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Doutoramento em Gestão SUCESSO E INSUCESSO NO LICENCIAMENTO: UMA PERSPECTIVA INTEGRADA Volume IV Vítor Corado Simões Tese apresentada nos termos do artº 28º do Regulamento de Estudos de Pós-Graduação da Universidade de Lisboa Constituição do Júri Presidente: Doutor Manuel Fernando Cília de Mira Godinho Professor Catedrático Presidente do Conselho Científico do Instituto Superior de Economia e Gestão da Universidade de Lisboa Vogais: Doutor Joaquim José Borges Gouveia Professor Catedrático Convidado Universidade de Aveiro Doutor José Molero Zayas Professor Catedrático Universidade Complutense de Madrid (Espanha) Doutor Manuel Duarte Mendes Monteiro Laranja Professor Associado com Agregação Instituto Superior de Economia e Gestão da Universidade de Lisboa Doutor João Manuel Gaspar Caraça Especialista na área da Tecnologia e da Prospectiva Lisboa, Março de 2016
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Page 1: SUCESSO E INSUCESSO NO LICENCIAMENTO - UTL ...

Doutoramento em Gestão

SUCESSO E INSUCESSO NO LICENCIAMENTO:

UMA PERSPECTIVA INTEGRADA

Volume IV

Vítor Corado Simões

Tese apresentada nos termos do artº 28º do Regulamento de Estudos de Pós-Graduação

da Universidade de Lisboa

Constituição do Júri

Presidente: Doutor Manuel Fernando Cília de Mira Godinho

Professor Catedrático

Presidente do Conselho Científico do Instituto Superior de Economia e Gestão da

Universidade de Lisboa

Vogais: Doutor Joaquim José Borges Gouveia

Professor Catedrático Convidado

Universidade de Aveiro

Doutor José Molero Zayas

Professor Catedrático

Universidade Complutense de Madrid (Espanha)

Doutor Manuel Duarte Mendes Monteiro Laranja

Professor Associado com Agregação

Instituto Superior de Economia e Gestão da Universidade de Lisboa

Doutor João Manuel Gaspar Caraça

Especialista na área da Tecnologia e da Prospectiva

Lisboa, Março de 2016

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ESTRUTURA DA DISSERTAÇÃO

VOLUME IV

Introdução

Parte I: Licenciamento, Cooperação e Inovação Tecnológica. Uma revisão da Literatura

Capítulo 1: Conceitos Básicos

Parte I-A: O Licenciamento como Relação entre Empresas: Enquadramento Teórico

Capítulo 2: A Escola da Dependência

Capítulo 3: Custos de Transacção e Internalização

Capítulo 4: Estratégia Empresarial

Capítulo 5: Teoria da Troca Social

Capítulo 6: As Redes Inter-Organizacionais

Capítulo 7: Aprendizagem Organizacional

Parte I-B: O Licenciamento no Quadro da Inovação Tecnológica

Capítulo 8: Processos de Inovação Tecnológica

Capítulo 9: Tecnologia e Estratégia Empresarial

Capítulo 10: A Base Tecnológica da Empresa: Estabilidade e Mudança

Capítulo 11: A Obtenção de Tecnologia no Exterior

VOLUME II

Parte II: O Licenciamento como Objecto de Estudo

Capítulo 12: Iniciação e Negociação

Capítulo 13: Contratos de Licença: Tipologia e Clausulado

Capítulo 14: A Remuneração nos Contratos de Licença

Capítulo 15: Execução e Desenvolvimento do Contrato

Capítulo 16: O Licenciamento em Portugal

Parte III: Proposta de um Quadro de Análise do Resultado do Licenciamento

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Capítulo 17: Quadros de Análise do Resultado do Licenciamento

Capítulo 18: O Resultado do Licenciamento: Dimensões de Avaliação

Capítulo 19: O Resultado do Licenciamento: Factores Relevantes

Capítulo 20: Proposta de Quadro de Análise

VOLUME III

Parte IV: Aplicação ao Caso Português

Capítulo 21: Metodologia de Investigação

Capítulo 22: Caracterização da Amostra, Operacionalização das Variáveis e

Selecção dos Métodos Econométricos

Capítulo 23: Resultado Global e Resultados Parcelares

Capítulo 24: Resultado Global do Licenciamento: Formulação de Modelos

Explicativos

Capítulo 25: Modelos Explicativos do Sucesso do Licenciamento: Resultados e

Discussão

Capítulo 26: Abordagem Integrada

Capítulo 27: Aplicação do Modelo Integrado às Dimensões Parciais do

Resultado

Capítulo 28: Investigação Qualitativa (I): Início do Processo e Negociação

Capítulo 29: Investigação Qualitativa (II): Execução do Contrato e

Desenvolvimento da Relação

Capítulo 30: Investigação Qualitativa (III): Dinâmicas de Aprendizagem

Capítulo 31: Integrando os Resultados das Análises Quantitativa e Qualitativa

Parte V; Conclusões

Capítulo 32: Conclusões e Implicações para a Gestão

VOLUME IV

Referências Bibliográficas

Anexos

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VOLUME IV

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ÍNDICE DO VOLUME IV

REFERÊNCIAS BIBLIOGRAFICAS .......................................................................................... 1

ANEXOS................................................................................................................................... 171

ANEXO I: INSTRUMENTOS DE INQUIRIÇÃO E ELEMENTOS DE APOIO ............. 1753

ANEXO II: MATRIZ DE CORRELAÇÕES ........................................................................ 189

ANEXO III: GUIÕES DE ENTREVISTA A LICENCIADOS E A LICENCIADORES .... 193

ANEXO IV: SÍNTESE DA LITERATURA SOBRE DETERMINANTES DO RESULTADO

............................................................................................................................................... 201

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ANEXOS

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ANEXO I: INSTRUMENTOS DE INQUIRIÇÃO E

ELEMENTOS DE APOIO

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Carta Enviada às Empresas

ANEXO I: QUESTIONÁRIO E ELEMENTOS DE APOIO

Carta Inquérito

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Carta do Ministro da Indústria e Energia

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Questionário Geral da Empresa

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Questionário Especifico do Contrato de Licença

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ANEXO II: MATRIZ DE CORRELAÇÕES

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ANEXO III: GUIÕES DE ENTREVISTA A LICENCIADOS

E A LICENCIADORES

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GUIÃO DE ENTREVISTA A LICENCIADOS

[Recorde-se que boa parte das informações factuais tinha sido já obtida através do inquérito

postal. Por isso, o foco da entrevista foi mais qualitativo e opinativo que quantitativo]

A. O LICENCIADO

Apresentação genérica da empresa

Emprego (último exercício)

Volume de negócios (último exercício)

Investimentos em I&D (último exercício)

Internacionalização (Exportações, Filiais no estrangeiro)

Desenvolvimento da experiência de contratos de licença

Razões determinantes da opção de celebrar o contrato de licença

B. O LICENCIADOR

Opinião genérica sobre o Licenciador

Principais activos e reputação

Factores de atractividade

Como obteve informação sobre o Licenciador

C. O CONTRATO

Ano de assinatura

Permanece em vigor?

Produtos objecto da licença

A empresa continua a fabricar tais produtos?

Os produtos já eram vendidos no mercado português?

Razões da celebração do contrato de licença

Outras opções consideradas

D. A NEGOCIAÇÃO

Relações entre os parceiros anteriores à celebração do contrato

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Quem tomou a iniciativa?

Quais os objectivos pretendidos?

Razões da escolha do Licenciador

Procurou outros potenciais licenciadores?

Contactos iniciais: como foram efectuados?

Tempo de negociação do contrato

Avaliação da atmosfera de negociação

Principais dificuldades

Condições contratuais

Montante e forma de remuneração

Desejo de domínio da tecnologia contrariado pelo licenciador

Intervenção de terceiros (nomeadamente o Instituto de

Investimento Estrangeiro)

E. COMUNICAÇÃO DOS CONHECIMENTOS

Objectivos: Capacidade de produção? Domínio da tecnologia?

Preparação para a assimilação dos conhecimentos

Qualificação dos Recursos Humanos da Empresa na altura

Esforços de absorção efectuados

Condições de comunicação de melhoramentos subsequentes

Mecanismos de comunicação de conhecimentos utilizados

A empresa poderia ter ido mais longe na assimilação dos conhecimentos?

Porquê? O que poderia ter feito?

Limitações e dificuldades percepcionadas no processo de comunicação de

melhoramentos

F. DESENVOLVIMENTO DA RELAÇÃO

Caracterização da atmosfera dominante na fase post-contratual

As relações entre os parceiros intensificaram-se ao longo da duração do

contrato (e após o termo deste)?

De que forma?

Novos negócios em conjunto

Novos contratos de licença

Compras ligadas

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Principais problemas sentidos no relacionamento ao longo do contrato

Influência da estratégia da Empresa no desenvolvimento da relação

Percepção da evolução da estratégia do Licenciador

Influência da estratégia do licenciador no desenvolvimento da relação

Influência do clima de negócios em Portugal no desenvolvimento da

relação

G. APRENDIZAGEM

Avaliação global da aprendizagem obtida

Aprendizagem Tecnológica

Principais aspectos

Domínio da tecnologia (à data da entrevista)

Capacidade de desenvolver produtos autonomamente

Aprendizagem Organizacional

Principais aspectos

Aprendizagem de gestão no âmbito do contrato

Aprendizagem Comercial

Principais aspectos

Novas técnicas de marketing aprendidas

Novos métodos de comercialização

Aplicação das aprendizagens obtidas nas outras actividades da Empresa

H. AVALIAÇÃO GLOBAL

Avaliação global do negócio de licença

Avaliação de custos e proveitos do negócio

Que tipos de custos?

Que tipos de proveitos?

Os proveitos superaram os custos?

Avaliação da evolução do desfasamento tecnológico entre a Empresa e o

licenciador

Que poderia ter sido feito para o negócio ser mais satisfatório?

Que erros não cometeria hoje (à data da entrevista)?

Experiência adquirida pela empresa com o negócio.

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GUIÃO DE ENTREVISTA A LICENCIADORES

A. O LICENCIADOR

Apresentação genérica da empresa

Principais produtos

Ano de constituição

Emprego (último exercício)

Volume de negócios (último exercício)

Investimentos em I&D (último exercício)

Internacionalização (Exportações, Filiais no estrangeiro)

Actividades em Portugal

Experiência de contratos de licença

Política de licenciamento (activa/passiva)

Principais objectivos da política de Licenciamento

B. O CONTRATO E OS PRODUTOS LICENCIADOS

Ano de assinatura

Permanece em vigor?

Produtos objecto da licença

A empresa fabrica (ou já fabricou) tais produtos?

Os produtos já eram vendidos no mercado português?

Razões da celebração do contrato de licença

Outras opções consideradas para abastecimento do Mercado Português

C. A NEGOCIAÇÃO

Relações entre os parceiros anteriores à celebração do contrato

Quem tomou a iniciativa?

Caso tenha sido o licenciado: Quais os objectivos percepcionados?

Caso tenha sido o licenciador:

Quais os objectivos pretendidos?

Razões da escolha do parceiro

Procurou outros potenciais licenciados?

Contactos iniciais: como foram efectuados?

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Tempo de negociação do contrato

Avaliação da atmosfera de negociação

Principais dificuldades

Condições contratuais

Montante e forma de remuneração

Desejo de domínio da tecnologia pelo licenciado

Intervenção de terceiros (nomeadamente o Instituto de

Investimento Estrangeiro)

D. COMUNICAÇÃO DOS CONHECIMENTOS

Objectivos: Capacidade de produção? Domínio da tecnologia?

Balanceamento entre extensão e profundidade da comunicação de

conhecimentos e remuneração

Estava a empresa disposta a comunicar mais conhecimentos?

Comunicação de melhoramentos subsequentes

Mecanismos de comunicação de conhecimentos utilizados

Foi comunicada a tecnologia mais recente?

A empresa poderia ter aprofundado a comunicação de conhecimentos?

Limitações e dificuldades percepcionadas no processo de comunicação de

melhoramentos

Capacidade do Licenciado para absorver os conhecimentos comunicados

e para os actualizar?

O Licenciado aproveitou as oportunidades de aprendizagem?

E. DESENVOLVIMENTO DA RELAÇÃO

Caracterização da atmosfera dominante na fase post-contratual

Principais formas de controlo do comportamento do Licenciado

As relações entre os parceiros intensificaram-se ao longo da duração do

contrato (e após o termo deste)?

De que forma?

Novos negócios em conjunto

Compras ligadas

Aprovisionamento junto do licenciado

Novos contratos de licença

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Comunicação de melhoramentos pelo licenciado

Principais problemas sentidos no relacionamento

Influência do clima de negócios em Portugal no desenvolvimento da

relação

F. AVALIAÇÃO

Avaliação global do negócio de licença

Avaliação de custos e proveitos do negócio

Que tipos de custos?

Que tipos de proveitos?

Os proveitos superaram os custos?

Avaliação da evolução do desfasamento tecnológico entre licenciado e

licenciador

Que poderia ter sido feito para o negócio ser mais satisfatório?

Para a Empresa?

Para o Licenciado?

Experiência adquirida pela empresa com o negócio.

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ANEXO IV: SÍNTESE DA LITERATURA SOBRE

DETERMINANTES DO RESULTADO

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p

osi

tiva

entr

e co

nfi

ança

e

des

emp

enh

o,

mod

erad

a p

ela

esp

ecif

icid

ade

acti

vos

6.

Bel

l e

Sco

tt-

Kem

mis

(19

84

)

93

contr

atos

de

tran

sfer

ênci

a d

e

tecn

olo

gia

en

tre

o

Rei

no

Unid

o

e a

Índ

ia,

envolv

end

o

39

em

pre

sas

bri

tânic

as

Reg

ress

ões

. T

abel

as

Não

exp

lici

tad

o

Fo

rnec

edor

Avali

ação

per

cep

tual

do r

esu

ltad

o

técn

ico,

finan

ceir

o e

glo

bal

Fam

ilia

ridad

e te

cnoló

gic

a, e

xp

eriê

nci

a e

capac

idad

e té

cnic

a e

de

ges

tão

do

rece

pto

r

su

cess

o

7.

Ben

net

t e

Zh

ao

(200

4)

Aq

uis

ição

d

e te

cnolo

gia

d

e m

áqu

inas

-fe

rram

enta

s p

or

emp

resa

s ch

ines

as

Tab

elas

. Ín

dic

es

de

sati

sfaç

ão

Não

exp

lici

tad

o

Rec

epto

r/

forn

eced

or

Nív

el

de

sati

sfaç

ão

incl

uin

do

div

ersa

s d

imen

sões

(r

isco

s

técn

icos,

d

e m

erca

do

e d

e

cola

bora

ção)

Os

fact

ore

s m

ais

val

ori

zad

os

pel

os

rece

pto

res

são

a q

ual

idad

e d

a

coop

eraç

ão,

o

forn

ecim

ento

d

e

com

pon

ente

s-ch

ave,

a

com

pet

itiv

idad

e d

o

pro

duto

e

a so

luçã

o

de

pro

ble

mas

técn

icos.

8.

Bu

ckle

y

e M

irza

(199

7)

12

op

eraç

ões

d

e tr

ansf

erên

cia

de

tecn

olo

gia

d

e P

ME

b

ritâ

nic

as

par

a

paí

ses

em d

esen

volv

imen

to

Est

ud

o d

e ca

sos

3/1

2 (

25

%)

Fo

rnec

edor

Avali

ação

p

erce

ptu

al

dos

forn

eced

ore

s

Fam

ilia

ridad

e en

tre

os

par

ceir

os,

exp

eriê

nci

a e

dim

ensã

o

do

rece

pto

rsu

cess

o.

Tod

os

os

caso

s d

e

lice

nça

fora

m b

em s

uce

did

os.

9.

Car

stai

rs

e W

elch

(1

98

2)

Exp

eriê

nci

a d

e li

cen

sing

-ou

t d

e 4

3

emp

resa

s au

stra

lian

as.

Est

ud

o d

e ca

sos

43/4

3 (

10

0%

) L

icen

ciad

or

Não

exp

lici

tad

o

Con

tinuid

ade

do

rela

cion

amen

to

e d

e co

mun

icaç

ão d

e kn

ow

-how

s

uce

sso

10.

Ch

an

et

all

ii

(199

7)

Evolu

ção

da

cota

ção

bols

ista

em

resp

ost

a ao

es

tab

elec

imen

to

de

34

5

alia

nça

s es

trat

égic

as

Reg

ress

ões

. A

nál

ise

de

aconte

cim

ento

s

37/3

45

(1

1%

) L

icen

ciad

o o

u

Lic

enci

ador

Alt

eraç

ão d

os

pre

ços

das

acç

ões

O

s ac

ord

os

hori

zon

tais

re

lati

vos

à

com

un

icaç

ão

de

tecn

olo

gia

(i

ncl

uin

do

alia

nça

s) t

êm r

esu

ltad

os

mai

s p

osi

tivos

11.

Contr

acto

r, K

im e

Bel

don

a (2

002

)

Exp

eriê

nci

a d

e ap

ren

diz

agem

em

red

es

de

alia

nça

s te

cnoló

gic

as

de

10

5

emp

resa

s fa

rmac

êuti

cas

Reg

ress

ões

N

ão e

xp

lici

tad

o

Não

ap

lica

do

Ap

ren

diz

agem

te

cnoló

gic

a

med

ida

atra

vés

d

e ci

taçõ

es

de

pat

ente

s

Imp

ort

ânci

a das

rel

ações

. R

esu

ltad

os

de

alia

nça

s se

m

par

tici

paç

ão

no

capit

al

ligei

ram

ente

sup

erio

res

12. C

oop

er (

1984

) A

nál

ise

de

108

co

ntr

atos

de

tran

sfer

ênci

a d

e te

cnolo

gia

ef

ectu

ados

por

37

em

pre

sas

do

Bon

clu

x

com

Tab

elas

. E

stat

ísti

cas

des

crit

ivas

Infe

rior

a 50

%

Fo

rnec

edor

Nív

el d

e co

ber

tura

de

cust

os

Dim

ensã

o f

orn

eced

ore

s e

pag

amen

to d

e

roya

ltie

s co

ndu

zem

a

mel

hore

s

resu

ltad

os.

Page 210: SUCESSO E INSUCESSO NO LICENCIAMENTO - UTL ...

204

par

ceir

os

ind

ian

os

13.

Del

apie

rre

(199

97

) E

xp

eriê

nci

a d

e li

cenci

amen

to

par

a p

aíse

s em

des

envolv

imen

to d

e 9

PM

E

fran

cesa

s

Est

ud

o d

e ca

sos

10/1

0 (

10

0%

) L

icen

ciad

or

Não

exp

lici

tad

o

Rec

urs

os

insu

fici

ente

s,

dif

eren

ças

lin

gu

isti

cas

e cu

ltu

rais

, ca

pac

idad

e

tecn

oló

gic

a e

evolu

ção m

erca

do r

ecep

tor

são f

acto

res

rele

van

tes

14.

Der

akh

shan

i (1

98

4)

Exp

eriê

nci

a d

e aq

uis

ição

de

tecn

olo

gia

d

e 50

em

pre

sas

iran

ianas

R

egre

ssõ

es

Não

exp

lici

tad

o

Rec

epto

r A

vali

ação

em

tr

ês

dim

ensõ

es:

com

erci

al,

fin

ance

ira

e

com

pet

ênci

a te

cnoló

gic

a

Em

pre

go

pes

soal

d

e fo

rnec

edor

e co

nti

nu

idad

e d

a re

laçã

o

insu

cess

o

15.

Evan

s (1

993

) P

ersp

ecti

va

lon

git

ud

inal

de

exp

eriê

nci

a d

e li

cen

ciam

ento

d

e u

ma

emp

resa

amer

ican

a

Est

ud

o d

e ca

sos

1/1

(1

00

%)

Lic

enci

ado

Não

exp

lici

tad

o

Pre

par

ação

, em

pen

ham

ento

na

op

eraç

ão,

con

hec

imen

to

do

par

ceir

o

e

com

pat

ibil

idad

e es

trat

égic

a

su

cess

o

16.

Fal

zon

i e

Vie

sti

(199

7)(2

)

An

ális

e d

e 1

2 c

asos

de

tran

sfer

ênci

a d

e

tecn

olo

gia

de

PM

E i

tali

anas

par

a p

aíse

s em

des

envolv

imen

to

Est

ud

o d

e ca

sos

3/1

2 (

25

%)

Fo

rnec

edor

Avali

ação

per

cep

tual

glo

bal

C

om

pat

ibil

idad

e p

esso

al

suce

sso

Red

uzi

do

emp

enh

amen

to,

pou

ca

exp

eriê

nci

a d

o

forn

eced

or

e d

ifer

ença

s

de

atit

ud

e d

e ges

tão

in

suce

sso

17.

Fle

ury

(1

997

) A

nál

ise

de

20

op

eraç

ões

de

aqu

isiç

ão d

e te

cnolo

gia

p

or

emp

resa

s b

rasi

leir

as,

jun

to d

e P

ME

Est

ud

o

de

caso

s.

Tab

elas

7

/20 (

35

%)

Rec

epto

r N

ão e

xp

lici

tad

o

Avali

ação

muit

o p

osi

tiva

do r

esu

ltad

o d

o

lice

nci

amen

to

18.

Fu

e

Per

kin

s (1

99

5)

Det

erm

inan

tes

da

sati

sfaç

ão

dos

inte

rven

ien

tes

no

lice

nci

amen

to

com

bas

e nu

ma

amost

ra

de

146

em

pre

sas

amer

ican

as

Reg

ress

ões

1

46

/14

6 (

100

%)

Lic

enci

ador/

L

icen

ciad

o

Avali

ação

p

erp

ectu

al

glo

bal

d

a op

eraç

ão

Com

un

icaç

ão

adeq

uad

a,

qu

alid

ade,

p

reço

ace

itáv

el d

a te

cnolo

gia

su

cess

o

(lic

enci

ado)

19.

Gir

van

e M

arce

lle

(199

0)

Est

ud

o

de

2

caso

s d

e aq

uis

ição

d

e te

cnolo

gia

p

or

emp

resa

s ja

mai

canas

,

com

res

ult

ados

contr

asta

nte

s

Est

ud

o d

e ca

sos

2/2

(1

00

%)

Lic

enci

ado

Aq

uis

ição

d

e co

mp

etên

cia

tecn

oló

gic

a D

efin

ição

d

e obje

ctiv

os,

ca

pac

idad

e té

cnic

a e

inves

tim

ento

d

o

rece

pto

r

suce

sso

20.

Gle

ason

, M

athu

r e

Sin

gh

(20

00

) E

stim

ativ

as d

os

gan

hos

de

cap

ital

izaç

ão

bols

ista

as

soci

ados

à d

ivu

lgaç

ão

de

op

eraç

ões

de

lice

nci

amen

to

Reg

ress

ões

. A

nál

ise

de

aconte

cim

ento

s 4

31

/43

1 (

100

%)

(57%

inte

rnac

.)

Lic

enci

ador/

L

icen

ciad

o

Acr

ésci

mo

da

cap

ital

izaç

ão

bols

ista

O

s re

sult

ados

mai

s p

osi

tivos

estã

o

asso

ciad

os

a em

pre

sas

envolv

idas

em

lice

nça

s cr

uza

das

.

21.

Hem

mer

t (2

004

) A

qu

isiç

ão d

e te

cnolo

gia

p

or

emp

resa

s

hig

h t

ech

ale

mãs

e j

apon

esas

Reg

ress

ões

. A

nál

ise

fact

ori

al.

Não

exp

lici

tad

o

Rec

epto

r A

vali

ação

per

cep

tual

glo

bal

. D

isp

onib

ilid

ade

de

pes

soal

q

ual

ific

ado

em I

&D

par

a re

cru

tar.

22.

Hoff

man

(19

84

) S

ínte

se d

o e

stu

do s

ob

re t

ran

sfer

ênci

a d

e

tecn

olo

gia

da

ex-C

EE

par

a a

Índ

ia

Tab

elas

. E

stat

ísti

ca

des

crit

iva

265

/47

2 (

56

%)

Fo

rnec

edor

Avali

ação

p

erce

ptu

al

glo

bal

d

a

op

eraç

ão

Dim

ensã

o

e es

tab

elec

imen

to

de

mec

anis

mos

de

contr

olo

pel

o f

orn

eced

or

su

cess

o

23.

Hyd

er

e A

bra

ha

(200

4)

Ap

lica

ção d

e u

m q

uad

ro d

e an

ális

e d

as

alia

nça

s es

trat

égic

as à

exp

eriê

nci

a d

e 4

PM

E s

uec

as

Est

ud

o d

e ca

sos

¼ (

25%

) F

orn

eced

or/

R

ecep

tor

5

crit

ério

s (l

ucro

, cr

esci

men

to,

adap

tab

ilid

ade,

p

arti

cip

ação

con

jun

ta e

sob

reviv

ênci

a)

Fle

xib

ilid

ade,

ad

apta

ção

conte

xtu

al

da

alia

nça

e c

on

fian

ça

suce

sso

24.

John

son (

198

4)

Est

ud

o d

e 3

cas

os

de

lice

nci

amen

to p

or

emp

resa

s te

xti

l n

ort

e-am

eric

ana

Est

ud

o d

e ca

so

3/3

(1

00

%)

Lic

enci

ador/

L

icen

ciad

o

Não

exp

lici

tad

o

Conh

ecim

ento

d

o

par

ceir

o,

rela

cion

amen

to

conti

nu

ado

e co

nfi

ança

tua

suce

sso

25.

Kn

ott

(19

84

) E

stud

o d

e ca

so d

e em

pre

sa a

lem

ã q

ue

se

inte

rnac

ional

izou

pel

o l

icen

ciam

ento

E

stud

o d

e ca

so

1/1

(1

00

%)

Lic

enci

ador

Não

exp

lici

tad

o

Fo

rmaç

ão

e re

laci

on

amen

to

con

tinu

ado

suce

sso

26.

Ku

mar

(1

995

) A

nál

ise

da

exp

eriê

nci

a d

e tr

ansf

erên

cia

de

tecn

olo

gia

en

tre

a A

lem

anha

e a

Índ

ia, u

ma

per

spec

tiva

de

apre

nd

izag

em

Reg

ress

ões

. T

abel

as

85/5

2 (

61

%)

Rec

epto

r A

pre

nd

izag

em

de

com

pet

ênci

as

tecn

oló

gic

as e

com

erci

ais

Qu

ota

d

e m

erca

do

loca

l,

fam

ilia

ridad

e

mer

cad

o

e ex

per

iên

cia

pro

du

tiva

lice

nci

ado

suce

sso

27.

Ku

mar

e

Ney

er

Fo

rmas

org

aniz

acio

nai

s d

e tr

ansf

erên

cia

Tab

elas

. E

stat

ísti

ca

10/2

0 (

50

%)

Fo

rnec

edor

Avali

ação

p

erce

ptu

al

glo

bal

d

a E

xp

eriê

nci

a in

tern

acio

nal

, qu

alid

ade

da

Page 211: SUCESSO E INSUCESSO NO LICENCIAMENTO - UTL ...

205

(199

2)

de

tecn

olo

gia

d

e P

ME

al

emãs

par

a

paí

ses

em d

esen

volv

imen

to

des

crit

iva

op

eraç

ão

tecn

olo

gia

e

cres

cim

ento

mer

cad

o

suce

sso

Dif

eren

ças

cult

ura

is

in

suce

sso

28.

Ku

mar

e

Ste

inm

an (

19

97

)

Exp

eriê

nci

a d

e ex

port

ação

d

e

tecn

olo

gia

de

PM

E a

lem

ãs p

ara

paí

ses

em d

esen

volv

imen

to

Tab

elas

. E

stat

ísti

ca

des

crit

iva

10/2

0 (

50

%)

Fo

rnec

edor

Avali

ação

p

erce

ptu

al

glo

bal

d

a

op

eraç

ão

Lic

ença

s co

nd

uze

m

a m

elhore

s

resu

ltad

os

Qu

alid

ade

da

tecn

olo

gia

su

cess

o

29.

Las

serr

e (1

98

1a)

E

stra

tégia

s d

os

par

ceir

os

no s

uce

sso d

a

tran

sfer

ênci

a d

e te

cnolo

gia

en

tre

emp

resa

s eu

rop

eias

e d

a A

SE

AN

Est

ud

o d

e ca

sos

6/3

3 (

18

%)

Am

bos

Avali

ação

p

erce

ptu

al

glo

bal

d

a

op

eraç

ão

Pre

par

ação

, co

nh

ecim

ento

d

o

par

ceir

o,

rela

cion

amen

to

conti

nuad

o

e

com

pat

ibil

ilid

ade

estr

atég

ica

suce

sso

30.

Las

serr

e (1

981b

) A

nál

ise

de

32

cas

os

de

tran

sfer

ênci

a d

e

tecn

olo

gia

entr

e em

pre

sas

euro

pei

as e

a

AS

EA

N

Est

ud

o d

e ca

sos

6

/32 (

19

%)

Am

bos

Avali

ação

p

erce

ptu

al

glo

bal

d

a

op

eraç

ão

Lic

ença

s co

nd

uze

m a

pio

res

resu

ltad

os

Ad

apta

ção á

en

volv

ente

é i

mp

ort

ante

31.

Lee

, L

ee e

Bob

e (1

99

3)

Est

ud

o

de

32

ca

sos

de

coop

eraç

ão

tecn

oló

gic

a en

tre

emp

resa

s eu

rop

eias

e

core

anas

Reg

ress

ões

. C

orr

elaç

ões

1

4/3

3 (

44

%)

Rec

epto

r N

ão e

xp

lici

tad

o

Def

iniç

ão

clar

a d

e obje

ctiv

os,

es

forç

o

tecn

oló

gic

o

e co

mp

etên

cia

pro

duti

va

e

com

pat

ibil

idad

e es

trat

égic

a

su

cess

o

32.

Lin

(200

3)

Exp

eriê

nci

a d

e 84 e

mp

resa

s d

a F

orm

osa

n

a aq

uis

ição

de

tecn

olo

gia

est

ran

gei

ra

Reg

ress

ões

N

ão e

xp

lici

tad

o

Rec

epto

r A

pre

nd

izag

em te

cnoló

gic

a co

mo

med

ida

com

pósi

ta

a p

arti

r d

e 7

iten

s

Inves

tim

ento

em

ca

pit

al

e re

curs

os

hu

man

os

e in

teli

gên

cia

org

aniz

acio

nal

suce

sso

(med

iad

o p

ela

ambig

uid

ade

cau

sal)

33.

Lin

, T

an e

Ch

ang

(200

2)

Exp

eriê

nci

a d

e aq

uis

ição d

e te

cnolo

gia

estr

angei

ra

por

104

em

pre

sas

da

Fo

rmosa

(q

uím

ica

e el

ectr

ón

ica)

An

ális

e fa

ctori

al.

Dif

eren

ça d

e m

édia

s

Não

exp

lici

tad

o

Rec

epto

r A

vali

ação

com

7 i

ten

s re

flec

tind

o

capac

idad

e

exec

uçã

o,

com

pet

ênci

as

e re

sult

. fi

nan

ceir

oro

s

Com

pat

ibil

idad

e cu

ltu

ral,

ca

pac

idad

e

abso

rção

d

o

rece

pto

r,

mec

anis

mos

de

inte

r-ac

ção e

am

biç

ões

pes

soal

I&

D

su

cess

o

34.

Lyn

skey

(1

99

9)

An

ális

e lo

ngit

udin

al

do

acord

o

de

coop

eraç

ão t

ecn

oló

gic

a en

tre

a F

uji

tsu

e

a IC

L

Est

ud

o d

e ca

so

1/1

(1

00

%)

Inic

ialm

ente

Am

bos

(Rel

ação

)

Avali

ação

co

nju

nta

d

a op

eraç

ão

(em

bora

co

m

ênfa

se

na

da

tecn

olo

gia

)

Inte

nçã

o

estr

atég

ica,

re

cep

tivid

ade,

tran

sfer

ibil

idad

e e

tran

spar

ênci

a

suce

sso

35.

Mar

cott

e e

Nio

si

(200

0)

An

ális

e d

e 2

8 c

asos

de

forn

ecim

ento

de

tecn

olo

gia

de

emp

resa

s ca

nad

ian

as p

ara

a C

hin

a

Est

atís

tica

s d

escr

itiv

as.

Tab

elas

Não

exp

lici

tad

o

Fo

rnec

edor/

Rec

epto

r

Aq

uis

ição

d

e ca

pac

idad

es

tecn

oló

gic

as p

elo r

ecep

tor

En

volv

imen

to d

o r

ecep

tor

e au

sên

cia

de

pro

ble

mas

de

com

pat

ibil

idad

e cu

ltu

ral

aqu

isiç

ão d

e ca

pac

idad

e co

nce

pçã

o p

elo

re

cep

tor

36. M

árq

uez

(19

97

) A

nál

ise

de

17

op

eraç

ões

de

aqu

isiç

ão d

e

tecn

olo

gia

p

or

emp

resa

s m

exic

anas

e

PM

E e

stra

ngei

ras

Tab

elas

.

Est

atís

tica

s d

escr

itiv

as

7/1

7 (

41

%)

Rec

epto

r A

vali

ação

p

erce

ptu

al

glo

bal

d

a

op

eraç

ão

Reg

ula

men

taçã

o

da

imp

ort

ação

tecn

olo

gia

e

inst

abil

idad

e co

nte

xto

econ

óm

ico c

om

o p

rob

lem

as

37. M

arsh

(198

3)

Est

ud

o

de

caso

s d

e em

pre

sas

amer

ican

as

sob

re

razõ

es

do

insu

cess

o

do l

icen

ciam

ento

Est

ud

o d

e ca

sos

(100

%)

Am

bos

Avali

ação

p

erce

ptu

al

glo

bal

d

a

op

eraç

ão

Conh

ecim

ento

m

erca

do,

tecn

olo

gia

e

par

ceir

o,

rela

ção

conti

nuad

a e

envolv

imen

to d

o l

icen

ciad

or

suce

sso

38.

Nio

si (

199

7)

An

ális

e d

e 3

0 c

asos

de

tran

sfer

ênci

a d

e te

cnolo

gia

d

e P

ME

ca

nad

ianas

par

a

paí

ses

em d

esen

volv

imen

to

Tab

elas

E

stat

ísti

ca d

escr

itiv

a 1

7/3

0 (

57

%)

Fo

rnec

edor

Nív

el d

e sa

tisf

ação

dos

obje

ctiv

os

Qu

alid

ade

ges

tão

emp

resa

re

cep

tora

, d

imen

são

do

forn

eced

or

e es

tabil

idad

e

paí

s re

cep

tor

su

cess

o

39.

Nio

si,

Han

el

e F

iset

(1

995

) F

acto

res

de

suce

sso d

e 5

0 p

roje

ctos

de

tran

sfer

ênci

a in

tern

acio

nal

d

e

tecn

olo

gia

por

emp

resa

s ca

nad

ianas

de

engen

har

ia

Tab

elas

. R

egre

ssõ

es.

Est

atís

tica

não

par

amét

rica

Não

exp

lici

tad

o

Fo

rnec

edor/

R

ecep

tor

Aq

uis

ição

d

e co

mp

etên

cias

te

cnoló

gic

as p

elo r

ecep

tor

Des

envo

lvim

ento

de

I&D

pel

o r

ecep

tor,

re

du

zid

as

rest

riçõ

es

adm

inis

trat

ivas

e

apoio

téc

nic

o

suce

sso

40.

Sco

tt-K

emm

is

e

Bel

l (1

988

)

An

ális

e d

o p

roce

sso d

e tr

ansf

erên

cia

de

tecn

olo

gia

na

per

spec

tiva

da

aqu

isiç

ão

Est

ud

o d

e ca

sos

N

ão e

xp

lici

to

Rec

epto

r O

bte

nçã

o

de

com

pet

ênci

as

tecn

oló

gic

as p

elo r

ecep

tor

Def

iniç

ão

de

ob

ject

ivos,

p

rep

araç

ão,

esfo

rço t

ecn

oló

gic

o e

cap

acid

ade

técn

ica

Page 212: SUCESSO E INSUCESSO NO LICENCIAMENTO - UTL ...

206

de

cap

acid

ade

tecn

oló

gic

a (9

3 c

ontr

atos

Rei

no U

nid

o/Í

nd

ia)

e d

e g

estã

o d

o r

ecep

tor,

em

pen

ham

ento

do

forn

eced

or

e re

laci

on

amen

to

con

tinu

ado e

equ

ilib

rad

o

suce

sso

41.

Ste

enh

eis

e D

e

Bru

iju

(200

2)

An

ális

e d

e 4

ca

sos

de

tran

sfer

ênci

a

inte

rnac

ional

de

tecn

olo

gia

na

indú

stri

a ae

ron

áuti

ca

Est

ud

o d

e ca

sos

Não

exp

lici

tad

o

Rec

epto

r C

om

par

ação

en

tre

curv

as

de

apre

nd

izag

em p

revis

ta e

rea

l

Fal

ta d

e ex

per

iên

cia

do r

ecep

tor

com

a

tecn

olo

gia

i

nsu

cess

o

42.

Sven

sson

(19

84

) E

xp

eriê

nci

a d

e li

cenci

amen

to e

m P

ME

suec

as

Reg

ress

ões

.

Est

ud

o d

e ca

sos

50/5

0 (

10

0%

) L

icen

ciad

o

Com

erci

al:

intr

odu

ção

no

mer

cad

o

Fin

ance

iro r

end

imen

tos

>cu

stos

Red

uzi

da

dim

ensã

o

lice

nci

ador,

forn

ecim

ento

de

com

pon

ente

s, e

stra

tégia

lice

nci

ador

e ro

yalt

ies

bai

xas

su

cess

o

com

erci

al

Fam

ilia

ridad

e co

mer

cial

, ro

yalt

ies

bai

xas

e

rela

ção

conti

nuad

asu

cess

o

fin

ance

iro

43.

Tro

tt,

Cord

ey-

Hey

es

e S

eato

n

(199

5)

An

ális

e d

o

pro

cess

o

de

aquis

ição

d

a

tecn

olo

gia

exte

rna

pel

oa

ICI

(2 c

asos)

Est

ud

o d

e ca

sos

Não

exp

lici

tad

o

Rec

epto

r S

uce

sso

tran

sfer

ênci

a in

tern

a d

e

tecn

olo

gia

Def

iniç

ão c

lara

de

ob

ject

ivos,

aval

iaçã

o

da

tecn

olo

gia

, es

forç

o

tecn

oló

gic

o

e ca

pac

idad

e ab

sorç

ão

su

cess

o

44.

Wel

ch e

Car

stai

rs

(198

3)

An

ális

e d

a ex

per

iên

cia

de

lice

nci

amen

to

de

43

em

pre

sas

aust

rali

anas

Tab

elas

.

Est

ud

os

de

caso

s

43/4

3 (

10

0%

) L

icen

ciad

or

N

ão e

xp

lici

tad

o

Conh

ecim

ento

dos

par

ceir

os,

con

fian

ça,

rela

ção

con

tinu

ada,

qu

alid

ade

da

tecn

olo

gia

e

emp

enh

amen

to

do

lice

nci

ador

suce

sso

45.

Wh

ite

e C

amp

os

(199

7)

An

ális

e d

e 20

caso

s d

e aq

uis

ição

d

e

tecn

olo

gia

p

or

emp

resa

s ar

gen

tin

as

a P

ME

Tab

elas

.

Est

atís

tica

des

crit

iva

15/2

0 (

75

%)

Lic

enci

ado

Avali

ação

p

erce

ptu

al

glo

bal

d

a

op

eraç

ão (

gra

u d

e sa

tisf

ação

)

Insu

fici

ente

qu

alid

ade

da

info

rmaç

ão

tran

smit

ida,

m

ud

ança

s n

a es

trutu

ra

da

pro

pri

edad

e d

os

forn

eced

ore

s e

falt

a d

e

fam

ilia

ridad

e m

erca

do

in

suce

sso

46.

Wie

der

shei

m-

Pau

l (1

98

2)

Est

ud

o

de

12

ca

sos

de

lice

nci

amen

to

por

emp

resa

s su

ecas

T

abel

as.

Est

atís

tica

des

crit

iva

12/1

2 (

10

0%

) A

mb

os

Avali

ação

p

erce

ptu

al

glo

bal

d

a op

eraç

ão p

elos

dois

par

ceir

os

Rel

acio

nam

ento

con

tinuad

o,

com

ple

men

tari

dad

e d

e in

tere

sses

e

con

fian

ça m

útu

a

suce

sso

47.

Yin

(1

992

) T

este

de

mod

elo

de

anál

ise

de

fact

ore

s

de

suce

sso n

a aq

uis

ição

de

tecn

olo

gia

, co

m b

ase

em 1

16 o

per

ações

efe

ctu

adas

por

emp

resa

s ch

ines

as

Reg

ress

ões

7

0/1

16

(6

0%

) R

ecep

tor

Su

cess

o f

inan

ceir

o

Inves

tim

ento

na

I&D

, in

ten

sid

ade

da

con

corr

ênci

a e

aquis

ição

te

cnolo

gia

in

corp

ora

da

su

cess

o

1.

Não

rep

ort

ámos

o a

rtig

o d

e A

tuah

ene-

Gim

a e

Pat

ters

on

(199

2)

um

vez

qu

e in

cid

iria

bas

icam

ente

sob

re a

mes

ma

amost

ra e

ch

egou

a r

esu

ltad

os

idên

tico

s.

2.

Não

rep

ort

ámos

Fal

zon

i e

Vie

sti

(1989

), p

or

inci

dir

sob

re a

mes

ma

amost

ra d

e op

eraç

ões

.

Page 213: SUCESSO E INSUCESSO NO LICENCIAMENTO - UTL ...