cycle This research contributed to the
of the cluster, based on four dimensions: diffusion understanding of the evolution of clusters,
considering that the flow of knowledge will have a
Revista de Negócios, v. 25, n. 2, p. 45-59, April, 2020. 57
central role in the renewal of the cluster. As a 87
practical implication, the awareness of the Brenner, T., & Schlump, C. (2011). Policy
difficulties and the necessary mechanisms to renew Measures and their Effects in the Different
a cluster are essential to developing policies for Phases of the Cluster Life Cycle. Regional
clusters and the footwear industry in Brazil. Studies, 45(10), 1363–1386.
As a theoretical contribution, the study https://doi.org/10.1080/00343404.2010.5291
reinforces that the lack of new knowledge 16
influences the negative lock-in, leading to the Calandro, M. L., & Campos, S. H. (2016). APL
decline. Further research can validate the Calçadista Sinos-Paranhana : o segmento de
framework in empirical tests in the same cluster or calçados de alto valor agregado. In R. M. da.
different ones. Empirical studies will also clarify MACADAR, B. M. de; COSTA (Ed.),
how the dissemination of patterns and the Aglomerações e Arranjos Produtivos Locais
increasing heterogeneity in mature clusters. no Rio Grande do Sul (pp. 444–486). Porto
Alegre: FEE.
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