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JISTEM JOURNAL OF INFORMATION SYSTEMS AND TECHNOLOGY MANAGEMENT REVISTA DE GESTÃO DA TECNOLOGIA E SISTEMAS DE INFORMAÇÃO

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ISSN: 1807-1775

Volume 10 : Number 2 : 2013

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JISTEM Journal of Information Systems and Technology Management Revista da Gestão da Tecnologia e Sistemas de Informação ISSN online: 1807–1775

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Universidade de São Paulo – FEA USP Prof. Dr. João Grandino Rodas – USP Reitor/Rector Prof. Dr. Hélio Nogueira da Cruz – USP Vice-Reitor/Vice-Rector Prof. Dr. Reinaldo Guerreiro - Diretor da FEA/Dean of FEA Editor Prof. Dr. Edson Luiz Riccio, University of São Paulo – FEA, São Paulo Brazil Assistant Editor Marici Gramacho Sakata, TECSI University of São Paulo – FEA, São Paulo Brazil Editorial Board – Comitê de Política Editorial Armando Malheiro da Silva, University of Porto, Porto, Portugal Christophe Benavent, Université Paris Ouest Nanterre La Defense, Paris, France Henrique Freitas, Federal University of Rio Grande do Sul, Rio Grande do Sul, Brazil JaeJon Kim, Chonnam National University, Gwangju, Korea Luc Marie Quoniam, University Paris 8, Paris, France Michael D. Myers, University of Auckland, Auckland, New Zealand Miklos Vasarhelyi, Rutgers Business School, New Jersey, USA Rejane Maria da Costa, University of Brasilia, DF, Brazil Robert D. Galliers, Bentley College, Massachusetts, USA Editorial Review Board – Comitê Científico Editorial Adam Mazurkiewicz, Instytut Technologii Eksploatacji, Poland Adalberto A. Fischmann, University of São Paulo, São Paulo, Brazil Antonio Carlos dos Santos, Federal University of Sao Carlos, São Carlos, Brazil Birger Hjorland, Royal School of Lis, Copenhagen, Denmark Burak Arzova, Marmara University, Istanbul, Turquia Dennis F. Galletta, University of Pittsburgh, Pittsburgh, USA Emerson Maccari, Uninove, Sao Paulo, Brazil Fabio Frezatti, University of São Paulo, São Paulo, Brazil Fernando Colmenero Ferreira, University of Madeira, Madeira, Portugal Geraldo Lino de Campos, University of Sao Paulo, Sao Paulo, Brazil Gilson Schwartz, University of Sao Paulo, Sao Paulo, Brazil Guilherme Ari Plonski, University of São Paulo, São Paulo, Brazil Jan Capek, Univerzita Pardubice, Pardubice, Czech Republic Jose Dutra de Oliveira Neto, University of Sao Paulo, Sao Paulo, Brazil José Rodrigues Filho, Universidade Federal da Paraíba, Paraíba, Brazil Miguel Juan Bacic, University of Campinas, Campinas, Brazil Napoleão Verardi Galegale, Centro Paula Souza and Galegale Associados, Sao Paulo, Brazil Rosana Grillo Gonçalves, University of Sao Paulo, São Paulo Brazil Salvador Ruiz-de-Chavez, APCAM, Ciudad de Mexico, Mexico Published by TECSI - Laboratório de Tecnologia e Sistemas de Informação - Revista de Gestão da Tecnologia e Sistemas de Informação - EAC FEA USP Av. Prof. Luciano Gualberto, 908 FEA 3, Cidade Universitária - São Paulo/SP 05508-900 Brasil Fone: 55-11-3091 5820 r.190 Fax: 55-11-3091 5820 jistem@usp.br Indexation/Directories SciELO, Latindex, Proquest, Ulrich's Periodical Directory, DOAJ, The Index of Information Systems Journals, ACPHIS, Dialnet, Ebsco, Gale Infotrac, CLASE, Portal de Periódicos USP, Qualis CAPES, Cabell's Directory Webmaster jistem@usp.br Technical Support Equipe TECSI pesquisatecsi@usp.br Terms and Conditions The license lets others distribute, remix, tweak, and build upon your work, even commercially, as long as they credit you for the original creation. This is the most accommodating of licenses offered. Recommended for maximum dissemination and use of licensed materials. Direitos e Permissão Os artigos são de total responsabilidade dos autores e todos os direitos reservados ao TECSI. Esta licença permite que outros distribuam remixem e construam sobre a sua obra, mesmo comercialmente, desde que lhe deem crédito pela criação original.

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JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No.2, May/Aug, 2013, pp. 203-204 ISSN online: 1807-1775

Volume 10: Number 2 / Volume 10: Número 2

2013

Content / Índice

203-204

Editorial

205-208

1

Antecedents to website satisfaction, loyalty, and word-of-mouth Brent Coker, University of Melbourne, St Victoria, Australia

209-218

2

The Evaluation and Improvement of IT Governance Patricia Pérez Lorences, Lourdes Francisca García Ávila, Central University "Marta Abreu" from Las Villas, Santa Clara, Cuba

219-234

3

Using university ranking systems to predict usability of University websites Layla Hasan, Zarqa University, Zarqa, Jordan

235-250

4

Information architecture analysis using business intelligence tools based on the information needs of executives Fabrício Sobrosa Affeldt, Sady Darcy da Silva Junior, Federal Institute of Education, Science and Technology of Rio Grande do Sul, Porto Alegre, Rio Grande do Sul, Brazil

251-270

5

The impact of it governance on it projects -the case of the ghana rural bank computerization and inter-connectivity project William Allassani, University of Professional Studies, Legon-Accra, Ghana

271-286

6

Legitimation implications in the process of implementing an ERP system in a holding company Viviane Theiss, Nayane Thais Krespi, Carlos Eduardo Facin Lavarda Regional University of Blumenau, Blumenau, Santa Catarina, Brazil

287-302

7

Do Information and Communication Technology access and innovation increase outsourcing in small and medium enterprises? María Verónica Alderete, Universidad Nacional del Sur IIESS-CONICETUniversidad Nacional del Sur, Bahía Blanca, Argentina

303-322

8

A critical review of knowledge management in software process reference models Ernesto Galvis-Lista, Universidad del Magdalena, Santa Marta, Colombia Jenny Marcela Sánchez-Torres, Universidad Nacional de Colombia, Bogotá, Colombia

323-338

9

Achieving maturity (and measuring performance) through model-based process improvement Jose Marcelo Almeida Prado Cestari, Arthur Maria do Valle, Edson Pinheiro de Lima, Eduardo Alves Portela Santos, Pontifical Catholic University of Parana, Curitiba, Parana, Brazil

339-356

10

Measurement process of software development projects for supporting strategic business objectives in software developing companies

357-376

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


2 Content / Indice

Sandra Laís Pedroso, Leonardo Rocha de Oliveira, Pontifical Catholic University of Rio Grande do Sul - PUCRS, Porto Alegre, Rio Grande do Sul, Brazil 11

Information technology as a technical resource for the memories: memories of UNATI-Marília in the virtual environment Simone Borges Paiva , University of São Paulo, Sao Paulo, Sao Paulo, Brazil Maria Candida Soares Del-Masso, UNESP Sao Paulo State University, Marília, Sao Paulo, Brazil

377-388

12

Integración de los algoritmos de minería de datos 1R, PRISM E ID3 A POSTGRESQL Yadira Robles Aranda, Anthony R. Sotolongo, Universidad de las Ciencias Informáticas, Ciudad de la Habana, Cuba

389-406

Resultados do 10º. CONTECSI / Outcomes of the 10th CONTECSI – International Conference on Information Systems and Technology Management Edson Luiz Riccio, Universidade de São Paulo, São Paulo, Sao Paulo, Brazil Marici Gramacho Sakata, TECSI/University of Sao Paulo, São Paulo, Sao Paulo, Brazil Nelma Terezinha Zubek Valente, Universidade Estadual de Ponta Grossa, Parana, Brazil Ligia Capobianco, TECSI FEA USP, Universidade de São Paulo, São Paulo, Sao Paulo, Brazil Events / Eventos

456

Contributions / Submissão de Artigos

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407- 455

457-458

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JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol.10, No.2, May/Aug, 2013, pp. 205-208 ISSN online: 1807-1775

Editorial Edson Luiz Riccio Editor

Celebrating the 10th anniversary of JISTEM and of CONTECSI Dear readers, authors, peer reviewers, collaborators, colleagues and friends. We keep on celebrating the 10th anniversary of CONTECSI and of JISTEM, through this second issue of 2013. 10th CONTECSI Once again, the 10th CONTECSI 2013 congregated an international community of researchers and professionals from 14 countries and 17 Brazilian states. Out of the 350 submitted papers, 146 were chosen to be presented in parallel sessions and in the 67th “research forum”. The presence of international and Brazilian renowned speakers enabled the effective sharing of knowledge among the participants. In this JISTEM´s ISSUE we published the full Report of the 10th CONTECSI, which shows all the congress content in detail. JISTEM The first issue of JISTEM was published in 2004. Up until the present one, 27 issues have been published uninterruptedly, with a total of 215 high quality papers. Over the years, JISTEM has gained strength as an international journal, presenting through every single issue, a high number of papers written by authors from foreign countries. I would like to thank and pay homage to all of those who, one way or another, have taken part in this success. Papers for this issue Best papers of 10th CONTECSI Similarly to all the previous years, in the second issue of JISTEM we publish the best papers from CONTECSI - International Conference on Information Systems and Technology Management.

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Editorial, Vol. 10 No. 02, 2013

Therefore, in this second issue, volume 10 of JISTEM, two of the best papers presented at the 10th CONTECSI, which took place June 12-14, 2013, at FEA USP, SP/Brazil, as follows: Antecedents to website satisfaction, loyalty, and word-of-mouth by Brent Coker University of Melbourne, Victoria, Australia. Information technology as a technical resource for the memories: memories of UNATI-Marília in the virtual environment de Simone Borges Paiva - University of São Paulo and Maria Candida Soares Del-Masso – UNESP - Sao Paulo State University, Marília, São Paulo, Brazil Foreign author´s papers JISTEM keeps its national and international scope. The research papers published in this issue are from foreign authors, as follows: Australia, Argentina, Cuba, Jordan, Ghana and Colombia. Topics The main topics in this issue are Governance in IT, Website use and satisfaction, BI, software development, ICT, model-based process, ERP system, knowledge management and Data Mining. Lastly, as we usually do, we are publishing the Report of the Outcomes of The 10 CONTECSI. th

We wish you all good reading.

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Editorial, Vol. 10, No. 02 2013

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Editorial Edson Luiz Riccio Editor Comemoração dos dez anos da JISTEM e do CONTECSI Prezados leitores, autores, pareceristas, colaboradores, colegas e amigos. Continuamos a comemorar com esta segunda edição de 2013 os 10 anos do CONTECSI e da JISTEM. 10th CONTECSI O 10º CONTECSI – 2013, mais uma vez reuniu uma comunidade internacional de pesquisadores e profissionais de 14 países e 17 estados brasileiros. Do total de 350 trabalhos recebidos, 146 foram selecionados para apresentação nas seções paralelas e 67 no “research forum”. A presença de palestrantes internacionais e nacionais de renome possibilitou eficaz compartilhamento de conhecimentos entre todos os participantes. Nesta edição da JISTEM publicamos o Relatório completo do 10º CONTECSI que apresenta detalhadamente todo o conteúdo do congresso. JISTEM A JISTEM teve sua primeira edição em 2004. Até a presente edição, foram publicadas ininterruptamente 27 edições com um total de 215 artigos da mais alta qualidade. Ao longo dos anos, a JISTEM firmou-se como uma revista internacional apresentando a cada edição, uma elevada quantidade de artigos de autores de países estrangeiros. Aproveitamos para agradecer e homenagear a todos os que de uma forma ou de outra participaram desse sucesso. Renovamos nossos propósitos de trabalhar para manter a JISTEM dentro dos mais altos padrões de qualidade internacionais. Artigos desta Edição Melhores artigos do 10º CONTECSI Como ocorre todos os anos, na segunda edição da JISTEM publicamos os melhores trabalhos do CONTECSI - International Conference on Information Systems and Technology Management.


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Editorial, Vol. 10 No. 02, 2013

Assim, nesta segunda edição do volume 10 da JISTEM são apresentados dois dos melhores trabalhos apresentados no 10th CONTECSI ocorrido em 12 a 14 de Junho de 2013 na FEA USP, SP/Brasil, a saber: Antecedents to website satisfaction, loyalty, and word-of-mouth by Brent Coker University of Melbourne, Victoria, Australia. Information technology as a technical resource for the memories: memories of Unati-Marília in the virtual environment de Simone Borges Paiva - University of São Paulo and Maria Candida Soares Del-Masso – UNESP - Sao Paulo State University, Marília, São Paulo, Brazil Artigos de autores estrangeiros A JISTEM mantem sua abrangência internacional e nacional. Seis dos doze trabalhos publicadas nesta edição são de pesquisadores residentes no exterior, a saber: Austrália, Argentina, Cuba, Jordânia, Gana, e Colômbia. Temas Os principais temas desta edição são Governança em TI, uso de Websites e satisfação, BI, desenvolvimento de software, TIC, Model-Based Process, ERP system, Knowledge Management e Data Minig. Por fim, como fazemos tradicionalmente, publicamos o documento Relatório de Resultados do 10º CONTECSI. A todos, desejamos uma boa leitura.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.209-218 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200001

ANTECEDENTS TO WEBSITE SATISFACTION, LOYALTY, AND WORD-OF-MOUTH Brent Coker University of Melbourne, St Victoria, Australia __________________________________________________________________________

ABSTRACT Satisfaction, loyalty, and likelihood of referral are regarded by marketers and the Big Three diagnostics leading to retail profitability. However, as yet no-one has developed a model to capture all three of these constructs in the context of the internet. Moreover, although several attempts have been made to develop models to measure quality of website experience, no-one has sought to develop an instrument short enough to be of practical use as a quick customer satisfaction feedback form. In this research we sought to fill this void by developing and psychometrically testing a parsimonious model to capture the Big Three diagnostics, brief enough to be used in a commercial environment as a modal popup feedback form. Keywords: website quality measurement, online satisfaction, internet purchase intention

1.

INTRODUCTION

Despite the relative maturity of E-commerce, online sales continue to grow at a phenomenal rate (U. S. Census Bureau, 2010). Recent forecasts from Forrester predict online retail sales will grow to $250 Billion by 2014, accounting for 8 percent of all retail sales in the US. Already, 44 percent of computers, apparel, and consumer electronics are purchased online (Forrester, 2009), highlighting the importance of the internet as a retail channel for many industries. Since the late nineties, academics and practitioners alike have recognised the similarities between quality of experience using an e-commerce website, and quality of experience in a physical retail store. Ultimately the common function of both channels is to facilitate search, evaluation, and transaction (Teo and Yeong, 2003, Alba et al., 1997). Accordingly, well established marketing constructs known to affect the profitability of traditional channels such as customer satisfaction (Anderson and _____________________________________________________________________________________ Manuscript first received/Recebido em 01/01/2013 Manuscript accepted/Aprovado em: 01/04/2013 Address for correspondence / Endereço para correspondência Brent Coker, Doctor of Philosophy (Electronic Commerce), Victoria University of Wellington, (2007) Bachelor of Commerce and Administration (Honours), Victoria University of Wellington, (2003) Bachelor of Commerce and Administration, Victoria University of Wellington, (2002). University of Melbourne, Department of Management & Marketing Level 09, The Spot 198 Berkeley St. Victoria, Australia. His research focuses on explaining and predicting consumer behaviour on the internet, and identifying critical success factors contributing to the success of internet business. E-mail: bcoker@unimelb.edu.au Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


210 Coker, B.

Sullivan, 1993), loyalty (Dick, 1994), and likelihood of referral (Anderson, 1998) have been identified as important to evaluate the quality of website experience (e.g., Balasubramanian et al., 2003, Gruen et al., 2006, Shankar et al., 2003). The difference however is how these important variables are shaped. Issues of trust (Ba and Pavlou, 2002), ease of use (Gefen et al., 2003), information content and design (Ranganathan and Ganapathy, 2002), and load speed (Ramsay et al., 1998) are all important factors affecting the quality of website experience, potentially impacting customer satisfaction. Given the rapid growth of e-commerce and the importance of understanding customer behaviour online, several attempts have been made at developing models that measure and explain website experience quality (e.g., Loiacono et al., 2007, Yoo and Donthu, 2001, Barnes and Vidgen, 2001). However, despite these attempts, there has yet been a parsimonious model developed to explain and predict the relationships between satisfaction, loyalty, and likelihood of referral. Moreover, most models that have been developed to measure website experience quality consist of too many questions to be of practical use for deployment as a customer satisfaction survey tool. Existing models to evaluate website quality, although accurate, are typically very long, designed to capture a wide range of website quality elements not necessarily related to satisfaction, loyalty, or likelihood of referral. The WebQual scale for example consists of 36 items tapping 12 constructs to measure intentions to re-use the website (Loiacono et al., 2007). The SiteQual scale, although parsimonious with just nine items, measures intent to return but not the important antecedents shaping satisfaction, loyalty, and likelihood of referral (Yoo and Donthu, 2001). As customer satisfaction, loyalty, and likelihood of referral are central to diagnosing service quality for Marketers, this research seeks to identify and test the key factors influencing these constructs in an online shopping environment. Moreover, the present research aims to produce a model to explain and measure these constructs that are parsimonious enough to have practical usage as a quick online satisfaction feedback form. This study makes two main contributions. First, this study is the first to develop a single model to assess website satisfaction, loyalty, and likelihood of referral after a website experience. Second, this research is also the first to develop a short website customer satisfaction form that has practical usage in the field. Our model, while parsimonious, successfully captures the antecedents and variance of the three key variables central to diagnosing service quality for Marketers variables. We validate our model using 168 participants engaged in an online shopping exercise, who are then instructed to complete our feedback form after a web browsing experience. The following section reviews relevant literature pertaining to the measurement of website experience quality. We then develop a set of hypotheses that define the relationships in our model. We then present the results of our model tests, followed by a discussion of the results. 2. CONCEPTUAL FRAMEWORK AND HYPOTHESES DEVELOPMENT In the present research we define satisfaction as the “positive emotions consumers derive from their consumption experiences with firms� (Oliver,1999). The concept of satisfaction fits the principles of classical conditioning, whereby rewards lead to repeat behaviour. Put in the context of Marketing, when customers are rewarded

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with a satisfying purchase experience, they are encouraged to return to the same vendor next time a need to purchase the same object is evoked (Andersen & Sullivan, 1993; Kotler, 1999). Customer satisfaction programs are sometimes clasified as a defensive marketing strategy where the focus is on customer retention. This is in contrast to offensive marketing strategies such as new product developments, advertising and line expansions where the focus is on direct recruitment (Fornell and Wernerfelt, 1987). Defensive marketing strategies are often preferable because attracting new customers through offensive marketing strategies is more expensive than retaining existing customers implementing customer satisfaction programs. Moreover, increasing customer retention rates by 5% increases profits by 25% to 95% (Reichheld and Schefter, 2000). Navigation Website navigation is a critical component of website experience. Based on Davies (1989) Technology Acceptance Model (TAM), consumer adoption of technology is based on perceived ease of use. In the context of online retailers, this use of technology would refer to the perceived ease at which consumers are able to explore the website and find what they are looking for (Yoo and Donthu 2001). Thus, websites with good navigation mechanisms such as functional links and a well-organized lay-out enhances overall website usage and information search (Palmer 2002). Yoo and Donthu (2001) and Todd and Benbasat (1992) found that a positive correlation exists between customer perceptions of website navigation and satisfaction with website performance. Further support is provided by Huizingh and Hoekstra (2003) who found that navigation had a direct influence on consumer attitudinal changes towards websites. Therefore, this study proposes that perceptions of navigation have a significant influence on satisfaction towards website experience, leading to the first hypothesis of this study Hypothesis 1: Ease of navigation is positively correlated with customer satisfaction. Hypothesis 2: Ease of search is positively correlated with customer satisfaction Website Performance Another key factor impacting consumer attitudes towards website experience is perceptions of website performance. Kim, Fiore and Lee (2007) found that consumer perceptions of online stores were negatively influenced by broken links and slow downloading speed. As technical functionality has a direct impact on other website experience attributes, such as ease of navigation, poor performance in this aspect has a detrimental impact on overall website experience amongst consumers ( Zviran, Gleezer and Avni, 2006) In addition to technical functionality, website performance is also influenced by how attractive, i.e. aesthetically pleasing, websites are (Lii, Lim and Tseng 2004). Without tangible cues such as a physical store front and product demonstrations, website aesthetics such as a well-organized layout and animated presentations demonstrating the product in action is critical in cognitive engagement and inducing positive associations with websites (Wang, Hong and Lou, 2010).

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Therefore, it is theorized that technical performance and website aesthetics drive consumer evaluations of website performance, and consumer perceptions of website performance is an important driver of website experience satisfaction, leading to the next hypothesis of this study: Hypothesis 3: Website Load Speed is positively correlated with customer satisfaction Hypothesis 4: Visual Appeal is positively correlated with customer satisfaction Content Content is one of the most important influences on perceptions of website experience. With the absence of tangibility on the Internet, the key driver of consumer traffic online would be the subject matter available that is relevant to consumer needs or goals (Jin and Kim 2010). In the context of e-retailers, the subject matter, or content, consumers are interested in would be information, for e,g, product and pricing information. Loiacano et al (2007) found strong evidence that a positive correlation exists between evaluations of information fit to task and tailored information with consumer intentions to re-visit and re-purchase. In addition to relevancy, the novelty and quality of content helps to further enrich consumer experiences whilst on websites. As opposed to a website that contains plain text, a website with the right combination of animated graphics, videos and text would provide a far more enriching and valuable experience to consumers, and evidence have found higher satisfaction levels for the latter website (Wang, Hong and Lou 2010). Moreover, intuition would suggest that consumers would be dissatisfied with websites with incomplete or incorrect information. Indeed, Liu et al (2008) found evidence to prove information quality has a positive correlation with overall customer website satisfaction. Morover, this study further proposes that novel content which is relevant and valuable to customers provides a distinct competitive advantage for eretailers. Thus, it is theorized that the relevancy, quality and novelty of website content also drive consumer perceptions of website experience satisfaction for e-commerce websites, leading to the following hypothesis: Hypothesis 5: Information Quality is positively correlated with customer satisfaction Hypothesis 6: Information Relevancy is positively correlated with customer satisfaction Trust According to Reichheld and Schefter (2000), the most important factor consumers use to assess e-commerce websites is the level of trustworthiness conveyed. This is because with the absence of tangible attributes such as physical store locations, the ability to touch, feel and inspect the products and the risk of websites not delivering the product after receiving payment, trust is a highly important factor in providing ease of mind (Belanger, Hiller and Smith, 2002). Thus, trustworthiness is a critical riskreduction factor for online shoppers. In the context of website experience, this study postulates consumer perceptions of trustworthiness to be an important factor which must be addressed, and in the case of e-

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commerce websites, the focus should be on perceptions of privacy and security. In today’s world of sophisticated web analytics, privacy whilst browsing online is a major concern for web-users (Brown and Muchira 2004). Consumers are concerned that their details are actually being collected without their knowledge, and that information would be used for a range of purposes, from something as innocuous as pesky spam e-mails pushing various products and services, to major problems like identity theft and credit card fraud (Belanger et al 2002). Thus, it has been found that measures such as privacy statements have found to put consumers “at ease” and helped to foster feelings of trust and credibility with e-commerce websites (Kim and Benbasat 2005). Another factor influencing perceptions of trust is how secure customers feel about conducting transactions on e-commerce websites. As opposed to traditional stores where consumers can inspect product quality to ensure expectations are fulfilled, and physical store locations where product returns can be made, a higher amount of risk exists for consumers looking to purchase online, as such tangible cues are unavailable (Jin and Kim 2010). Therefore, customers may not feel secure entrusting their credit card or other financial details to a e-commerce website, where they are unable to examine how “secure” it would be to conduct financial transactions. Addressing this concern, Belanger et al (2002)found that measures that help foster feelings of security such as third party security (i.e. certificates of authentication), product return guarantee, refunds, and use of reliable payment systems such as Paypal helped to increase perceptions of trustworthiness amongst online consumers. Yoo and Donthu (2001) also found evidence of how measures enhancing security help to increase perceptions of website quality. As such, this study postulates that feelings of security and privacy helps engender perceptions of trust of Internet Retailers, resulting in the next hypothesis: Hypothesis 7: Trust is positively correlated with customer satisfaction Satisfaction and Loyalty With the identification of attributes that comprise customer website experience of Internet retailer, this research shall explore the impact of said variables on the behavioral consequences of customers, and examine if a satisfying website experience can explain and predict consumer behavior towards e-retail websites in future. It is important to note that in its emphasis on perceptions of website experience, this research is focusing on attitudes towards the website itself and not consumers intentions to conduct financial transactions, i.e. make a purchase. Consequently, in conceptualizing behavioral outcomes of a satisfying website experience, this study excludes intention to repurchase, and focuses on future behavior towards the website itself. As such, for the purposes of this study, the outcomes of a satisfying website experience are proposed to be 1) intention of re-visit, and 2) likelihood of customer referral, which are indicators of attitudinal and behavioral loyalty. Bansal et al (2004) found evidence proving a strong correlation exists between website performance satisfaction and website revisit intention. This helps to validate existing theoretical beliefs on how satisfied customers are more likely to engage in

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214 Coker, B.

future revisits, and dissatisfied customers are more likely to leave and find alternative websites (Andersen and Srinavasan 2003). A more recent study by Loiacano et al (2007) found further evidence proving satisfaction with website performance has a positive correlation with online customers intention to revisit. Another important behavioral outcome of website experience would be the likelihood of customer referral. Likelihood of referral is an indicator of positive attitude, and has been proven to be a reliable indicator of future customer behavioral intention (Reicheld 2003). Indeed, prior research has found evidence supporting the link between satisfaction with website performance with likelihood of referral, where customers delighted with their previous purchase experiences have gone on to make positive product reviews online. (Liang and Cheng, 2009). More importantly, evidence suggests 1) referrals have been proven to be a key driver of growth and profitability as in the case of Amazon and eBay (Reichheld and Schefter, 2000) and 2) consumers find referrals and customer reviews more credible and trustworthy than commercial advertising and promotions (Kotler 1999). As such, the above discussion leads to the following two hypotheses: Hypothesis 8: Satisfaction is positively correlated with Website Loyalty Hypothesis 9: Satisfaction is positively correlated with Likelihood of referral

Ease of Use Ease of Search

H2

Load Speed

H3

Visual Appeal

H4

Information Quality

H5

Information Relevancy Trust

H1

Customer Satisfaction

H8

H9

H6

Loyalty

Referral Likelihood

H7 Figure 1: Website Experience Satisfaction Model

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3. PARTICIPANTS AND DESIGN One hundred and sixty-eight post graduate and undergraduate business school students were recruited to participate in the survey. A $100 gift certificate was offered as an incentive to participate. The survey was conducted online. Participants were instructed to think of a product they were planning to purchase in the near future. They were then instructed to find a website where they could purchase the product, add the product to their shopping basket, and progress through the checkout process as far as they could until they were required to provide payment details. Participants at this stage could either follow through with their purchase, or abandon their cart. They were then asked to complete the questionnaire consisting of the model variable questions (table 1). All variables were measured on seven point Likert Scales.

TABLE 1 Model Variable Measures Variable Name

Variable Measurement

Ease of Use

How easy was it to find your way around?

Ease of Search

How easy was it to search for information?

Information Quality

How was the quality of information?

Information Relevancy

How relevant was the content?

Satisfaction

How satisfied are you with your experience?

Likelihood of referral

Would you refer others to this website?

Loyalty

Would you visit this website again?

Trust

Do you trust this website?

Load Speed

How fast do the pages load on this website?

Visual Appeal

How attractive is this website?

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4. RESULTS The estimation converged to an admissible solution, yielding a good fit of data to the model Ď&#x2021;2 (89) = 246.53 (p < .001); NFI = .78; RFI = .70; CFI = .84; RMSEA = .10 The structural equation model above gives you some indication of how much impact each dimension in general has on satisfaction, and how strongly website experience satisfaction affects loyalty and likelihood of referral. The standardized regression weights in the Webreep Structural Equation Model on the left suggest that Trust (.53) and Content Quality (.42) have the strongest impact on Satisfaction, followed by Performance (.31) and Navigation (.16). The model shows that website experience Satisfaction has extremely strong effects on Likelihood of Referral (.77) and Loyalty (.80). The model shows that 87% of the variance of website experience satisfaction can be explained by the six factors identified. This is statistically high suggesting the conceptualized factors explain customer satisfaction well.

5. DISCUSSION This research sought to develop and test a parsimonious model to capture website experience quality by measuring satisfaction, likelihood of referral, and loyalty. Specifically, the aim was to develop an instrument to capture the variance of each construct in the model that was brief enough to have practical usage as on online customer satisfaction feedback form. The result of our efforts is a ten item instrument with tight psychometric properties that captures significant proportions of website satisfaction variance. Since the instrument is only ten items, it can be practically deployed on a website as a quick measure of website visitor satisfaction.

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REFERENCES Alba, J. W., Lynch, J., Weitz, B., Janiszewski, C., Lutz, R., Sawyer, A. & Wood, S. (1997) Interactive home shopping: Consumer, retailer, and manufacturer incentives to participate in electronic marketplaces. Journal of Marketing, 61, 38-53. Anderson, E. W. (1998) Customer Satisfaction and Word of Mouth. Journal of Service Research, 1, 5-17. Anderson, E. W. & Sullivan, M. W. (1993) The Antecedents and Consequences of Customer Satisfaction for Firms. Marketing Science, 12, 125-143. Ba, S. & Pavlou, P. A. (2002) Evidence of the effect of trust in electronic markets: Price premiums and buyer behavior. MIS Quarterly, 23, 243-268. Balasubramanian, S., Konana, P. & Menon, N. M. (2003) Customer Satisfaction in Virtual Environments: A Study of Online Investing. Management Science, 49, 871-889. Barnes, S. J. & Vidgen, R. (2001) An evaluation of cyber-bookshops: The webqual method. International Journal of Electronic Commerce, 6, 11-30. Dick, A. S. (1994) Customer Loyalty: Toward an Integrated Conceptual Framework. Journal of the Academy of Marketing Science, 22, 99-113. Forrester (2009) Forrester Research Web-Influenced Retail Sales Forecast. Forrester Research Inc. Gefen, D., Karahanna, E. & Straub, D. W. (2003) Trust and TAM in online shopping: An integrated model. MIS Quarterly, 27, 51-90. Gruen, T. W., Osmonbekov, T. & Czaplewskia, A. J. (2006) eWOM: The impact of customer-to-customer online know-how exchange on customer value and loyalty. Journal of Business Research, 59, 449-456. Loiacono, E. T., Watson, R. T. & Goodhue, D. L. (2007) WebQual, An Instrument for Consumer Evaluation of Websites. International Journal of Electronic Commerce, 11, 51-87. Ramsay, J., Barbesi, A. & Preece, J. (1998) A psychological investigation of long retrieval times on the World Wide Web. Interacting with Computers, 10, 77-86. Ranganathan, C. & Ganapathy, S. (2002) Key dimensions of business-to-consumer web sites. Information & Management, 39, 457-465 Reichheld, F. F. & Schefter, P. (2000) E-loyalty. Harvard business review, 78, 105. Shankar, V., Smith, A. K. & Rangaswamy, A. (2003) Customer satisfaction and loyalty in online and offline environments. International Journal of Research in Marketing, 20, 153-175 Teo, T. S. H. & Yeong, Y. D. (2003) Assessing the consumer decision process in the digital marketplace. Omega, 31, 349-363. U. S. Census Bureau (2010) Quarterly retail e-commerce sales: 3rd quarter 2010. U S Department of Commerce.

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Yoo, B. & Donthu, N. (2001) Developing a Scale to Measure the Perceive Quality of An Internet Shopping Site (SITEQUAL). Quarterly Journal of Electronic Commerce, 2, 31-47.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.219-234 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200002

THE EVALUATION AND IMPROVEMENT OF IT GOVERNANCE Patricia Pérez Lorences Lourdes Francisca García Ávila Central University "Marta Abreu" from Las Villas, Santa Clara, Cuba __________________________________________________________________ ABSTRACT The present article aims to propose a general procedure to evaluate and improve the Information Technology (IT) Governance in an organization, considering the Business–IT alignment and risk management. The procedure integrates management tools such as business processes management, risk management, strategic alignment and the balanced scorecard. Additionally, to assess the IT Governance level we proposed an indicator based on the process maturity. The concepts and ideas presented here had been applied in four case studies, verifying their implementation feasibility. The results indicate a low level of IT governance and the existence of several problems primarily in the Plan and Organize and Monitor and Evaluate domains. Keywords: IT Governance, IT Management, IT Strategic Alignment, IT Risk Management, IT Governance Assess, IT Governance Improvement

1 INTRODUCTION Information technologies (IT) have revolutionized the business world irrevocably and in the context of the information age companies increase their IT investments, becoming a major competitive component for companies (Dehning, Dow, & Stratopoulos, 2004). Specific studies have shown empirically: the positive relationship between corporate profitability and the use of IT in business processes (Piñeiro Sánchez, 2006); the elevation of the productivity (Neirotti & Paolucci, 2007), the improvement in the performance of processes inducing elevation enterprise performance (Prasad & Heales, 2010), and the improvement in the performance of services (Roberto Giao, Mendes Borini, & Oliveira Júnior, 2010). The implementation of these resources is not enough to obtain the expected uses of IT. These resources only offer a potential that the company should develop and adapt ____________________________________________________________________________________________ Manuscript first received/Recebido em 31/01/2012 Manuscript accepted/Aprovado em: 10/04/2013 Address for correspondence / Endereço para correspondência Patricia Pérez Lorences, Industrial Engineer, Master in Business Informatics (MBI) Assistant professor of Business Informatics Group. Industrial Engineering Department Central University "Marta Abreu" from Las Villas, Santa Clara, Cuba. E-mail : patriciapl@uclv.edu.cu Lourdes Francisca García Ávila, Industrial Engineer, PhD in Technical Sciences, Consultant professor of Business Informatics Group. Industrial Engineering Department , Central University "Marta Abreu" from Las Villas, Santa Clara, Cuba. E-mail : Lourdes@uclv.edu.cu Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


220 Pérez Lorences, P. P. García Ávila, L. F.

to their specific business context, using management skills. Neirotti and Paolucci prove with their study (Neirotti & Paolucci, 2007) that companies show a successful return on IT investment, have better IT management practices that allow them to adapt their organizational routines to meet business needs. Similarly, a study of more than 400 Brazilian companies showed that companies that adopt IT governance mechanisms have an improvement in their financial performance, primarily in relation to profitability (Lunardi, Becker, & Macada, 2012). Other research (Kobelsky, Hunter, & Richardson, 2008) y (Yao, Liu, & Chan, 2010) shows that the influence of IT on the future profits of the company depends on various contextual factors such as quality of management and strategic alignment. It is essential to have a clear strategic vision of the role of IT in business (Laurindo, Shimizu, Caravalho, & Rabechini Junior, 2001). There is empirical evidence (Bulchand-Gidumal & Melián-González, 2011) that the planning and management of IT influence the allocation of human resources and IT, which have positive effects on organizational performance. Management efforts to sustain high levels of IT capability translate into sustainable competitive advantages (Huan, Ou, Chen, & Lin, 2006), (Bharadwaj, 2000), (Masli, Richardson, Sanchez, & Smith, 2011). The evaluation and improvement of IT governance is extremely important because it allows companies to control if they are really making effective management of their IT, to ensure maximum benefits and management of the associated risks. Investigations in hundreds of companies around the world have revealed a trend toward the increased maturity level in the area of IT in organizations; however, there is a lot left for improvement. In 2008 (ITGI, 2009) and 2010 (ITGI, 2011) the IT Governance Institute implemented a comprehensive study in organizations of various sectors in 23 countries representing all continents. Based on the results of the study, it is a fact that the vast majority (92%) of respondents are aware of the problems with the use of these resources and the need to take action in this regard. The research reflects the importance of how IT continues to grow and has significantly increased interest in adoption and implementation of best practices, but there are still many incidents. While security and compliance are important elements mentioned, people are the most critical problem. 58% of respondents considered insufficient the number of IT people in their organizations, which is the main problem presented. The second problem, reflected by 48%, refers to the incidents relating to the provision of services. Then 38% of the respondents said the lack of IT staff skills is another problem. Moreover, it was found that communication between IT and users is improving, but slowly. Although the gap is significant for improving the alignment with the business strategy, 36% of the respondents indicated that the alignment between IT strategy and corporate is bad or very bad. These results confirm the relevance and importance of having tools to improve governance of these resources. Hence, enterprises need help to raise the level of IT governance, under the conditions and requirements imposed by today's business environment and prospects. The objective of the study reported in this paper was to develop a general procedure to assess and improve IT Governance in an organization, considering the Business–IT alignment and risk management. In this paper, some concepts of IT governance are recapitulated in section 2 and the propose procedure is presented in Section 3. The main results of the case studies are analyzed in section 4, and conclusions are described in section 5.

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2 LITERATURE REVIEW Information technology (IT) has become pervasive in current dynamic and often turbulent business environments. While in the past, business executives could delegate, ignore or avoid IT decisions, this is now impossible in most sectors and industries. This major IT dependency implies a huge vulnerability that is inherently present in IT environments. IT of course has the potential not only to support existing business strategies, but also to shape new strategies. In this mindset, IT becomes not only a success factor for survival and prosperity, but also an opportunity to differentiate and to achieve competitive advantage. (Wim Van Grembergen & De Haes, 2009). IT governance specifies the decision rights and accountability framework to encourage desirable behavior in the use of IT (Peter & J, 2004). This behavior relates to the form of the leadership, and organizational structures and processes that ensure that the organization's IT sustains and extends the organization's strategies and objectives (ITGI, 2009). The scope of IT governance are not single decisions themselves but the determination which decisions need to be made, who can contribute to the decisionmaking processes and who is eventually eligible to make the decision. In this sense, every company has IT governance, but only an explicitly designed one is able to align IT effectively and efficiently to the goals of the company. IT governance addresses the definition and implementation of processes, structures and relational mechanisms in the organization that enable both business and IT people to execute their responsibilities in support of business/IT alignment and the creation of business value from IT-enabled business investments (Wim Van Grembergen & De Haes, 2009). Multiple researchers share the same view of IT Governance (e.g. (Peterson, 2004); (Wim Van Grembergen, De Haes, & Guldentops, 2004); (Van Bon, 2008)) IT governance essentially places structure around how organizations´ IT strategy aligns with business strategy. This IT-business alignment will ensure that organizations continue to achieve their strategies and goals, and implement ways to evaluate its performance. One special aspect of IT governance is that it considers the interests of all stakeholders and ensures that processes provide measurable results. This situation is possible with lateral IT governance structures, with the involvement of all levels of management (Prasad, Heales, & P, 2010). In recent years, standards, frameworks, and best practices addressing different aspects of IT management and governance have emerged and matured. Among these, the most mentioned are: ITIL (Commerce, 2011) and ISO/IEC20000 (ISO, 2011) which address IT service management. The ISO/IEC 38500:2008, corporate governance of information technology, provides a framework for effective governance of IT to assist those at the highest level of the organizations (Standardization, 2008). The standard assists top management to understand their legal, regulatory, and ethical obligations in respect of their organizations' use of IT. ISO27000 (ISO, 2012) referred to information security and IT BSC (W. Van Grembergen, 2000) as an adaptation of the BSC to the IT environment. The Control Objectives for Information and related Technology (COBIT) is an approach to standardize good information technology security and control practices. COBIT provides tools to assess and measure the performance of 34 IT processes of an organization (ITGI, 2007). COBIT framework has an integration nature, responding adequately to the governance of IT and its alignment with business objectives.

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Searching the literature, organizations can follow a few supporting mechanisms to guide their implementation of IT governance, integrating all the IT governanceツエs aspects with a strategic approach, and they could be used as a support for its assessment and improvement. Therefore, it was necessary to develop a method. 3 PROCEDURE TO EVALUATE AND IMPROVE THE IT GOVERNANCE The proposed procedure was divided into four phases as shown in figure 1 to ensure the cycle of continuous improvement for IT governance.

Fig. 1. Procedure to evaluate and improve the IT governance The first phase is dedicated to the Evaluation of the current state of IT governance in the organization. It begins with the conformation of the team and the second stage proceeds with the general characterization of the organization. The third stage is dedicated to analyzing the alignment of IT resources to the business objectives of the organization, proposing a set of tools to carry out this assessment. In the fourth stage we propose a specific procedure to analyze IT risk management, whcih let you get an assessment of risks in the organization. Because of its importance as a reflection of the actions of IT management, stage five is characterized by employee level of satisfaction with IT services and resources. The maturity diagnosis takes place at the sixth stage and the calculation of a comprehensive indicator of IT governance that characterizes the current state of the organization take place in stage 7. This phase of the procedure culminates with the proposal of improvement actions, depending on the assessment (stage 8). In the second phase, the Design of the IT governance process is carried out, defined under the BPM approach. It begins with modeling and analysis of the As-Is process in stage 9, which allows the identification of opportunities for improvement in the process, from the results of the previous phase. Stages 10 and 11 describe in detail the selection and design of the sub-processes. This phase ends with the design of the To-Be process, including its modeling and the approval of the suggestion. Already in the third phase, Implementation, we proceed to execute the process designed. The

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general procedure ends with a Control phase which is the "engine" of continuous improvement, because depending on the results, it might involve a return to earlier stages. We propose the calculation of indicators to monitor the sub-processes implemented and we designed a generic scorecard as a tool management control of IT, based on the principles of IT BSC, and it must be redefined by the organization. To monitor the achievement of the procedure objectives a final stage dedicated to the recalculation of the proposed indicator is included, which also includes situation analysis and ends with the proposal of improvement measures. 3.1 Phase 1: IT Governance Evaluation Stage 1: Conformation of the team The first stage is aimed at the conformation of the team, which will feature the full implementation of the procedure. It includes: Definition of the team structure, determination of members quantity and selection of the personnel, assignment of responsibilities and tasks, and the training of staff. Stage 2: General description of the organization This second stage corresponds to the general characterization of the organization under study, which should,in particular, appreciate the value of information technology to achieve their business objectives. It includes: Description of the organization general data, and identification of the objectives and business processes. Stage 3: Analysis of IT resources and alignment to business objectives At this stage we will analyze the impact of IT in achieving business goals and current conditions of the company to meet these requirements. It includes the following steps: I. Carry out an inventory of IT resources of the organization The folowing should be identified: the applications, infrastructure and staff; which are required to plan, organize, acquire, implement, deliver, support, monitor and evaluate the systems and information services. We propose an inventory model that is a format table useful to organize the information for categories and its impact classification. II. Classify the IT resources in terms of their impact on business From the inventory of IT resources in the organization we proceed to classify them individually, according to their impact on the business, into: Strong, Medium or Weak. To do that, we design an algorithm as shown in Figure 2, considering the current and potential importance of IT resources, and its ease of replacement.

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224 Pérez Lorences, P. P. García Ávila, L. F.

Fig. 2. Algorithm to classify the IT resources in terms of its impact on business Once each one is classified, we proposed a set of indices useful to determine the impact of each type of IT resource (applications, infrastructure and staff)on the business and the global impact of all resources. III. Evaluate business processes according to their degree of dependence on IT The literature offers few precedents where it is allowed to establish the dependence on IT from a business process to be classified into one scale. Little (Little, 1981) establishes one scale to assess the technological position in an enterprise and (Brito Viñas, 2000) modify that propose, but in both cases it is a breadth scale, which is not specific for IT. (Jiménez Quintana, 2002) defines a set of measures that assess: the business process degree of automation, the support degree of information systems and the support degree of information systems on-line. We used these bases and our empirical experience to define a qualitative scale for the degree of dependence on IT in three levels: Strong, Medium or Weak. IV. Analyze the correlation between IT resources and requirements of the organization based on business objectives Once there is the classification of IT resources according to their impact on the business and evaluation of business processes according to their degree of dependence on IT, in this step we analyze the alignment between the two aspects. To support this analysis the matrix shown in Figure 3 was developed. The proposed matrix is useful to analyze the alignment and possible strategies to follow. It is based primarily on the following elements: Strategic Alignment Model (Luftman, 2004), the IT strategic grid to examine the strategic role of IT McFarlan and McKenney (MacFarlan & macKenney, 1983) and Matrix Technology Management (Edwards & Bytheway, 1991).

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STRONG

STRONG

MEDIUM

WEAK

Alignment

Misalignment

Non-Alignment

Maintain / Improve IT Assess Investment Execute Governance projects / Cost-Benefit projects analysis analysis

MEDIUM

Misalignment

Alignment

/

Investment Cost-Benefit

Non-Alignment

Innovation in IT / Maintain / Improve IT Assess Investment projects Identify opportunities Governance / Cost-Benefit analysis offered by IT resources for business Non-Alignment

WEAK

Dependence on IT of business process

Impact of IT resources on business objectives

Identify improvements

Non-Alignment

Alignment

process Assess process Improve process / Identify improvements / Use IT opportunities offered by IT potentialities resources for business

Fig. 3. Matrix (dependence on business processes / impact of IT resources), alignment analysis Stage 4: Analysis of IT risks and their management At this stage we analyze the management of IT risks in the enterprise. For this, we propose a specific procedure, structured in nine steps as shown: 1. Establish the strategic context of risk • Are critical IT resources identified? 2. Identify threats • Are threats identified? 3. Identify vulnerabilities • Are vulnerabilities identified? 4. Analyze controls • Which controls are implemented? 5. Determine probability level • Is the likelihood of a threat to act on a determined vulnerability, considering existing controls? 6. Analyze impact • Have you analyzed the impacts of a threat to act on vulnerability? 7. Determine risk level • Have you determined the risk levels? 8. Recommend controls 9. Document results

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The content and tools of each step, guidance for the implementation of the diagnonis to obtain the risks, and on the other hand, provide the necessary elements to answer the question proposed, enabling the analysis of IT risk management. Stage 5: Characterization of employee satisfaction with the resources and IT services The special importance of employee satisfaction with IT resources and services motivated the inclusion of this stage in the diagnostic procedure. A survey was designed to characterize employee satisfaction with infrastructure, applications, IT staff and services. Stage 6: Making the maturity diagnosis of the IT control objectives The first step of this stage is to define the domains and control objectives to diagnose. A general proposal was made starting from COBIT 4.1 framework, which must be adapted by the team considering elements to be added or removed depending on the characteristics of the organization. Then we proceed with the collection, verification and analysis of information to determine the maturity level of each control objective according to the maturity models defined by COBIT. Stage 7: Assessment of IT governance in the organization At this stage we assess IT governance in the organization, for which we propose an indicator to evaluate the level of IT Governance (IGTI). The equations and model evaluation were developed by the authors considering the maturity level of each control objective and the assumption that these control objectives do not have the same importance in the enterprise. The steps to develop this stage are: I. Determination of the relative importance of domains and control objectives II. Assessment of the domains and control objectives We propose the assessment of each control objective through the following expression:

EOCdg  EOCdg

Wdg

Wdg xNM dg 5

(1)

: Assessment of the control objective “d” of the domain “g”

: Weight (relative importance) of the control objective “d” of the domain “g”

NM dg

: Maturity level of the control objective “d” of the domain “g”

The sum of the assessments of the control objectives gives the domain result mg

RDg   EOCdg d 1

RDg

(2)

: Result of the domain “g”

The evaluation of each domain is calculated using the following expression:

EDg  Wg  RDg  100 EDg Wg

(3)

: Evaluation of the domain “g”

: Weight of the domain “g”

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III. Determination of indicator IGTI. Graphical representation of results The indicator to evaluate the level of IT Governance (IGTI) is calculated as shown: 4

I GTI   EDg g 1

(4)

We define the scale for assessment of IT Governance from Non-existent level to Optimized, as shown in table 1 considering the maturity levels proposed in COBIT. The determination of intervals was made using the simulation of results. We propose a graphical representation of results, using control radars and Cause-Effect graphics like shown in figure 4. Table 1. Scale for assessment of IT Governance Intervals IGTI (%)

IT Governance Assessment

(95≤ IGTI ≤100)

Level 5: Optimized

(75≤ IGTI <95)

Level 4: Managed

(55≤ IGTI <75)

Level 3: Defined

(35≤ IGTI < 55)

Level 2: Repeatable

(15≤ IGTI < 35)

Level 1: Initial/Ad Hoc

(IGTI< 15)

Level 0: Non-existent

PLAN AND ORGANISE

ACQUIRE AND IMPLEMENT

IT GOVERNANCE LEVEL

DELIVER AND SUPPORT

MONITOR AND EVALUATE

Fig. 4. Graphical representation of results, using control radars and Cause-Effect graphics IV. Preparation of evaluation report From the results obtained in the previous stages, this step is required to produce a report which includes assessing: the analysis of IT resources and alignment to business objectives, analysis of IT risk management, the analysis of the characterization of employee satisfaction, and a list of domains and control objectives that reflected greater difficulty. The main problems affecting IT governance in the organization should be noted.

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Stage 8: Proposal for corrective, preventive and / or improvement actions Once made, the IT governance diagnosis, the report prepared by the team may indicate the need for corrective, preventive and / or improvement actions, as applicable. At this stage we proceed to develop the proposal for such actions. 3.2 Phase 2: Design of the IT governance process The design phase has been formed under the approach of Business Process Management (BPM). The analysis of the current state of IT governance in the organization was realized in the previous phase, so in case there is a defined IT process in the organization, phase 2 begins with As-Is process modeling, otherwise it goes to stage 10. Stage 9: Modeling and analysis of As-Is process At this stage we model the IT governance process that currently exists in the organization. We recommend using BPMN for business process modeling. The team should define the notation and the tool to use for modeling. The modeling of the current situation allows the identification of opportunities for process improvement. From the diagnosis made we could point the deficiencies that might exist in the structure of the current process. Also, we could point the need to incorporate new sub-processes or activities based in the COBIT framework. Stages 10 and 11 correspond to the proposed improvements to the AS-IS process. Stage 10: Determination of required sub-processes At this stage the analysis includes: COBIT processes that are pertinent or not in the organization and what processes are required in correspondence with the characteristics of the organization, which are not covered in the COBIT framework. Stage 11: Design or redesign of each sub-process At this stage the processes based on COBIT should be redesigned according to the characteristics of the organization. The design of the new additional processes is required. The elements to consider are: overview of sub-process, description of subprocess activities, inputs and outputs of sub-process, RACI Chart (Responsibility, Accountable, Consulted, Informed), goals and metrics of the process. Stage 12: Design of To-Be process Once each sub-process is redefined, we design the To-Be process, showing how to relate those sub-processes connected by their inputs and outputs. The steps in this stage are: Modeling the To-Be process, Evaluation and approval of the designed process, Redesign based on the assessment and Document the To-Be process.

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3.3 Phase 3: Implementation Stage 13: Develop an implementation plan To ensure the successful performance of the designed process, an implementation plan should be established. This plan includes the actions to be taken into consideration to ensure the transition from the As-Is process to the To-Be process. The plan also defines the priorities that order the implementation of sub-processes, based on its importance for the enterprise. Stage 14: Gradual implementation of sub-processes From the priorities identified in the implementation plan, at this stage, we proceed to gradually implement sub-processes. In the implementation, it is of utmost importance to ensure the commitment of top management to achieve successful results. This commitment must be tangible through active participation, willingness to change, resource allocation, internal communications, process monitoring and taking actions to achieve goals. The preparation and training of managers and staff of the organization through training programs focused on developing knowledge and skills in IT governance can be useful at this time. 3.4 Phase 4: Control This phase focuses on evaluating and controlling the behavior of the IT governance in the organization, with the IT process implementation. This phase constitute the "motor" of continuous improvement for the procedure, which may involve a return to earlier stages in terms of results. IT process control does not require that this has been fully implemented; it can be carried out independently by each sub-process, allowing you to make decisions during the implementation phase and maintain a control and monitoring system to ensure the successful completion of the actions provided. To control the overall performance of IT governance in the organization, we also propose to determine the IT Governance Level indicator proposed in the first stage, analyzing its behavior with respect to the state it was before implementing the improvements in the organization. IT balanced scorecard has also been designed. Stage15: Control of sub-processes At this stage it is proposed to calculate the KPI (Key Performance Indicators) during the performance of a subprocess and KGI (Key Goals Indicators) after implemented, to determine if they achieve their objective. KPIs allow determining how well the IT process is performing to achieve the goal, indicating whether it is feasible to achieve a goal or not. KGIs define measurements to inform if an IT process reached its business requirements. Stage 16: Management control Tool. IT BSC As a tool for management control at this stage we proposed to design a balanced scorecard for IT. We propose a generic design based on IT BSC (W. Van Grembergen, 2000) . This design and the proposed indicators should be adapted by the organization in terms of the IT process designed, their interests and special characteristics.

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Stage 17: IT Process Evaluation 17.1 Recalculation of the IT Governance Level indicator The recalculation of the indicator allows a comparison of the behavior results of the current situation, once the IT process is implemented. This check allows to verify the effectiveness of the proposed process and establishes the relevant improvements if necessary. 17.2 Situation analysis If the proposed process is suitable for IT governance in the organization and has led to tangible improvements, its performance will need to be reviewed periodically. The return to stage 2 could be necessary, depending on the characteristics of the organization and changes that might be generated internally or externally. If the organization's performance has not evolved positively, we must analyze the causes. The analysis might reveal problems in the implementation of the process or its design, in which case we will proceed to improve it. Also to be considered external events that, during the period considered for assessment, could have influenced these results. 3.17 Proposing improvements After the situation analysis we proceed to the proposal of measures contributing to the continuous improvement. To achieve the necessary improvements, this analysis can include the return to phases 2 or 3 of the procedure for the redesign of the process, depending on the deficiencies identified in its initial design or its implementation. If the return is not necessary, we continue with the implementation and consolidation of IT process in the organization. 4 RESULTS The application of the procedure in four case studies lets us verify their implementation feasibility as effective methodological instruments to, first of all, assess the IT governance in these enterprises focusing on the main problems, and in second place to determine improvement opportunities that contribute to IT-Business alignment and risk management. We consider achieving a balance between the enterprise selected, including two software development enterprises and two commercial enterprises. In this article we presented a synthesis of the results in one software development enterprise and the global analysis for the rest. The application of the procedure in this enterprise allows the design and implementation of a new IT governance process according to their peculiarities. The IT governance improvement is evident in the elevation of the indicator to evaluate the level of IT Governance since 25.87% to 44.81%, resulting from a considerable improvement in all domains as shown in figure 5 (red color represent the early assess).

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Fig. 5. Graphical representation of results, using control radars. The IT BSC design includes four perspectives. It was selected a set of metrics balancing key performance indicators and key goals indicators, to guarantee the proactively in the monitoring of IT governance at the enterprise. In the other enterprises the first stage was finalized, identifying the problems and the improvement actions recommended. These results are showed in (PÊrez Lorences, 2010). The calculi of the indicator to evaluate the level of IT Governance showed all case studies´ results under the 40%, denoting a low level and the existence of several problems primarily in the Plan an Organize and Monitor and Evaluate domains. The analysis proves that a lack of adequate IT governance exists, based on business requirements. The successful application of the procedure in the companies studied, both in software companies, trading companies, demonstrated its applicability to entities with different characteristics, being evidenced adequate operational flexibility. The ability to select the control objectives to be evaluated and to determine the relative importance they have on the company to obtain an assessment of their level of management, to ensure the flexibility of its application. This was demonstrated when methodological tools of the evaluation phase were applied to the software case studies. Similarly, it was found in the case of the other two companies under study, both traders. The flexibility of their instruments was demonstrated, making them desirable in principle, by other similar organizations, which support to a greater or lesser extent, their business on information technologies.

5 CONCLUSION In this paper, we presented a new general procedure to analyze, evaluate, monitor and improve IT Governance in an organization. The procedure considers the alignment between business processes and IT resources, IT risk management, the approach of process maturity, the principles of Business Process Management and IT Balance Scorecard. All this is complemented by the COBIT framework, expression of best practices in the IT governance field. The structure and content of the phases proposed ensure the cycle of continuous improvement for IT governance. The evaluation phase integrates the best practices of the COBIT framework with tools of IT resources alignment and risk management, considering employee satisfaction, thus allowing a comprehensive assessment of IT governance in the organization. The design and implementation phases, based on the assessment and best practices, guide the construction of the IT governance process as a central proposal for improvement. The inclusion of a control phase is vital to ensure continuous improvement; this phase

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allows the monitoring, balancing goal and performance indicators that ensure proactive improvement actions. REFERENCES Bharadwaj, A. S. (2000). A resource-based perspective on information technology capability and firm performance. An empirical investigation. . MIS Quarterly, 24(1), 169-196. Brito Viñas, B. (2000). Modelo conceptual y procedimientos de apoyo a la toma de decisiones para potenciar la función de Gestión Tecnológica y de la Innovación en la empresa manufacturera cubana., UCLV, Villa Clara, Cuba. Bulchand-Gidumal, J., & Melián-González, S. (2011). Maximizing the positive influence of IT for improving organizational performance. The Journal of Strategic Information Systems, 20(4), 461-478. Commerce, O. o. G. (2011). ITIL v.3. Information Technology Infrastructure Library. http://www.itil-officialsite.com/. Dehning, B., Dow, K. E., & Stratopoulos, T. (2004). Information technology and organizational slack. International Journal of Accounting Information Systems, 5(1), 51-63. Edwards, W., & Bytheway. (1991). The Essence of Information Systems. Hemel Hempstead: Prentice Hall International. Huan, S.-M., Ou, C.-S., Chen, C.-M., & Lin, B. (2006). An empirical study of relationship between IT investment and firm performance: a resource-based perspective. European Journal of Operational Research, 984-999. ISO. (2011). ISO 20000: Information technology -- Service http://www.iso.org/iso/catalogue_detail?csnumber=51986.

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ISO. (2012). ISO/IEC 27000: Information technology -- Security techniques -Information security management systems. http://www.iso.org/iso/home/store/catalogue_tc/catalogue_detail.htm?csnumber=56891. ITGI. (2007). COBIT 4.1 Control Objectives for Information and related Technology. : IT Governance Institute. ITGI. (2009). IT Governance Global Status Report 2008.: IT Governance Institute. ITGI. (2011). Global Status Report on the Governance of EnterpriseIT: IT Governance Institute. Jiménez Quintana, C. (2002). Indicadores de Alineamiento entre Procesos de Negocios y Sistemas Informáticos., Universidad de Concepción. Kobelsky, K., Hunter, S., & Richardson, V. J. (2008). Information technology, contextual factors and the volatility of firm performance. International Journal of Accounting Information Systems, 9(3), 154-174. Laurindo, F. J. B., Shimizu, T., Caravalho, M. M., & Rabechini Junior, R. (2001). O papel da tecnologia da informação (TI) na estratégia das organizações. Gestão e Produção, 8(2), 160-179.

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Little, A. D. (1981). The Strategic Management of Technology. Cambridge. Massachussets. U.S.A. Luftman, J. (2004). Assessing Business-IT Alignment Maturity Strategies for Information Technology Governance (pp. 99-128). United States of America and United Kingdom: Idea Group Publishing. Lunardi, G. L., Becker, J. L., & Macada, A. C. G. (2012). Um estudo empírico do impacto da governança de TI no desempenho organizacional. Producao, 22(3), 612624. MacFarlan, F. W., & macKenney, J. (1983). Corporate Information Systems Management. Homewood, Illinois: Richard D. Irwin Inc. Masli, A., Richardson, V. J., Sanchez, J. M., & Smith, R. E. (2011). Returns to IT excellence: Evidence from financial performance around information technology excellence awards. International Journal of Accounting Information Systems, 12(3), 189-205. Neirotti, P., & Paolucci, E. (2007). Assessing the strategic value of Information Technology: An analysis on the insurance sector. Information & Management, 44(6), 568-582. Pérez Lorences, P. (2010). Procedimiento para evaluar y mejorar la gestión de tecnologías de la información en empresas cubanas. Universidad Central Marta Abreu de Las Villas, Villa Clara, Cuba. Peter, W., & J, R. (2004). IT governance: how top performers manage IT decision rights for superior results. Boston, MA: Harvard Business School Press. Peterson, R. R. (2004). Integration Strategies and Tactics for Information Technology Governance Strategies for Information Technology Governance (pp. 37-80). United States of America and United Kingdom: Idea Group Publishing. Piñeiro Sánchez, C. (2006). Un estudio transversal sobre la contribución de las tecnologías de la información al éxito empresarial. Revista Europea de Dirección y Economía de la Empresa, 15(2), 61-78. Prasad, A., & Heales, J. (2010). On IT and business value in developing countries: A complementarities-based approach. International Journal of Accounting Information Systems, 11(4), 314-335. Prasad, A., Heales, J., & P, G. (2010). A capabilities-based approach to obtaining a deeper understanding of information technology governance effectiveness: evidence from IT steering committees. International Journal of Accounting Information Systems, 11(3), 214-332. Roberto Giao, P., Mendes Borini, F., & Oliveira Júnior, M. d. M. (2010). The influence of technology on the performance of Brazilian call centers. Journal of Information Systems and Technology Management, 7(2), 335-352. Standardization, I. O. f. (2008). ISO 38 500. Corporate Governance of Information Technology. . www.iso.org. accessed 1February 2011. Van Bon, J. (2008). This is NOT IT Governance. UPGRADE The European Journal for the Informatics Professional, 9(1), 5-13. Van Grembergen, W. (2000). The Balanced Scorecard and IT Governance. Information Systems Control, 2.

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Van Grembergen, W., & De Haes, S. (2009). Enterprise Governance of Information Technology. Achieving Strategic Alignment and Value. New York: Springer Science + Business Media. Van Grembergen, W., De Haes, S., & Guldentops, E. (2004). Structures, Processes and Relational Mechanisms for IT Governance Strategies for Information Technology Governance (pp. 1-36). United States of America and United Kingdom: Idea Group Publishing. Yao, L. J., Liu, C., & Chan, S. H. (2010). The influence of firm specific context on realizing information technology business value in manufacturing industry. International Journal of Accounting Information Systems, 11(4), 353-362.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.235-250 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200003

USING UNIVERSITY RANKING SYSTEMS TO PREDICT USABILITY OF UNIVERSITY WEBSITES Layla Hasan Department of Internet Technology, Zarqa University, Jordan __________________________________________________________________ ABSTRACT This research investigated whether a university ranking system called Eduroute could provide useful information regarding the usability of universities’ websites. A comparison was conducted between the results obtained by Eduroute regarding the ranking of the top three universities in Jordan, and the results obtained by the heuristic evaluation method regarding the usability of the top three universities’ websites. Before employing the heuristic evaluation method, two steps were taken: Investigating the most frequently visited pages on a university’s website from the viewpoint of 237 students, and developing a set of comprehensive heuristics specific to educational websites. Then, five heuristic evaluators were selected and asked to visit all the pages determined by the 237 students using the developed heuristics while evaluating each website. The results proved that the ranking of the three universities at Eduroute was an indicator regarding the overall usability of the sites; the first ranked university at Eduroute had the lowest number of usability problems identified by the evaluators, while the least ranked university had the largest number of usability problems. The heuristic evaluators also identified fourteen common usability problems on the three tested websites related to navigation, design, content, and ease of use and communication. Keywords: Usability, university ranking system, Eduroute, Jordan, heuristic

evaluation, educational websites.

1. INTRODUCTION Academic institutions (i.e. universities, colleges) were among the early developers of websites to present themselves on the Internet (Astani & Elhindi, 2008; Sandvig & Bajwa, 2004; Peterson, 2006). However, the aim of their websites differed over time due to technological advances, and the increasing number of Internet users. For example, in early 1990, university websites started as informational websites for various technological advanced departments aiming simply to have a presence on the _____________________________________________________________________________________ Manuscript first received/Recebido em 25/02/2013 Manuscript accepted/Aprovado em: 12/03/2013 Address for correspondence / Endereço para correspondência

Layla Hasan, Department of Internet Technology, Zarqa University, Zarqa 13132 Jordan, E-mail : l.hasan2@yahoo.co.uk Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


236 Hasan, L.

web (Peterson, 2006; Astani & Elhindi, 2008). Nowadays, academic websites become a vital part of academic institutions, and one of their most visible faces (Peterson, 2006). Therefore, the aim of the websites for the academic institutions has changed. Early research indicated that higher education websites aimed to: Recruit major stakeholders of academic institutions (i.e. prospective students, prospective faculty, alumni, parents) (Astani & Elhindi, 2008; Astani, 2003; Pierce, 2005), provide a cost effective, and timely communication with their stakeholders (Mentes & Turan, 2012), and provide a way to present their image on the Internet (i.e. academic offering, programs, services, students resources) (Astani & Elhindi, 2008; Astani, 2003; Mentes & Turan, 2012). As the importance of academic institution websites has increased with the increasing number of academic websites, and number of Internet users, the importance of university ranking websites, which review, and rank university websites, has increased as well. In fact, university ranking systems are gaining importance for at least two main reasons. The first relates to the fact that they provide the educational seeker (i.e. prospective students, current students, prospective faculty, current faculty, parents, alumni, employers) with all the information they need about the universities in terms of quality of education, accreditation, and reputation of the universities. The second reason relates to the fact that they provide an impetus for academic institutions to perform better. There are many university ranking systems, which are based on different indicators, i.e. quality of education, quality of faculty, faculty-student ratio, and rich files. Eduroute is one of the major university ranking systems, which evaluates quality of a university website, and its content. It was noted that earlier research employed usability methods, including heuristic evaluation, to evaluate the usability of educational websites (Astani & Elhindi, 2008; Noiwan & Norcio, 2000; Pierce, 2005; Kostaras & Xenos, 2007; Toit & Bothma, 2010). However, there is a lack of research which investigates the findings obtained from usability evaluation methods (i.e. heuristic evaluation) while evaluating the usability of educational websites, and which compares them with the results obtained from university ranking systems. This research aims to investigate the possibility of predicting the usability of educational websites using a university ranking system called Eduroute. The main objectives are: ď&#x201A;ˇ To obtain the findings from the Eduroute system regarding the top three universities in Jordan, which had the highest ranking based on Eduroute indicators. ď&#x201A;ˇ To employ the heuristic evaluation method to comprehensively evaluate the usability of the top three universities in Jordan identified by Eduroute. ď&#x201A;ˇ To make a comparison between the results obtained by Eduroute, and the results obtained by heuristic evaluation method. This paper is organized as follows. Section two presents earlier research which employed the heuristic evaluation method in the evaluation of the usability of academic institution websites. Section three provides a summary of the major university ranking systems together with their indicators. Section four presents the methodology used by this research. Section five presents the results. Section six presents the discussion, and finally section seven concludes the paper.

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2. RELATED WORK Usability is one of the most important characteristics of any user interface; it measures how easy the interface is to use (Nielsen, 2003). Usability has been defined as: "A measure of the quality of a user's experience when interacting with a product or system - whether a web site, a software application, mobile technology, or any user operated device" (Anonymous, 2006). Usability does not only evaluate website quality, but also provides managers with insights regarding potential problem areas on a website (Agarwal & Venkatesh, 2002). Heuristic evaluation is an example of a common usability method related to evaluator-based methods, which include methods that involve evaluators in the process of identifying usability problems. It involves having a number of evaluators assessing the user interface, and judging whether it conforms to a set of usability principles, namely 'heuristics', (Nielsen & Molich, 1990). Only a few studies were found in the literature that evaluated the usability of educational websites. For example, Astani & Elhindi (2008) employed the heuristic evaluation method to evaluate the usability of the top 50 colleges, and universities. The study was conducted by two experts who evaluated, and rated the sites (based on Likertscale) against five characteristics: Information content, navigation, usability, customization and download speed, and security. The authors indicated that the tested websites had usability problems related to old content, and inappropriate layout, which made it difficult for users to locate the information of interest. The results showed that the tested websites need to make improvements regarding some issues, including: Navigation, usability, customization, and security Noiwan & Norcio (2000) also evaluated and compared the usability of two Thai and two US academic websites, using web usability checklist that aimed to measure the usability indexes of the sites. The checklist was categorized into four major sections: Finding information, understanding the information, supporting user tasks, and presenting information. Each guideline of the checklist was presented as yes/no question. The results showed that the sites had several usability problems, including: Lack of a site map, old content, lack of navigational tools or site index that help students to find information on the sites, and inconsistency problems. The results also showed that the Thai websites have additional problems, such as: Ineffective internal search functions, and language problems (i.e. misspelled words). Alternatively, Pierce (2005) employed user testing, and heuristic evaluation methods to comprehensively evaluate the usability of the Harvard University website. Nielsen et al. (1994)â&#x20AC;&#x2122;s ten heuristics were used during the heuristic evaluation. The results identified several design problems on the site, related mainly to: Lack of navigational tools, inconsistency in navigation throughout the site (i.e. on some pages the home link opened the Harvard home page, while on other pages, the home link opened the home page of the current section (i.e. Harvard Library), and an inappropriate presentation of content on the home page (i.e. there is a lot of news information on the home page of the site). Similarly, Kostaras & Xenos (2007) employed the heuristic evaluation method to evaluate the usability of the website of the Hellenic Open University using the ten usability heuristics suggested by Nielsen et al. (1994). The usability assessment was conducted by five evaluators; two were usability specialists while the other three were

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experienced in heuristics evaluation. The results revealed that the heuristic evaluation method was an effective, and useful method which identified 38 usability problems, most of which were not previously detected. Examples of the usability problems that were identified on the website are: Lack of navigational support links (i.e. there is no links at the end of long pages to go back to the top of the pages), inconsistency problems (i.e. variation of font sizes were used), errors in the internal search function, inappropriate design of the menu (i.e. in some cases menus were too deep), inappropriate choice of color, and lack of site map. Furthermore, Toit & Bothma (2010) investigated the usability of the website of an academic marketing department in the University of South Africa, using the heuristic evaluation method conducted by two expert evaluators. The usability guidelines which were used in the evaluation consisted of five categories: Content, organization and readability, navigation and links, user interface design, performance and effectiveness, and educational information. Toit & Bothma (2010) mentioned few examples regarding the usability problems that were identified on the tested website, which related to: Poor navigation, old content, and incomplete information regarding the modules of the department. The studies outlined above proved the usefulness of the heuristic evaluation method regarding its ability to identify various types of usability problems on educational websites. They provided useful examples regarding various types of usability problems that could be found on educational websites from the viewpoint of evaluators. 3. INTERNATIONAL UNIVERSITY RANKING SYSTEMS An investigation into university ranking systems using Google search in March 2011 for the phrases ‘university ranking Jordan’ resulted in identifying various systems. This section presents a summary of the major university ranking systems, and their indicators. a) 4 International Colleges and Universities (4ICU): This is an international university ranking website (4ICU.org). Universities and colleges worldwide are ranked by 4ICU by the popularity of their websites. The ranking is based upon an algorithm including three unbiased, and independent web metrics extracted from three different search engines: Google Page Rank, Yahoo Inbound Links, and Alexa Traffic Rank (4 International Colleges & Universities, 2011). b) Webometrics: The "Webometrics Ranking of World Universities" is an initiative of the Cybermetrics Lab, a research group belonging to the Consejo Superior de Investigaciones Científicas (CSIC), the largest public research body in Spain. Webometrics uses four indicators to rank universities, that were obtained from the quantitative results provided by the main search engines, as follows (Webometrics Ranking of World Universities, 2011):  Size (S): Number of pages recovered from four engines: Google, Yahoo, Live Search, and Exalead.

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 Visibility (V): The total number of unique external links received by a site, which can be only confidently obtained from Yahoo Search.  Rich Files (R): After the evaluation of their relevance to academic, and publication activities, and considering the volume of the different file formats. These data were extracted using Google.  Scholar (Sc): Google Scholar provides the number of papers, and citations for each academic domain. c) QS World University Rankings: The QS World University Rankings are based on the data covering four key areas of concern for students: Research, employability, teaching, and internationalization. The rankings according to QS are determined based on six distinct indicators (The QS World University Rankings, 2011):  Academic reputation: This indicator is based on an online survey distributed to academics worldwide.  Employer reputation: This indicator is based on a global online survey distributed to employers.  Faculty student ratio: This is the most globally available, and accessible measure of commitment to teaching.  Citations per faculty: This is related to the citation of faculties’ publications. The source used in this evaluation is Scopus, the world's largest abstract, and citation database of research literature.  International students: This regards to simple evaluations of the percentage of international students.  International faculty: This regards to simple evaluations of the percentage of international faculty. d) Academic Ranking of World Universities (ARWU): The Academic Ranking of World Universities (ARWU), commonly known as the Shanghai ranking, is published by the Center for World-Class Universities (CWCU), Graduate School of Education (formerly the Institute of Higher Education) of Shanghai Jiao Tong University, China. Universities are ranked by the ARWU using several indicators of academic or research performance, including alumni and staff winning Nobel prizes and field medals, highly cited researchers, papers published in Nature and Science, papers indexed in major citation indices, and the per capita academic performance of an institution. The indicators are (The Academic Ranking of World Universities,2011):  Quality of education: The total number of the alumni of an institution winning Nobel prizes, and field medals.  Quality of faculty: The total number of the staff of an institution winning Nobel prizes in physics, chemistry, medicine, and economics, and Field medal in mathematics. The number of highly cited researchers in 21 subject categories is also considered.

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 Research output: The number of papers published in Nature and Science between 2004, and 2008, and the total number of papers indexed in Science Citation Index-Expanded and Social Science Citation Index in 2008. Only publications of 'Article' and 'Proceedings Paper' types are considered.  Per capita performance: The weighted scores of the above indicators divided by the number of full-time equivalent academic staff. e) Eduroute: This system focuses on studying and evaluating university websites, and not the performance of a university. The indicators that are used in ranking the universities are as follows (Eduroute, 2011):  Volume: This indicator measures the volume of relevant and comprehensive information published on the website of a university.  Online scientific information: This relates to publications, and their number which are one of the major, and most important things that have to be taken into consideration when ranking a university.  Quality of links and content: This ranking factor mainly measures the quality of links, and the quality of content published on the website.  Links quantity: This is a measure of the number of incoming links whether these links are from academic or nonacademic websites. 4. METHODOLOGY In order to select a university ranking system to conduct this research, and to make a comparison between its results and the results of the heuristic evaluation method, major university ranking systems were investigated together with their indicators (Section 3). The aim was to find a university ranking system, which considers quality of a university website through its indicators. It was found that Eduroute was the only ranking system which evaluates the quality of academic institutions’ websites. It measures a university website in terms of four indicators including: Volume (20%), online scientific information (10%), quality of links and content (40%), and quantity of links (30%). Eduroute indicated that the first three indicators (volume, online scientific information, and quality of links, and content) measure quality of both content and navigation of a university website. It provides examples on issues that are usually considered while ranking a university website, such as: If the content of a university website is updated regularly; if a university website presents all the required information, and the degree of investments and efforts a university has put into its website. Therefore, Eduroute was selected since the issues it considers are similar to the usability issues included in many heuristic guidelines that are used to evaluate the usability of different types of websites, including educational websites. These issues are also included in the heuristic guidelines that were used in this research (Table1). In order to evaluate the usability of the studied educational websites using the heuristic evaluation method, two documents were developed: Heuristic guidelines, and a list of tasks. The heuristic guidelines document includes a set of comprehensive heuristics specific to educational websites that was developed based on an extensive review of the literature (Agarwal & Venkatesh, 2002; Gonzalez et al., 2008; Kostaras & JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 235-250

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Xenos, 2007; Lencastre & Chaves, 2008; Nielsen, 2000; Toit & Bothma, 2010; Zhang et al., 2000). The developed heuristics were organized into five major categories. Table1 displays the categories, and the subcategories of the developed heuristics. Table 1. The categories and subcategories of the developed heuristic guidelines. Category

Subcategories

Navigation: Assesses whether a site includes main tools (i.e. navigation menu, internal search facility) and links which facilitate users' navigation through a site.

Navigation support; effective internal search; working links; no broken links; no orphan pages.

Architecture/organization: Relates to the structure of a site's information in which it is divided into logical clear groups, and each group includes related information.

Logical structure of a site; no architecture; simple navigation menu.

Ease of use and communication: Relates to the existence of basic information which facilitates communications with a university using different ways.

Quick downloading of web pages; easy interaction with a website; contact us information; foreign language support.

Design: Relates to the visual attractiveness of a site's design; the appropriate design of a site's pages, and the appropriate use of images, fonts and colors in the design of a site.

Aesthetic design; appropriate use of images; appropriate choice of fonts; appropriate choice of colors; appropriate page design; consistency.

Content: Assesses whether information that users require.

Up-to-date information; relevant information; no under-construction pages; accurate Information; information about the university; information about faculties; information about departments.

a site includes

deep

The -list of tasks- document includes ten tasks, which represent the pages students visit usually on a university website. Those pages represent the findings obtained from an analysis of a questionnaire that aimed to investigate the types of pages visited by 237 students on a universityâ&#x20AC;&#x2122;s website. The questionnaire was provided to students from various departments at one of the universities in Jordan as part of this research. The results found that the most frequently visited pages by students were: Academic calendar; university announcements / news; deanship of student affairs; student services; admission and registration; available courses (current and/or next); faculties; departments; study plans, and academic staff. Five evaluators participated in this research; two usability specialist and three web experts. The evaluators were asked to visit all pages included in the list of tasks, and to use the developed heuristic guidelines, which presented in Table 1, while evaluating each website. The evaluators were asked to visit all pages related to all faculties, and their corresponding departments on each of the studied universitiesâ&#x20AC;&#x2122; websites. The evaluation was done independently by each evaluator, and completed over four months (May 2012 to August 2012). The heuristic evaluatorsâ&#x20AC;&#x2122; comments on the compliance of each site to each heuristic principle were grouped together for each site, and categorized under the categories and sub-categories of the designed heuristic guidelines. Each heuristic sub-

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category of each website was examined to identify problems with each site. These problems were classified, and similar problems were grouped together to identify common areas of usability problems on each website. These were examined to identify common areas of usability problems across the three websites. Consequently, fourteen problem sub-themes were generated, which correspond to four main problem-themes. The list of problem themes and sub-themes is explained in the results. In order to determine the level of usability of the three studied university websites, and because of the fact that not all the university pages were investigated, a usability index was identified in this research, and calculated for the three websites. The usability index represent the number of usability problems found on a website divided by the average number of pages investigated on the site. 5. RESULTS According to the Eduroute university ranking for the year 2011, the results indicated that Hashemite University, the University of Jordan, and Yarmouk University were the top first, second, and third universities, respectively. Based on the indicators used by Eduroute to rank universities, the results could indicate that generally the website of Hashemite University had the best overall design quality in terms of its content, and navigation compared to the websites of both the University of Jordan and Yarmouk University, while the website of Yarmouk University had the worst design quality compared to the other websites. The results also could indicate that the website of Hashemite University had the lowest usability problems compared to the other tested websites, while the website of Yarmouk University had the highest usability problems. Unfortunately, the author could not obtain any further information from the Eduroute website regarding the specific values of Edurouteâ&#x20AC;&#x2122;s indicators for each of the tested websites. The results obtained from Eduroute were consistent with the findings obtained from the analysis of the heuristic evaluation. Table 2 presents the findings of this research which showed that the usability index (as identified in this research) for the website of Hashemite University was the lowest, indicating that it has the lowest number of usability problems per investigated pages, while the website of Yarmouk University has the highest usability index compared to the other tested websites, indicating that it has the highest number of usability problems per investigated pages. Table 2. Usability index for the three websites. Hashemite University

University of Jordan

Yarmouk University

No. of Usability Problems

4176

2926

3399

Average No. of Pages Investigated

1875

1129

1187

Usability Index

2.23

2.59

2.86

An analysis of the qualitative data obtained from the heuristic evaluators provided comprehensive and detailed comments regarding the common areas of usability problems that were found on the three university websites. Fourteen common

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areas of usability problems were identified which suggested identifying fourteen problem sub-themes. These fourteen problem sub-themes suggested identifying four main problem themes based on the types of the identified problems. The four problem themes are related to: Navigation, design, content, and ease of use and communication. Tables 3-6 show the fourteen problem sub-themes grouped according to their themes, the description of each problem, and the number of usability problems identified on each website. Five common navigational problems were identified on the tested websites, as shown in Table 3. The results show that large numbers of weak navigational support problems were identified on the websites of Hashemite University, and Yarmouk University. For example, it was found that these websites had pages related to various departments which did not have a navigational menu or links to go back to the corresponding department (i.e. programs page on the Hashemite University website, and study plan page on the Yarmouk University website). The results also show that the three websites had usability problems related to misleading links. For example, the link related to the name of the chairman (for all the departments of Hashemite University) opened a page that was not expected by the evaluators; it opened a page that displays an introduction to the department instead of information about the chairman of the department. Also, the results show that the websites of Hashemite University, and the University of Jordan had large number of broken links, while the website of Yarmouk University had large number of orphan pages. Furthermore, Table 3 shows that all the websites had problems with the internal search functions related to the different universitiesâ&#x20AC;&#x2122; sub sites investigated during this research. Table 3. Usability problems sub-themes related to navigation problem themes that were identified on the three websites. Problem Theme

Problem SubTheme

Weak navigation support

Misleading links Navigation

Broken links Orphan pages Ineffective internal search

Number of Usability Problems The Hashemite University of Yarmouk University Jordan University

Description of the Problem A page did not have a navigational menu or links to other pages in the site. The destination page, which was opened by the link, was not expected by users because the link name did not match the content of the destination page. The site had pages with broken links. The site had dead end pages that did not have any links. The internal search did not work properly.

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17

333

218

98

453

529

208

21

15

6

220

3

4

6

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Four common usability problems were identified on the tested websites regarding their design, as shown in Table 4. Table 4 shows that all the tested universitiesâ&#x20AC;&#x2122; websites had a large number of inconsistency problems. The large number of inconsistency problems that was found on the sites is related to inconsistency in the language interface. This is related to links at the English language interface, which opened pages that displayed content in the Arabic language, and vice versa. Other common inconsistency problems that were identified on the sites consist of: Inconsistency in the font case (capital and small), inconsistency in the font size, inconsistency in the font style (regular and bold), inconsistency in the content, and inconsistency in the alignment of the header. Also, the results show that all the websites had a large number of usability problems related to an inappropriate page design. The common usability problems found on the websites regarding this area consist of: Ineffective text format on the sitesâ&#x20AC;&#x2122; pages (i.e. information, figures, and tables were not aligned correctly); the existence of many pages without headings or with inappropriate headings, and having long, and cluttered pages on the websites. Furthermore, the results show that all the websites had usability problems related to the images that were presented on their pages. The problems are mainly related to poor quality, and broken images. Finally, Table 4 shows that the websites of Hashemite University, and the University of Jordan had usability problems regarding pages with an inappropriate combination of background and font colors. Table 4. Usability problems sub-themes related to design problem themes that were identified on the three websites. Problem Theme

Problem SubTheme

Inconsistency

Inappropriate page design Design

Problems with images

Inappropriate choice of colors

Number of Usability Problems The Hashemite University of Yarmouk University Jordan University

Description of the Problem The siteâ&#x20AC;&#x2122;s design, layout, or content was inconsistent throughout the site. A page did not clearly represent its content or it had an inappropriate design, such as being cluttered or had inappropriate headings. The site had images of poor quality, or it had some broken images on some pages (i.e. images were not displayed). The site used an inappropriate combination of background and link colors.

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418

360

294

1121

995

1039

87

551

31

57

28

0

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Table 5 presents the common usability problems identified on the websites regarding content. The results show that the websites of Hashemite University, and the University of Jordan presented outdated information on their pages. Examples on these pages include: News, announcements, events, and faculty members committee pages on Hashemite University website; and latest news, activities, and faculty council pages on the University of Jordan website. The results also show that all the websites had a large number of usability problems regarding irrelevant content that was presented on their pages. The common usability problems that were found on the websites regarding this type of problems related to: Missing information about the faculty members, and courses related to various departments of the tested websites, and also empty pages. Furthermore, the results show that the content of the tested websites was not reviewed carefully; many spelling, punctuation, and grammatical errors were found. Table 5. Usability problems sub-themes related to content problem themes that were identified on the three websites.

Problem Theme

Problem SubTheme Outdated content

Irrelevant content Content

Grammatical accuracy problems

Number of Usability Problems The Hashemite University of Yarmouk University Jordan University

Description of the Problem The content of a page was outdated. The content of a page was not clear to users. For example, there was missing information about courses or faculty members. Also, pages displayed an unclear message, had repetitive content, or empty content. The siteâ&#x20AC;&#x2122;s content was not free from errors. For example, it had spelling errors, grammatical errors, or punctuations were inaccurate.

68

41

0

1020

480

900

290

50

15

Table 6 presents the identified usability problems on the three tested websites regarding the ease of use and communication. The results show that it was not easy to interact with the websites in order to visit some pages, such as course schedule page on the website of the University of Jordan. The results also show that Hashemite University, and the University of Jordan websites had problems related to the fact that they did not support the Arabic language. The language interface of the Hashemite University website including its 13 faculties, and their corresponding departments was written only in the English language. Regarding the University of Jordan website, it was found that most of its faculties (16 out of 18), and their corresponding departments were presented using only the English language. However, Yarmouk University website

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presents the university faculties, and their corresponding departments using the English and Arabic languages. Table 6. Usability problems sub-themes related to ease of use and communication problem themes that were identified on the three websites.

Problem Theme

Ease of Use and Communication

Problem SubTheme

Description of the Problem

Difficult interaction with a website

It was not easy to visit pages or to find information on the site.

Not supporting more than one language

The site did not display its content in languages other than English.

Number of Usability Problems The Hashemite University of Yarmouk University Jordan University

8

3

35

64

85

0

6. DISCUSSION This research addressed a gap noted in the literature regarding the use of a university ranking system (Eduroute) to predict the potential usability of educational websites. This research proved that the results obtained from the Eduroute university ranking system regarding the order of the top three universities in Jordan (for the year 2011) were indicators of the overall number of usability problems identified on the three websites. The website of the top first university in Jordan according to Eduroute had the lowest number of usability problems among the other two websites according to the heuristic evaluation method, whilst the website of the top third university had the highest number of usability problems. The results of this research suggest an additional advantage for making educational websites usable. Research has offered some advantages that can be gained if the usability of educational websites is considered or improved. Lencastre & Chaves (2008) indicated that addressing the usability of educational websites could help students to enjoy the learning experience, increase studentsâ&#x20AC;&#x2122; confidence, and encourage students to use the website. This research proved that considering the usability of educational websites could improve the ranking of a university website at one of the major university ranking systems (Eduroute). It is suggested that educational institutions could conduct usability studies in order to improve the usability of their websites and therefore to obtain the advantages of usable educational websites. Despite the fact that this research concerned with comparing the results obtained from a university ranking system to the results obtained from a famous usability evaluation method (heuristic evaluation), it offered usable results regarding common types of usability problems that could be found on educational websites, which is comparable to the results obtained from earlier research. Earlier research, which evaluated the usability of educational websites using the heuristic evaluation method, provided examples of the usability problems that could be found on such websites, as summarized in Section 2. These problems related specifically to: Outdated content, lack

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of navigational support links/tools, inconsistency problems (i.e. font size), ineffective internal search functions, some language problems (i.e. misspelling words), an inappropriate page design, and incomplete information. These were confirmed by the results of this research. Specific examples of problems identified in this research were discussed in Section 5. This research also provides other types of common usability problems that could be found on an educational website, based on the qualitative data obtained from the heuristic evaluators who investigated a large number of pages on the three studied universitiesâ&#x20AC;&#x2122; websites. These usability problems include: Misleading links, broken links, orphan pages, problems with images, irrelevant information, difficult interaction with a website, and a lack of support to the Arabic language. These results, together with the results obtained from earlier research, provide useful information to educational institutions regarding common types of usability problems that could be found on their websites. These issues should be taken into consideration, and should be investigated, and improved in order to improve the overall usability of educational websites, and therefore to obtain the advantages of making educational websites usable. 7. CONCLUSIONS The importance of university ranking systems is well recognized by academic institutions, and their stakeholders (i.e. students, faculty, community) since they represent a useful source of information about the performance of universities (i.e. quality of education, citation per faculty). This research investigated the possibility of predicting usability of educational websites using a university ranking system called Eduroute. It employed the heuristic evaluation method, which comprehensively evaluated the usability of the top three universitiesâ&#x20AC;&#x2122; websites in Jordan identified by Eduroute. Then, a comparison between the results obtained by the heuristic evaluation method, and the results obtained by Eduroute was made. The results showed that the ranking of the three websites was an indicator to the overall usability of the sites; the first ranked university at Eduroute had the lowest number of usability problems per investigated pages, while the least ranked university had the largest number of usability problems. The results also described fourteen common usability problems that could be found on a university website, which related to four problem themes that were identified in this research, and related to: Navigation, design, content, and ease of use and communications. This research has implications for research and practice. Implications for research: This research is the first to investigate the possibility of predicting usability of educational websites using a university ranking system called Eduroute by making a comparison between the results obtained by Eduroute regarding the top three universities in Jordan, and the results obtained by the heuristic evolution method. This research offers a base for future research. Future research is needed to investigate the results obtained by Eduroute and the heuristic evaluation method using a large sample, which could be selected from different countries. Future research could also be conducted by considering other university ranking systems, which focus on the performance of universities (e.g. Webometrics, QS World University Rankings, Shanghai ranking) to investigate the usability of the top universities in these ranking systems.

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Implications for practice: The results of this research have three implications for practice. The first concerned raising awareness among universities, specifically in Jordan, regarding the importance of considering the usability of their websites in order to improve the ranking of their university website in one of the major university ranking systems (Eduroute). The second implication relates to the fact that the results of this research, which described fourteen specific types of usability problems identified on the three universities’ websites in Jordan in terms of their type and number, are particularly useful for managers, designers, and/or evaluators of the three tested universities' websites. This is related to the fact that the detailed clarification of the fourteen problems shed the light on areas of usability weaknesses on the tested websites, and therefore could help managers, designers, and/or evaluators of the three tested universities in determining how effective their websites are as tools for online communication with their stakeholders. Such clarifications could also help and encourage them to fix the identified usability problems in order to improve the overall usability of their websites, enhance the effectiveness of their websites; and achieve the objectives of their universities (i.e. specifically those related to teaching and research). The third implication relates to the fact that the results of this research could be important for other universities, which are willing to evaluate and improve the usability of their websites. The fourteen specific types of usability problems that were identified in this research provide guidance regarding website features that should be taken into consideration when designing and/or evaluating educational websites. A limitation of this research is that only a small number of websites were selected; three Jordanian universities' websites, to conduct this research. As mentioned, further research should be conducted using a large number of universities' websites selected randomly from other countries.

REFERENCES

Agarwal, R., & Venkatesh, V. (2002). Assessing a firm’s web presence: a heuristic evaluation procedure for the measurement of usability. Information Systems Research, 13(2), 168–186. Anonymous. (2006). Step-by-Step http://www.usability.gov.

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Astani, M. (2003). An empirical study of the effectiveness of universities’ web sites. Issues in Information Systems, 4, 14-20. Astani, M., & Elhindi, M. (2008). An empirical study of university websites. Issues in Information Systems, IX(2), 460-465. Eduroute. (2011). Retrieved from: http://www.eduroute.info.

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Gonzalez, M., Granollers, T., & Pascual, A. (2008). Testing website usability in Spanish-speaking academia through heuristic evaluation and cognitive walkthrough. Journal of Universal Computer Sciences, 14(9), 1513-1528. Kostaras, N., & Xenos, M. (2007). Assessing educational web-site usability using heuristic evaluation rules. Proceedings of 11th Panhellenic Conference in Informatics, Patras, Greece. Lencastre, J., & Chaves, J. (2008). A usability evaluation of educational websites. Proceedings of EADTU Conference, Poitiers, France. Mentes, A., & Turan, A. (2012). Assessing the usability of university websites: an empirical study on Namic Kemal University. The Turkish Online Journal of Educational Technology 11(3), 61-69. Nielsen, J., & Molich, R. (1990). Heuristic evaluation of user interfaces. Proceedings of CHI’90, ACM, Seattle, WA, USA, 249-256. Nielsen, J. (1994). Heuristic evaluation. In Nielsen, J. & Mack, R. L. (Ed), Usability Inspection Methods, John Wiley & Sons, New York, 25-64. Nielsen, J., Useit.com (2003). Usability 101: Introduction to usability. Retrieved from: http://www.useit.com/alertbox/20030825.html. Nielsen, J. (2000). Designing web usability: the practice of simplicity, New Riders Publishing. Noiwan, J., & Norcio, A. (2000). A comparison analysis on web heuristic usability between Thai academic web sites and US academic web sites. Proceedings of SGI, World Multi Conference on Systems, Cybermetrics and Informatics, Concepts and Applications of Systems, Cybermetrics and Informatics, Orlando, Florida, USA. Peterson, K. (2006). Academic web site design and academic templates: where does the library fit. Information Technology and Libraries, 25(4), 217-221. Pierce, K. (2005). Web site usability report for Harvard university. Technical Report, Capella University. Sandvig, J., & Bajwa, D. (2004). Information seeking on university web sites: an exploratory study. Journal of Computer Information Systems, 25(1), 13-22. The Academic Ranking of World http://www.shanghairanking.com. The QS World University http://www.topuniversities.com.

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Toit, M., & Bothma, C. (2010). Evaluating the usability of an academic marketing department’s website from a marketing student’s perspective. International Retail and Marketing Review, 5(1), 15-24. Webometrics Ranking of http://www.webometrics.info.

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Zhang, P., Dran, G. von, Blake, P., & Pipithsuksunt, V. (2000). A comparison of the most important website features in different domains: an empirical study of user perceptions. Proceedings of Americas Conference on Information Systems (AMCIS'2000), Long Beach, CA., August 10-13, 1367-1372. International Colleges & Universities. (2011). Retrieved from: http://www.4icu.org.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.251-270 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200004

INFORMATION ARCHITECTURE ANALYSIS USING BUSINESS INTELLIGENCE TOOLS BASED ON THE INFORMATION NEEDS OF EXECUTIVES Fabrício Sobrosa Affeldt Sady Darcy da Silva Junior Federal Institute of Education, Science and Technology of Rio Grande do Sul Porto Alegre, Brazil ______________________________________________________________________

ABSTRACT Devising an information architecture system that enables an organization to centralize information regarding its operational, managerial and strategic performance is one of the challenges currently facing information technology. The present study aimed to analyze an information architecture system developed using Business Intelligence (BI) technology. The analysis was performed based on a questionnaire enquiring as to whether the information needs of executives were met during the process. A theoretical framework was applied consisting of information architecture and BI technology, using a case study methodology. Results indicated that the transaction processing systems studied did not meet the information needs of company executives. Information architecture using data warehousing, online analytical processing (OLAP) tools and data mining may provide a more agile means of meeting these needs. However, some items must be included and others modified, in addition to improving the culture of information use by company executives. Keywords: business intelligence, information needs, information architecture, OLAP, data warehouse.

_____________________________________________________________________________________ Manuscript first received/Recebido em 02/05/2012 Manuscript accepted/Aprovado em: 31/03/2013 Address for correspondence / Endereço para correspondência

Fabrício Sobrosa Affeldt, Professor at IFRS Federal Institute of Education, Science and Technology of Rio Grande do Sul Business Administration Course Rua Carmense, 85 – Bairro Rubem Berta – CEP 91180-310 – Porto Alegre – RS – Brazil Telephone: +55 (51) – 9999 6377 E-mail: fabricio.affeldt@terra.com.br Sady Darcy da Silva Junior, Professor at IFRS Federal Institute of Education, Science and Technology of Rio Grande do Sul , Business Administration Course. Rua Dr. Egon Renner, 40 – Bairro Aberta dos Morros – CEP 91751-500 – Porto Alegre – RS – Brazil Telephone: (51) – 8183-9383 E-mail: contatosady@hotmail.com Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


252 Affeldt, F. A., Silva Junior, S. D.

1

INTRODUCTION

Information technology should help organizations to understand their position in relation to their competitors, learn about their customers, monitor relationships with suppliers and control strategic objectives (Venkatraman; Henderson, 2004). Business Intelligence (BI) technology aims to improve the quality of information delivered to managers; it is being increasingly used in the business environment and has been the subject of scientific research. BI, or business intelligence, encompasses broad concepts: a) an intelligence tool based on information and monitoring the environment using data from various sources (Petrini; Pozzebon; Freitas, 2004); b) a technological tool to support managerial business decisions in organizations by means of software. With respect to technology, systems centralize information from multiple data sources, in large quantities, stored in data warehouse systems (Inmon, 1997) or data marts (Kimball, 1998), with flexibility in accessing, structuring and navigating through information (Barbieri, 2001; THOMSEN, 2002). Information architecture is an important factor in making businesses more agile and based on factual analysis, rapidly and consistently providing company executives with the necessary information so that decisions can be made based on these analyses (Tupper, 2011; Thomsen, 2002; Inmon; Terderman; Imhoff, 2001). In a survey of large Brazilian companies, Petrini, Pozzebon and Freitas (2004), found that 73% had been using BI for just over 3years. The authors concluded that its implementation, at that time, was based more on technological objectives than information needs. This led to problems in the initial use of BU technology, whether in establishing information needs, defining its relevance for the business or identifying the necessary indicators. In a more recent study, Popovic and Jaklic (2010) reported that investment in Business Intelligence in Latin America is on the rise. Brazil alone spent US$ 251 million on the sector in 2009, with a trend toward growth in the coming years. This type of technology has long been restricted to large companies. However, research points to an increase in its use among small and medium-sized companies. A study by the Gartner Group (Gartner, 2011) observed that many companies use BI, but some still fail in extracting the benefits of this technology and have a long way to go in building an architecture that will enable them to get the best results from this type of solution. A similar conclusion was reached by Popovic and Jaklic (2010) when analyzing the impacts of BI implementation on information quality. The authors report that a gap still exists between the needs of executives and the information provided by the system. The importance of dynamic and agile analysis of the data registered and organized via traditional transaction processing systems justifies the study of BI application and the possibility of better information use, employing a method to define and prioritize the necessary company information for executive decision-making. This gives rise to the research question for the present study: how can information architecture meet the information needs of executives using Business Intelligence (BI) tools? The aim of this study was to assess how information needs can be met by BI, and which of these are not registered in the current systems used by the company analyzed. A case study research strategy was applied, based on multiple data sources. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 251-270

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The information architecture used by the company was analyzed within a framework of Business Intelligence. Architecture and technology were evaluated based on the information needs of executives, identified through semi-structured interviews, secondary data and the suggestions of company IT analysts. The paper is structured as follows: Sections 2, 3 and 4 address, respectively, theoretical aspects concerning information and executive decisions, information needs, and Business Intelligence. Section 5 discusses the methodological aspects of the study, while section 6 describes the case study performed. Section 7 deals with information architecture and an analysis of information needs, and section 8 contains the final considerations, limitations and challenges for future studies. This is followed by a list of references used in the study. 2

THE IMPORTANCE OF INFORMATION IN EXECUTIVE DECISIONS

The strategic management of organizations is a broad concept which, according to Wright, Kroll and Parnell (1997), refers to senior management methods for achieving results in accordance with the missions and objectives of the organization as a whole. These methods are often linked to formal plans for defining elements that serve as a guide in organizational strategy. Mintzberg, Ahlstrand and Lampel (2000) reported that most management methods are based on evaluating strengths, weaknesses, threats and opportunities, establishing goals and devising action plans. Information is essential to planning and decision-making; however, its complexity and the speed with which it must be processed and analyzed, combined with the accelerating pace of change in the economic processes of globalization and business, has made this process increasingly critical (Porter, 1990). Cohesive information is one of the elements executives use when making decisions, requiring a basis which enables data analysis in order to generate information. Knowledge is considered an important economic resource and is created based on the ability to interpret facts, create ideas, innovate products, perceive complex relationships and solve problems (Davenport, 1998; Choo, 2004). As well as being responsible for decision-making, an executiveâ&#x20AC;&#x2122;s role includes disseminating, monitoring and being a spokesperson for organizational information (Mintzberg, 1972). It is on the basis of information that relationships are built and data are transformed into relevant information, allowing effective solutions to be created for the organization and society as a whole. 3

THE INFORMATION NEEDS OF EXECUTIVES

The information needs of business executives have particular characteristics. Excess information in systems can also be considered a problem. Rockart (1979) found that information systems presented problems when executives were required to search through a number of reports, which contained varying degrees of detail, making it difficult to select the important information. Thus, it was argued that each business area should define its particular information needs so that systems could be developed and used in accordance with these definitions, based on Critical Success Factors (CSF). Davenport (1998) reported the existence of several difficulties, including identifying JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 251-270

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information needs, the large amounts of data stored within the systems and the need for human intervention in order to make information available. Executives process information from a variety of internal and external sources, making decisions, formulating strategies, and distributing information both within and outside the company. This is achieved based on their own ideas as well as through internal operations, events, analyses, trends and even pressures. The key to a support system for company executives is relevant information that is delivered quickly and cohesively, enabling decisions to be made (Mintzberg, 1972) that are not only based on facts and structured information, but are also affected by factors such as affection, preferences and experiences (Simon, 1965). Choo (2004) proposes that information not be considered as an object (resource), but rather the result of people, constituting meaning through messages and insinuations, since it resides not in artifacts (systems, spreadsheets, documents), but in the minds of people. Hence, there are three basic steps to obtain and use information: a) information needs: represent cognitive gaps that prevent people from progressing and cause uncertainty. In this respect, determining these needs should not only consider the question ‘what do we need to know?’, but also ‘why do we need to know?’, ‘what is the issue in question?’, ‘what do we already know?’, ‘what can we expect to find’ and ‘how will this help?’; b) search for information: after identifying the need, based on determining the possible sources, select which sources to use, locating or contacting and interacting with the sources. Choosing and searching for information is influenced by the amount of time, effort, cost required for interaction, complexity and environment; c) using information: how an individual uses the information selected: contextual development, understanding a particular situation, knowing how and what to do, gathering facts, confirming another piece of information, forecasting future events, motivating or sustaining personal involvement, developing and improving relationships and personal accomplishment. People can choose to suppress these needs, avoiding problems and declining to search for information. On the other hand, they can also opt to seek information, understand it and use it, carrying out their roles. In addition to issues related to obtaining and using information, Thomsen (2002) presents an example for the scope of decision, relating it to the systems and hierarchical levels of organizations. At operational levels, the number of decisions is more frequent and the decision scope involves less information, and is serviced by transaction processing systems (operational). At the tactical level, the scope and number of inputs increases while the number of outputs declines. At the strategic level, a decision encompasses a greater number of input information. The number of decisions is lower, but more complex and with a greater impact on the organization. It is on the tactical and strategic levels that OLAP tools, BI and Decision Support Systems (DSS) operate. Figure 1 depicts the example used by Thomsen (2002).

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Decision

SAD - BI - OLAP

Strategy

OLTP Transactions

Input and Output Scopes

Figure 1: Scope of Decisions. Source: Thomsen (2002). Information need is a fundamental issue in the development of a system, but other elements surrounding it must also be analyzed, such as searching and use. The development of a system should always take into account the supply of useful information to solve problems, considering its quality and quantity. The process of decision-making and information sharing for the entire organization is performed based on technological tools, the most suitable of which is called Business Intelligence (Barbieri, 2001; Thomsen, 2002; Petrini, Pozzebon; Freitas, 2004). 4

BUSINESS INTELLIGENCE (BI), TECHNOLOGY AND INFORMATION ARCHITECTURE

Business Intelligence (BI) can be conceptualized as a set of information systems that support decision making, based on other data storage, analysis and data mining technologies (Thomsen, 2002). However, there are theoretical gaps in some aspects of the concept that best defines Business Intelligence as a technological tool. Suppliers of IT solutions hold a variety of views in relation to the operational scope of these systems and their emergence. BI is geared towards obtaining information using data stored in transactional databases (Degent, 1986; Barbieri, 2001; Quandt; Fernandes, 2003). In this respect, the aim of a BI system as a technology is to create a structure that transforms data registered within the organization into information useful in decisionmaking, thereby creating value for the company (Thomsen, 2002). Information is structured via fact and dimension tables into a data storage component. Dimension tables hold descriptive data reflecting an aspect of the business, that is, they help to define a component via information. Examples of dimension tables are: products, time and brand. These tables are described by attributes, that is, characteristics that define them. For example, the dimension product can be identified by the attributes color, weight, size and unit price (Kimball, 1998), while the concept of fact is related to the storage of numerical measurements for the business, that is, a factual measurement associated with a dimension. For example, the dimension product may be associated to a fact, sales, which is also related to the dimension time. In this hypothetical relationship, an analysis could be conducted to obtain the monthly sales for a product. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 251-270

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Business Intelligence consists of three basic components: a) data storage, in data warehouses (DW) and data marts (DM) (Inmon, 1997; Kimball, 1998; Serra, 2002); b) analysis tools, called On Line Analytical Processing (OLAP), that allow navigation among information (Tomsen, 2002); c) data mining (data mining), which enables the extraction and discovery of patterns of information in data and specific cases (Harrison, 1998; Taurion, 1997). The implementation of BI technology provides better results, however, when aligned with two elements. First, it should be based on the information needs of executives, enabling them to centralize information regarding the critical success factors (Rockart, 1979) of an organization. According to Petrini, Pozzebon and Freitas (2004), another important issue is that implementation should be based on supporting executive decisions, that is, on information relevant to the business and indicators created in accordance with strategic objectives. Barbieri (2002) suggests that BI also incorporate balanced scorecard indicators (Kaplan; Norton, 1997), vital for extracting strategic information from transaction processing systems. In order to achieve the desired results, it is essential that technological tools be used to construct information architecture that supports decisions. As per Tupper (2011), information architecture supports executive tasks and it supplies specific numbers, reports, access to data and forms, allowing learning to occur regarding the products and services of a company, thereby improving business performance based on facts and dimensions. Figure 2 depicts a framework with the Technologies and components of an information architecture system. OLTP proccess - Transactional

Data Warehousing

OLAP Process

ETL Proccess

OLAP

Source

Data Mining

Systems

Data Warehouse Data marts

Integrated Systems Legacy Systems

Staging Databases

Strategic Data Clients, Suppliers, Businesses, etc.

Applications OLAP Server Balanced Scorecard

External

Indexes

Information Sources

Figure 2: Framework of Information Architecture. Source: Author, based on theoretical reference. According to Barbieri (2001), strategic business plans (SBP), the IT plan (ITP) and balanced scorecard (BSC) must be aligned. Business Intelligence (BI) technology should provide the data required for the plans and indicators of the BSC as the core technology, since it defines the structures of information needs that can be stored in the

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system. The SBP has been considered an administrative technique that creates awareness of certain elements among the entire organization: strengths, weaknesses, goals, targets, threats and opportunities, among others (Rezende, 2002). The ITP, on the other hand, refers to the need for strategic, tactical and operational structuring of “IT and its resources: hardware, software, telecommunications systems, data and information management” (Rezende, 2002, p. 20). Construction of an information architecture system should follow a gradual process of analysis and development, based on what Inmon (1997) calls the “data warehousing process”. This allows the use of a database stage for extracting, transforming and loading data (ETL process). Data warehousing can be performed using source systems, either the organization’s own integrated system or external systems, such as: electronic spreadsheets, workflow systems and information obtained online. 5

RESEARCH METHODOLOGY

Research was conducted using a case study, the method recommended in order to understand phenomena and their contexts in the stages of development. This strategy is generally applied in studies investigating a contemporary phenomenon within its actual social context and in what ways boundaries between the phenomenon and social context are not clearly defined (Yin, 2001). In addition, a set of systematic and rational activities was used to achieve objectives, evaluating and correcting errors. Data were collected from multiple sources, primarily via in-person semi-structured interviews (the questionnaire applied is presented in Annex I), analysis of information needs, a variety of documents and comparison with information systems. The case study was based on the relationship between the following factors: the research question, extent of control of researchers and time of the phenomena studied. The study was developed based on the relationship between Business Intelligence (BI) technology and the information architecture capable of satisfying information needs for decision making by executives. Research was conducted in three stages. The first phase, Research preparation, was conceptual in nature. This involved defining the theoretical foundation to be used, the theme (information architecture and Business Intelligence) and objective of the study. The definition of the subject was related to the choice of theoretical approaches for the investigation: determining a basic area for the bibliographic review, defining the research problem and justifying the study. The second stage was that of Research Planning and included conceptual and practical elements, aimed at establishing conceptual relationships in relation to theoretical aspects and methodology. A schedule was drawn up by analyzing IT literature, information needs, information architecture and BI and its technological components. A research protocol was compiled, in which variables were grouped into: organizational context, planning of IT resources, human resources and information needs. The third phase was denominated Research execution and consisted of reviewing and defining data collection instruments in accordance with the schedule, determining contacts for semi-structured interviews, as well as the interviews themselves and their transcription. An additional task was that of gathering and analyzing secondary data, which were significant in this study as the sources of JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 251-270

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information required for information architecture. With respect to data analysis, each interview lasted approximately seventy minutes (average duration). Transcribing each interview took on average three and a half hours. Execution was divided into steps, aimed at collecting primary and secondary data to construct the proposed result. a. Interviews with Business Managers: focusing on obtaining important information regarding how executives perceived the company under study in relation to information technology, information systems and human resources (people). A total of seven business executives were interviewed, from different areas of the organization. Interviews were numbered and classified, with only some excerpts from the transcriptions presented in this study. During this process, the information needs of executives were also identified, serving as a basis in analyzing whether these were met by the organizationâ&#x20AC;&#x2122;s existing information architecture system. b. Interviews with IT Analysts: these interviews were conducted in order to compare the perception of company IT analysts regarding information technology, information systems and information needs against those of the executives. A total of six IT analysts were surveyed, who catered to the organization's business departments. Interviews were numbered and classified, with only some excerpts from the transcriptions presented in this study. The IT analysts provided support in analyses of existing secondary data, assisting in the understanding of the data models and systems in operation; c. Study of the Company Business: important in order to associate business processes with analytical solutions and information needs. In the specific case studied, this step proved to be significant in the analysis of the company context, containing different businesses. Understanding of the business was achieved by studying secondary data, cross-referenced against interviews and with the support of IT analysts (interviewees); d. Study of Information Architecture Capabilities in Meeting Information Needs: achieved by analyzing the architecture and information from source systems. Source systems are the sources of registered data that were used to construct the organizationâ&#x20AC;&#x2122;s information architecture system. Among the data analyzed, the following are found: configuration information, databases, documentation on strategic plans and system reports, obtained from company management. The arrangement of secondary data was complex due to the variety of formats, media and sources studied. Those capable of being stored in digital format were separated and duly identified. Documents such as spreadsheets or plans (SBP, ITP and BSCC), in digital format, were placed into a directory accessible only by researchers, submitted to analysis and received comments relevant to the study. Analyses were performed based on the text and diagrams of these materials. It is important to note that when researchers encountered difficulties understanding these materials they were assisted by the interviewees and IT analysts, who had extensive knowledge on the subject.

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CASE STUDY

This section discusses the organization under study and describes the collection and analysis of primary and secondary data. 6.1

The Organization Under Study The case study was conducted in an organization that operates a variety of businesses in the service sector. It consists of four companies that represent the Rio Grande do Sul business sector, with activities geared towards promoting and developing the economy of that state and Brazil as a whole. The first company operates within the education and technological services industries, the second in the social arena, the third promotes integration between universities and businesses and the fourth carries out services in the fields of economic research, industrial certification and other services catering to industries. This organization was selected because it has an integrated system with a single database for most operational applications, and its information architecture was in the implementation phase, using BI. 6.2

Primary Data Primary data were gathered through interviews. This section briefly describes the analysis of these data, in accordance with the sections of the research instrument. The content of interviews was evaluated and high, average and low values were assigned to classify variables. High, average and low levels were recorded in studies by Reich and Benbasat (1996) and Audy and Brodbeck (2203), with levels in the present study attributed by the researchers based on content analysis of the interviews. The analyses presented were grouped, that is, they represent summaries of interviews with business executives and IT analysts. Several contradictions emerge from the analyses, and are remarked on when this occurs. 6.2.1 Organizational Context The assessment of the organizational context aimed to obtain a general overview in relation to the use of IT and how executives perceived the position of this department within the organization. This section provides a description of variables such as the focus of the organizationâ&#x20AC;&#x2122;s IT department and receptiveness to new technologies, in order to determine the perception of the interviewees regarding these variables. According to the analysis performed and the interviews conducted, the focus of the IT area is that of providing operational support for business. Evaluations of the interviews indicated concern regarding the strategic use of information. For example, we identified a need to create a platform of more detailed information, enabling better relationships with clients and the use of existing databases to add value. The organizational context assessment found that interviewees perceived the capability of meeting informational needs at operational level (corporate) as high. Fulfillment of these needs at the final product level (in areas associated with management) was perceived as average, with improvement needed. There is a clear need for the use of tools to improve the strategic fulfillment of information needs, as demonstrated by an excerpt from one of the interviews: Information needs are not entirely met, particularly in regard to management and strategic information. Most areas rely on accounting and financial information, which often takes time to JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 251-270

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be made available, meaning these areas lack fast access to this data (Entrevista 005, 2004, p.1) 6.2.2 Planning for IT Resources This section addresses the perception of interviewees concerning planning and investment for resources related to technological aspects, including: hardware, software, telecommunications systems, management of data and operating systems. The organization adopts a single planning methodology for all the companies that make up the System, with a centralized IT department. Differences were observed with respect to system development. A certain maturity was highlighted in resource planning, since it has been carried out in line with this methodology for several years by most of the companies. 6.2.3 Human Resources In relation to human resources, we evaluated issues such as professional IT qualifications, training of system users, participation in ITP and SBP and effective knowledge of the business among IT professionals. Regarding the qualification and training of IT professionals, most of the interviewees attributed high levels. This point was also emphasized for planning of the organizationâ&#x20AC;&#x2122;s IT area. Knowledge of the business among IT professionals was considered average. 6.2.4 Information Needs The information needs of executives were studied based on the concept of Critical Success Factors - CSF (Rockart, 1979), analyzing whether these were provided by the organizationâ&#x20AC;&#x2122;s current transaction processing systems. Information needs were investigated through interviews with company executives and IT analysts and the analysis of documents, systems in use and database models. It was found that measurement of indicators via transaction processing systems was only partially achieved and that some were not integrated into the corporate systems. For example, some indicators are entered manually and measured through electronic spreadsheets. One interviewee emphasized the need for systematic control of indicators using IT tools, specifically Business Intelligence (BI): We are currently developing a tool to monitor the metrics. At operational level we have tools with these characteristics, but we feel they can be enhanced, improved. We understand that Business Intelligence tools, for example, exhibit components that meet these needs (Entrevista 006, 006, 2004, p. 6-7). With respect to the existence of specific systems for obtaining strategic information, most interviewees cited BI tools. BI has been gradually implemented within the organization, initially in specific areas where its implementation could be assessed and modifications recommended for specific solutions. Decision support systems, data warehousing, data mining and balanced scorecards were cited as tools for indicator analysis. IT analysts interviewed stressed that searching for and cross-referencing information in the transactional database may result in performance issues for the remaining systems and, as such, the ideal solution would be an exclusive database specifically for this purpose. Chart 1 presents a summary of the main information needs identified, categorized by subject.

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Chart 1 Main Information Needs Subject Information Brief Description Inf.(1) Source Revenue generated by Percentage of revenue generated by Cost Y IS (2) marketing agents marketing agents for other Units. Control Education Technical Man-hours Number of man-hours spent on Y IS technical and technological services. Interviews Percentage of graduates inserted into the N BSC (3) Education Placement Rate labor market Rate of Committed Recurring Revenue Strategic Recurring Revenue Y BSC Strategic Projects and actions Number of projects and actions that Y Interviews ensure quality and innovation in Technological Services. Number of projects and partnerships Strategic Projects and Y IS Partnerships established and maintained with other organizations. Number of projects involving more than Y BSC Strategic Joint projects one Unit IS Perception of the general public (media, N BSC Strategic Brand Recognition companies and potential clients) regarding the brand. Growth capacity calculated by the Strategic Operating Results Y BSC difference between current income less current expenditure. Perceived value of the Estimated perceived benefit by the Client N BSC service provided companies serviced. Profile Special service for Indicator design plan including number Client N BSC contributors of visits, priority service and price Interviews Profile differences according to size and demand. Client satisfaction Rate of client satisfaction with Client N BSC with Professional Professional Education Profile education Satisfaction with Rate of client satisfaction with technical N BSC Client Technological and and technological services. Profile Technical Services. Services to Number of individuals Number of direct beneficiaries of social Y BSC benefitted responsibility initiatives Society Expenditure on social initiatives in Services to Percentage of Y BSC investments in social relation to the revenue budget. Society initiatives Source: Authors. (1) Inf. : Indicates whether the information can be obtained by the organization’s current systems; (2) IS – Integrated System, automates the operational processes of organization units. (3) BSC – Balanced Scorecard – there is currently no software to measure the indicators.

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262 Affeldt, F. A., Silva Junior, S. D.

It is important to underscore that the items presented in Chart 1 represent the main needs among all of those identified. These indicators may consist of other indicators in the form of calculations. A total of 170 key indicators were identified, with a variety of sources and formulas, classified by subject into 9 proposed data marts (DM). Two main causes were cited in relation to difficulties obtaining information and performance indicators: transaction processing systems not containing the information and the profile of information use. In other words, the executives do not yet have a culture of using analytical tools, representing a challenge for the organization. 6.3

Secondary Data The secondary data in this research were the study of company business and its source systems. 6.3.1 Study of the Company Business: A Study of the Company Business was conducted in order to relate business processes with analytical solutions and information needs, and involved an analysis of systems and system models, cross-referenced against interviews and supported by IT analysts. The operational structure of the company provides services in the following areas: social, education, technology, international relations and foreign trade, agribusiness, business expansion and incentive, infrastructure, competitiveness, economic research and studies, legal consultancy, the environment and sustainable development, support for micro and small industries and labor relations. One of the companies in the organization uses the BSC tool (Kaplan; NORTON, 1997) as part of its strategic planning. The methodology has been in place for approximately two and a half years and enables planning to be measured using objectives, indicators and targets. It also allows communication planning for the entire company via a strategy map. The method is currently under development in another company within the group. However, the existing information architecture does not yet provide access to these metrics in BI tools. They are measured separately, as confirmed in interviews with both company executives and IT analysts. 6.3.2 Study of the Source Systems The companies are interconnected by an Integrated Management System, referred to as the IMS in this study. It consists of several modules that provide most of the transaction controls needed for process management. The IMS modules were developed internally by organization employees, in accordance with the specific needs of each area. They are maintained according to demand in the business areas and carry out specific functions, including: accounts payable, accounts receivable, tax control, inventory control, accounting and cost control. All the systems are integrated into a single database. The role of the main system modules is summarized in Chart 2, together with the type of support the system provides to the organization, indicated by: ‘O’, for operational support, ‘M’, for management support and ‘S’ for strategic support. Strategic support systems are capable of providing information that can be crossreferenced and analyzed to improve business performance (O’brien, 2001).

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Chart 2: Main IMS Modules. Module Health Agenda

Brief Description Allows appointment scheduling for healthcare professionals, controls medical charts, refers services to suppliers and maintains records of leave. Manages spaces administered by the Gated Community Scheduling System, Exhibition Center and Theater. Performs scheduling, rental and quoting for spaces and services in the Mobile Units and areas of the Sporting Centers Controls operations responsible for monitoring payments Revenue from institutional funds, identifying late payments, and forecasting amounts receivable. Controls installments related to transactions following audit visits. Controls direct and indirect revenue. Services all the companies, recording information pertaining Corporate to industries within Rio Grande do Sul, products, raw Records material and performance markets. Also contains data on individuals and legal entities such as suppliers, clients, associations, unions and federations. Enables the preparation, control and execution of payments Accounts to suppliers, comprising the following modules: maintaining Payable a record of suppliers and bank details, maintenance of payment documents, forecasted payments, payment control reports, reports of payments made to suppliers, as well as accounting. Operates the records of agreements between the organization Accounts and client companies, for payments with installments by Receivable employees in the units. Manages billing documents, as well as overdue, maturing and defaulted payments Maintains records of the physical and financial inventories Inventory of products in the business units, issues inventory statements Control and calculates the average cost of merchandise, as well as recording accounting operations. Asset Control Registration and control of the inclusion and handling of all assets and property, managing processes related to definite equity write-off, enabling the registration of changes or additions to assets. Tax Control Performs bookkeeping and tax control operations, consisting of: Input and Output records, Inventory Records, Calculation Records, Voluntary Disclosure, Tax files (GIA, DIRF and GPS). Enables the registration of tax documents, calculation of tax debits and credit and issuing invoices. Bidding and Enables a Bidding Process for purchases, controls the receipt of proposals for supply, issues Purchase Orders and monitors Purchasing and records negotiations with suppliers. Issues operational and management reports. Maintains clients records; classification of customers by Marketing market segment,; preparation and monitoring of initiatives and campaigns. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 251-270

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Support O

O, M

O, M, S

O, M

O, M, S

O, M, S

O, M

O

O, M

O, M

O, M, S


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Allows the planning of expenditure, performance and strategic positioning of units and management. It is currently being adapted to balanced scorecard use. Accountability Gathers accounting information in all activity centers. The information is sent to other systems, serving as a basis for accounting and cost control. System composed of six modules aimed at addressing the ISS â&#x20AC;&#x201C; specificities of administration in Operating Units within the Integrated School System education sector. Maintains a record of scheduled and completed training. Training Tabulates quantitative information (times and amounts) for System the forecasted budget against actual results. Source: Authors. Action Plan

O, M, S

O, M

O, M, S

O, M, S

Remarks: Compiled based on Strategic IT Planning (ITP) and analyses of interviews, secondary documents and system manuals.

7

Analysis of Organizational Information Architecture

Based on the research phases previously described, the organization has taken steps to define its information architecture using technological components of Business Intelligence. The following section contains a description of the architecture and the analysis regarding the fulfillment of information needs. The organization designed nine data marts (DM) which, once fully â&#x20AC;&#x153;loadedâ&#x20AC;? with the relevant information, will form the corporate data warehouse (DW) (KIMBALL, 1998). Implementation is underway using dimensional models, storing tables based on facts and dimensions. The following data marts were designed: 1) Strategic information: provides information on the strategic performance of different units within the organization, such as: monthly performance reports (strategic indicators); margin indicators for organizational managers and detailed information regarding organizational units; 2) Sales Analysis: provides information such as the average ticket for business units; information regarding the division of sales (counter; card; check; company agreements); time comparisons (previous month, last month of the year); progress (through graphs); participation by branches and employees (clerks and managers); participation by suppliers and products in sales; 3) Client Profile: provides information regarding loyalty programs and promotional campaigns, customer segmentation (by category, age range, gender, socioeconomic profile and occupation, among other criteria); will allow market basket analysis (product mix vs. ticket level); 4) Human Resources: supplies information that facilitates the sizing of teams (total number for the company and by area), redistribution of personnel by shift and performance analysis in business areas; 5) Purchasing Analysis: provides information on the ranking of suppliers and products, and division by categories (of suppliers), margin of products, logistics by supplier and participation by laboratories and products;

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6) Cost Management: supplies information on the administration of operating expenses (fixed and variable) for companies and business units. 7) Educational Services: reports on the loyalty programs for students; participation of contributing companies; promotional campaigns for courses; customer segmentation and correlation (correlation of courses for students/clients); 8) Technical Services: technical, laboratory and workshop services provided to clients; 9) Social Services: services provided to society (education, health, leisure, dentistry and disease prevention services). The basic structure of the main database tables developed to hold the data marts is presented in Chart 3, with the relevant classification. Chart 3: Description of the multidimensional tables designed. Table

Main Functions

Student

Enables the registration and control of student records. Controls loyalty programs, classification, study levels and occupation. Maintains a history of marketing campaigns, recording the effectiveness and return on each campaign. Maintains a history of social initiatives. Enables the registration and control of customer records. Controls loyalty programs, classification, study levels and occupation. Controls the history of organizational structure. Enables sub-classification by holding, region, zone and neighborhood. Maintains a history of all types of company expenditure. Allows the control and distribution of meal vouchers through the Distribution and Assembly Center. Allows the control and distribution of products by warehouses. Maintains a history of inventory control for products in the business units. Maintains records of product manufacturers. Enables the monitoring of branches of company units (business units, drugstores, operating and educational units, Finance units). Allows differentiation by type, capacity, status and location. Maintains a history of product suppliers. Maintains a history of employee profiles for the organization (all levels).

Campaign

Client

Corporate

Expenditure Distribution

Inventory manufacturer Branches

Supplier Personnel

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Fact / Dimension Dimension

Dimension

Dimension

Dimension

Dimension Dimension

Dimension Dimension Dimension

Dimension Dimension


266 Affeldt, F. A., Silva Junior, S. D.

Geography

Partners

Product

Time

Type of Receipt

Shifts

Campaigns Citizenship

Accounting Billing Enrollments

Payments Source: Authors.

Maintains a record of the locations of all company units. Enables localization by country, state, city, neighborhood and zip code. Maintains a history of partner organizations and institutions, including universities, the government, companies and non-governmental organizations. Maintains a history of products, product departments, product groups and subgroups, recording all product-related information. Records product classes and the classification history of products. Maintains a history of data scaled by time, such as year, semester, quarter, month, week, day. Allows time-based comparison. Allows differentiation between types of payment receipts for sales and purchases. Associates forms of payment (cash, card, company agreements and others). Monitors shifts to keep a record of sales history. Enables analyses regarding sales â&#x20AC;&#x153;peaks" on a given day. Maintains a record of marketing campaigns and students enrolling. Maintains a record of citizenship initiatives carried out by the company and organizations responsible for services to society. Maintains a history of accounting records. Records the billing history for all companies within the organization. Maintains a history of student enrollments for the organizations providing services in the education area. Records payments made and received.

Dimension

Dimension

Dimension

Dimension

Dimension

Dimension

Fact Fact

Fact Fact Fact

Fact

The information architecture is gradual and consists of three basic BI technology components: storage, analysis and mining. With respect to storage components, the model includes dimension tables based on the concepts of facts and dimensions, using data marts and gradual data warehousing (Kimball, 1998). Information architecture allows for the use tools to enable navigation among information via OLAP applications (Thomsen, 2002). These act on data stored in the data marts, enabling tasks such as information analysis and cross-referencing, detailing and summarizing, issuing reports on the information analyzed, recording reports on the OLAP application server, generating graphs and exporting information to electronic spreadsheets and files. Analyses can be performed at management and operational level (sales and customer profiles, for example), as well as the strategic level, by measuring the indicators defined in the balanced scorecard and included in the model.

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In regard to mining tools, the information architecture system will include data mining applications enabling searches for relationships between the information stored on databases (DMs and DWs) and patterns discovered in information that supports business decision making. This component is not yet in use and, as such, a more extensive analysis is not possible. Based on an assessment of the information architecture, and cross-referencing against interviewee responses, it is evident that the system satisfies the proposed theoretical requirements presented in the theoretical framework of this study, with most components of the framework found in the literature present in the system. On the other hand, the information needs identified were only partially met. Although the organization has already partially implemented information architecture, the strategic use of information was considered low, a fact evident in the responses of interviewees. This indicates a need for greater development of the architecture in order to align the information obtained in the process with strategic organizational objectives. The outcome of this study is similar to that reported by Popovic and Jaklic (2010) in that a gap exists between the needs of executives and the information they receive, particularly from a strategic standpoint. It was observed that most of the information needed is present in the organizationâ&#x20AC;&#x2122;s transaction processing system, but it is not yet used analytically via OLAP tools. Moreover, the interviewees reported that not all the required information is delivered quickly and cohesively and not all the executives have a culture of using this information effectively to generate new opportunities. The information architecture was found to be well-structured, but progress is needed with respect to meeting the existing information requirements. Furthermore, we believe that in addition to improvements in technological development and the information provided by the architecture, the cultural issue in relation to strategic use of this information should be addressed within the organization.

8

FINAL CONSIDERATIONS

BI technology supports the structuring of information, delivering it rapidly and cohesively so that personnel may use it to improve business performance. In the present study, tools were analyzed in relation to the fulfillment of executiveâ&#x20AC;&#x2122;s information needs, from a theoretical and practical perspective. The information architecture of an organization provides a means of constant connection with its clients, suppliers and partners, and should be geared towards strategic management. The strategic management process can be supported by BI technology through architecture of information that should integrate and centralize different data sources, whether internal or external. The construction of information architecture performed in this study led to the conclusion that BI tools can be important in providing business executives with the necessary information. In the case studied, transaction process systems did not meet all the executiveâ&#x20AC;&#x2122;s information needs, though information architecture applying BI demonstrates technological and business characteristics that satisfy a significant portion of these needs. There is also an issue regarding the lack of knowledge among the executives interviewed concerning the potential of the technology for creating analytical applications. This factor was shown to be relevant and warrants further investigation. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 251-270

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We believe that the objective of the study was accomplished through analysis of the information architecture and comparison against the information needs of executives, identifying a number of gaps for the organization. A long-term assessment is needed to determine whether effective use of BI technologies in the organization will indeed result in strategic improvements in performance or the creation of new business. Limitations were present with regard to the qualitative nature of the study, since conclusions cannot be generalized. The case study conducted provided greater depth; however, the practical conclusions cannot be generalized for other organizations, serving only as context for research. An additional limitation was that the study came to a close prior to complete implementation of the information architecture system. Thus, it was not possible to evaluate all the outcomes, although some areas had already shown good results. It is suggested that future studies conduct research and analysis focusing on the effective results of implementing BI technology, determining whether this brings real benefits to company performance and allows the creation of new business or changes in existing business. Another challenge would be to analyze companies that have already adopted BI, ascertaining whether the method of constructing the architecture was based on the information needs of executives. REFERENCES Audy, J. N; Brodbeck, A. F. (2003). Sistemas de Informação: Planejamento e Alinhamento Estratégico nas Organizações. Porto Alegre: Bookman. Barbieri, C. (2001). BI – Business Intelligence: Modelagem e Tecnologia. Rio de Janeiro: Axcel Books. Choo, C. W. (2004). Preenchendo as Lacunas Cognitivas: Como as Pessoas Processam Informações. in DAVENPORT, T. H.; MARCHAND, D.; A. DICKSON, T. Dominando a Gestão da Informação. Porto Alegre: Bookman. Davenport, T. H. (1998). Ecologia da Informação: Por Que Só a Tecnologia Não Basta para o Sucesso da Informação. São Paulo: Futura, 1998. Degent, R. J. (1986). A importância Estratégica e o Funcionamento do Serviço de Inteligência Empresarial. Revista de Administração de Empresas, v. 26, n. 1, p.7783.FULD, L. (2011). The New Competitor Intelligence. New York: Wiley, 1995, pp. 417-436. Gartner, Group. Key Issues for Analytics, Business Intelligence and Performance Management, 2011. Disponível em: < http://www.gartner.com/technology/itglossary/business-intelligence.jsp>. Acesso em: 20/01/2012. Harrison, T. H. (1998). Intranet Data Warehouse. São Paulo: Berkeley, 1998. IDC. (2011). IDC Brasil divulga panorama do mercado de BI na América Latina. Disponível em: <http://www.idclatin.com>. Acesso em: 06/06/2011. Inmon, W. H. (1997). Como Construir o Data Warehouse. Rio de Janeiro: Campus. Inmon, W. H.; Terderman, R. H.; Imhoff, C. (2001). Data Warehousing: Como Transformar Informações em Oportunidades de Negócios. São Paulo: Berkeley. Kaplan, R. S.; Norton, D. P. (1997). A Estratégia em Ação: Balanced Scorecard. 9 ed. Rio de Janeiro: Campus.

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Kimball, R. (1998). Data Warehouse Toolkit: Técnicas para Construção de Data Warehouses Dimensionais. São Paulo: Makron Books. Mintzberg, H. (1972). The Myths of MIS. California Management Review, pp. 92-97. Mintzberg, H; Ahlstrand, B; Lampel, J. (2000). Safári de Estratégia. Porto Alegre: Bookman. Petrini, M.; Freitas, M. T.; Pozzebon, M. (2006). Inteligência de Negócios ou Inteligência Competitiva? Noivo Neurótico, Noiva Nervosa. In: Anais do 28º ENANPAD, Salvador - BA. Petrini, M.; Pozzebon, M.; Freitas, M. T. (2004). Qual é o Papel da Inteligência de Negócios (BI) nos Países em Desenvolvimento? Um Panorama das Empresas Brasileiras. In: Anais do 28º ENANPAD, Curitiba - PN. Popovic, A.; Jaklic, J. (2010) Benefits of Business Intelligence System Implementation: an Empirical Analysis of the Impact of BI System Maturity on Information Quality. European, Mediterranean & Middle Eastern Conference on Information Systems . Porter, M. E. (1990). Vantagem Competitiva. Rio de Janeiro: Campus. Quandt, C. O.; Fernandes, A. C. C. B. (2003). Aplicação do Conceito de Inteligência Competitiva e seu Impacto no Processo Estratégico em Organizações do Terceiro Setor. In: Anais do 27º ENANPAD, Atibaia - SP. Reich, B. H.; Benbasat, I. (1996). Measuring the Linkage between Business and Information Technology Objectives. MIS Quarterly, p. 55-81. Rezende, D. A. (2002). Tecnologia da Informação Integrada à Inteligência Empresarial: alinhamento estratégico e análise prática nas organizações. São Paulo: Atlas. Rockart, J. F. (1979). Chief Executives Define Their Own Data Needs. Harvard Business Review. 57(3), pp. 81-93. Serra, L. (2002). A Essência do Business Intelligence. São Paulo: Berkeley. Simon, H. (1965). Comportamento Administrativo. Rio de Janeiro: USAID. Taurion, C. (1997). Data Warehouse: Estado da Arte e Estado da Prática. Developers’ Magazine, Rio de Janeiro, n.6, p.10-11, fevereiro. Thomsen, E. (2002). OLAP: Construindo Sistemas de Informações Multidimensionais. Rio de Janeiro: Campus. Tupper, C. D. (2011). Data Architecture: From Zen to Reality. Burlington-EUA: Elsevier. Venkatraman, N.; Henderson, J. C. (2004). Plataformas de Negócios para o Século XXI. in DAVENPORT, T. H.; MARCHAND, D.; A. DICKSON, T. Dominando a Gestão da Informação. Porto Alegre: Bookman. Wright, P.; Kroll, M. J.; Parnell, J. (1997). Strategic Management: Concepts. 4th ed. Prentice-Hall. Yin, R. K. (2001). Estudo de Caso – Planejamento e Métodos. 2 ed. Porto Alegre: Bookman. Zwicker, R.; Souza, C. A. (2003). Sistemas ERP no Brasil: (Enterprise Resource Planning) Teoria e Casos. São Paulo: Atlas. p. 63-87. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 251-270

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No. OC-1 OC-2 OC-3 OC-4 OC-5 OC-6 OC-7

No. IT-1 IT-2 No. PEO-1 PEO-2 PEO-3 PEO-4 PEO-5

ANNEX I Semi-Structured Questionnaire used for the Interviews Questions â&#x20AC;&#x201C; Organizational Context What is the focus of the IT area in the organization (operational, strategic)? What is your perception in relation to receptiveness regarding new information technologies (is there resistance or not)? In your opinion, is there adequate proximity between management, IT professionals and information users? Why? In general, how do you perceive the alignment between IT and the business strategy of your organization? How do you perceive the complexity of an IT department in meeting the needs of a variety of organizations with different needs? What is your perception of the integration issue, where information systems are used by more than one company? What is your opinion regarding the fulfillment of information needs within the business areas? Questions â&#x20AC;&#x201C; Planning of Information Technology How are the IT Resources of the organization planned in accordance with the needs of the different areas / Business Units? How do IT Resources receive investments within the organization? Questions - People Are personnel in the IT department qualified and trained to meet the needs of your area and the company? Are system users trained/skilled in using the systems, according to your area? Do system users and executives from the different areas participate in the planning and design of the systems? Do executives from the different areas participate in planning for the IT department? Do IT personnel have knowledge of the business for the area in which they operate? How are they trained?

No. IN-1 IN-2 IN-3 IN-4 IN-5

Questions - Information Needs What are the main indicators or strategic information needs of your business? Do the current Information Systems allow access to and control of these indicators? Are there specific systems that can be used to obtain this information? What are the main problems with obtaining this information using the current systems? Where (documents, reports, systems) would it be most appropriate to search for these metrics? How frequently (monthly, weekly, fortnightly) are these indicators monitored? IN-6 How frequently (monthly, weekly, fortnightly) are these indicators revised and IN-7 reformulated? REMARKS: a) The questions are not restrictive and the script (open-ended) allows for questions that are not included. b) The script was used to guide the interviews, taking into account the approach and fluency of interviewees; c) The interviews were recorded, with the authorization of interviewees, and transcribed for subsequent data analysis; d) Data required to conduct the study that were not collected in the interviews were requested from interviewees on a separate occasion.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.271-286 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200005

THE IMPACT OF IT GOVERNANCE ON IT PROJECTS -THE CASE OF THE GHANA RURAL BANK COMPUTERIZATION AND INTER-CONNECTIVITY PROJECT William Allassani University of Professional Studies, Legon-Accra, Ghana __________________________________________________________________ ABSTRACT This research seeks to analyse the root causes of the massive failures of IT Projects especially in government establishments. This study shows that the successful implementation of IT projects does not lie only Project in Management principles. It answers the question ‘why are IT projects failing despite the application of tried and tested Project Management principles ? The paper also concludes that Project Management principles per se do not guarantee the successful implementation of IT projects, but have to be brought within the principle of IT Governance. Conclusions are drawn from the Ghana Rural Bank Computerization and Inter-connectivity Project, an activity under the Millennium Challenge Account of the Millennium Development Authority to show that IT Governance needs to be inculcated into IT Projects to make its implementation successful. Keywords: IT Governance, Project Management, IT Projects

1. INTRODUCTION The concept of IT governance emerged in the late 1990’s when Brown (1997), Sambamurthy and Zmud (1999) wrote about “IT Governance arrangement and Framework”. They said that IT Governance represents an organization’s IT related authority patterns. However, IT Governance was not treated as a field until 2004 when 2 researchers, Weill and Ross (2004) consolidated existing research about how IT is managed in 250 organizations, including 400 direct case studies and hundreds of interviews with managers. The result of the study was the realization that IT governance is a key component of realizing value from IT investment, ensuring that IT is aligned with and supports organizational goals. Their research showed that firms with superior IT governance have more than 25% higher profits than firms with poor governance _____________________________________________________________________________________ Manuscript first received/Recebido em 30/01/2013 Manuscript accepted/Aprovado em: 17/04/2013 Address for correspondence / Endereço para correspondência

William Allassani, lecturer in E-Commerce at the Department of Information Technology of the University of Professional Studies, in Accra, Ghana Contact Address is: P.O.Box CT 289, Accra. Mobile Number 00-233-249477424. E-mail: wallass123@yahoo.com Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


272 Allassani, W.

given the same strategic objectives. These top performers have custom designed IT governance for their strategies. They argued that just as corporate governance aims to ensure quality decisions about all corporate assets, IT governance links IT decisions with company objectives and monitors performance and accountability. Based on the study of 250 enterprises worldwide, IT Governance shows how to design and implement a system of decision rights that will transform IT from an expense to a profitable investment. IT governance objectives are to define structures, processes, mechanisms that will influence decision making rights and responsibilities about main IT issues, control and monitor the effectiveness of such issues and mitigate IT related risks in order to achieve organizational objectives. IT Governance in Ghana There is presently no published work on IT Governance in Ghana although research has been undertaken in areas like Local Governance and decentralization. Ghana’s decentralization system and local government system are intended to give ordinary people the opportunity to participate in decisions that affect their lives (section 35, Clause 5d of Ghana’s 1992 constitution). Gender equity and gender sensitivity have been regarded as prerequisite of a sustainable development, Ofei-Aboagye (2004). It is not surprising therefore that the absence of any research on IT Governance both in the public and private sector of Ghana has led to all manners of challenges facing a national IT project like the National Identification System (NIS), which is being implemented by the National Identification Authority. The NIS is supposed to be a computerised registry that will keep information on all Ghanaian citizens and, legally and permanently resident foreigners. Out of the registry, an identity document that uniquely identifies the Ghanaian citizen (resident or living abroad) or the legally resident foreigner will be produced. Other aims of the project was to 

Help with crime prevention, healthcare, welfare services, disaster management; 

Assist in the delivery of public services to targeted populations, banking

services; 

Create a credible voters register, social security;

 Check the application and acquisition of passports and drivers’ licences and aid with increased revenue collection, Multi-Sectoral Technical Committee Report (2002)

National identity cards were first issued to citizens in the border regions of Ghana including Volta, Northern, Upper (East and West), Brong Ahafo, and parts of the Western Region in 1973. The project was however discontinued three years later due to problems with logistics and lack of financial support. This was the first time the idea of national identification systems arose. Again, in 1987, the Government of the Provisional National Defence Council (PNDC) through the National Commission for Democracy (NCD), revisited the national identity card concept by establishing several committees including a Technical Implementation Committee. Due to economic difficulties, the issue was not pursued.

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Once again, in 2001, when the National Economic Dialogue was convened, the National Identification System (NIS) was seen as a major policy concern. As a result, a multi-sectoral Technical Committee consisting of stakeholder organisations was established to resurrect the project. Consequently in 2003, the National identification Secretariat was set up by the government to implement and manage the National Identification System (NIS). The Act establishing the National Identification Authority was passed in 2006 A pilot mass registration exercise was held to test the forms and equipment deployed for the exercise as well as the registration process as outlined by the Authority. This pilot registration exercise took place in two communities, Abokobi and Sege, both located in the Greater Accra Region, for ten (10) days from July 27, 2007 to August 4, 2009. The testing selection and training of staff for the Central and Western Regions were also executed successfully, with mass registration taking off in the Central Region on July 1, 2008. However as it 2009 the project was still not completed,dogged with problems mainly due to lack of funds. This situation seriously threatened the successful completion of the project. The NIA commenced the distribution of the identity documents in 2011 but it had to stop the distribution due to lack of funds, History of National Identification Authority ((2010) This paper seeks to prove that applying IT governance principles to Project management principles would ensure the successful implementation of IT projects. The paper uses the case study of the Ghana Rural Bank Computerization and Interconnectivity Project to prove the hypothesis that Project management principles per se do not guarantee the successful implementation of IT projects. 2.

LITERATURE REVIEW

The emerging e-marketplace has changed the face of business for thousands of business organizations. The result of being thrust into the technological market place has resulted in a massive rise in IT project failures, with failures running as high as 80%, (Johnson, 1994). In information systems and organization theory research, the alignment or fit between information technology (IT) and organizational structure has long been hypothesised to be the sine qua non for success. Raymond, ParĂŠ and Bergeron (1995) argued that taking organizational size and environmental uncertainty into account, it was found that IT sophistication is positively related to structural sophistication, and also IT usage is positively related to organizational performance, and the relationship between IT management and structural sophistication is stronger among the betterperforming firms than among the worst-performing firms. Huang, Zmud, and Price (2010) also postulated that Information technology (IT) governance practices involved efforts by an organization's leadership to influence IT-related decisions through the location of decision rights and the structure of decision processes. They contended that governance practices such as Steering Committees and governance related communication policies had positive effects on IT related decisions. Using the Telecentres project as the focus of her research, Madon (2005) argues that the long term survival of a project depends on how interactions are managed JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 271-286

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between a host of players including the government, private entrepreneurs, international donors, telecommunications suppliers, local companies, civil society organisations and individual community members. She proposes sociology of governance approach in managing these relationships. Using the corporate governance of IT standard, i.e. ISO/IEC 38500:2008, Wilkin, Campbell and Moore (2012) analysed how Information Technology Governance (ITG) was practised in the deployment of a large IT project in an interorganisational public/private sector context. Their findings demonstrated that ITG strategies related to human agency’s contribution to the realisation of value for participating stakeholders, particularly through pre-emptive stakeholder participation in evaluating IT functionality of the old system and iteratively in the deployment of the new system. Further, their research showed that ISO/IEC 38500:2008 has merit as an analytical framework to objectively evaluate corporate governance of IT, although there is need for some enhancement. LeCardinal and Marle (2006) proposed a definition process of a project structure which should be constructed in order to reach the objectives of the project and to deliver the final results. Failed Projects In the US, the American Reinvestment and Recovery Act of 2009 also known as the HiTec Act for the National Health Service. The project which is expected to cost £11 billion has the initial aim amongst others to establish (a) an electronic transfer of prescription service, (b) an electronic booking service (c) a detailed electronic patient record to be viewed by local organizations and an authorized summary worth$787 billion in tax cuts and spending by the government to stimulate the economy, The Recovery Act (2009). Of this amount nearly 10% ($75.8 billion) was invested in technology projects which included a $1.2 billion increase in IT operating and projects budget of the Departments of Veterans Affairs, and $200 million for improvements to the Department of Homeland Security’s Technology infrastructure, Kauffman (2009). However, as in 2008 68% of IT projects were shown to be either partial or total failures, Schwalbe (2009). Some of the Projects that failed include the FBI's Virtual Case File System Project, which the agency scrapped in 2005 after sinking $170 million into it; the $8 billion system modernization of the Inland Revenue Service launched nearly 10 years ago; and the U.S. Citizenship and Immigration Services' $190 million automation effort. Bishop ( 2008) In the UK, the unpleasant story of the Electronic Patient Record Project readily comes to mind with regards to project failures. In 1998 the UK government launched the National Health Service Information strategy dubbed ‘Information for Health’. The strategy was intended to run until 2005. The goals of the strategy included the creation of an Electronic Health Record containing ‘life long core’ clinical information for each patient by 2005 developed initially by linking local primary health systems. However this project was superseded in 2002 by the 10-year National Programme for Information Technology Project (NPfIF) which had as its theme, ‘Delivering 21st Century IT Support record available nationally’. However, in 2011, 9 years after its launch, the UK parliamentary Public Accounts Committee report said parts of the $16 billion national programme for IT had proved to be unworkable, Public Accounts Report (2011). Donabedian (1988) and Batalden and Buchanan (1989) suggested 3 steps by which an ERP could be made more relevant. They are, identifying the customers, understanding the system requirements, and translating those requirements into functional characteristics of the system. The

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Committee was of the view that the intention of creating electronic records was a "worthwhile aim" but one "that has proved beyond the capacity of the Department of Health to deliver. The report went on further to say that the "Implementation of alternative up-to-date IT systems has fallen significantly behind schedule and costs have escalated. The Department of Health could have avoided some of the pitfalls and waste if they had consulted at the start of the process with health professionals." This is a clear case of lack of an effective governance structure. This confirms the argument that the key challenge of governance is at the operational level where governance hinges on individual and organizational integrity and ability to translate strategies and legal frameworks into institutional effectiveness and efficiency, Alabi and Alabi (2011). The Report also said officials were "unable to show what has been achieved for the £2.7bn spent to date on care records systems", adding that taxpayers were "clearly overpaying BT" , one of the project´s consultants said. The company was receiving £9m for every NHS site, yet the same systems had been sold for just £2m to other hospitals”. The report also criticised the Department of Health’s “weak programme management” It also noted thatthe massive scale of the project had caused companies to walk away, leaving just two groups holding the contract. 3. BACKGROUND OF THE GHANA RURAL BANK COMPUTERIZATION AND INTER-CONNECTIVITY PROJECT(GRBCIP) The Millennium Challenge Corporation (MCC) signed a five-year, approximately $547 million Compact with the Republic of Ghana on August 1, 2006. The Millennium Challenge Account (MCA) is viewed as an opportunity to address fundamental structural problems in the local economy, as well as to help improve the economic, political and social stability of the sub-region. Ghana’s principal economic goal is to improve the standard of living for its citizens, and to achieve middle-income status within a decade, driven by private sector led growth. The Compact program was intended to advance these goals by enhancing economic growth through poverty reduction. The Millennium Development Authority (MiDA) was charged with the responsibility for managing the Ghana Millennium Challenge Account (MCA) Compact. The goal of the MCA Ghana Program was to accelerate the reduction of poverty through economic growth led by agricultural transformation. This was to be accomplished through the transformation of agricultural practices in identified locations in Ghana and involved promoting a commercial orientation to the production, postharvest storage, transportation, processing and marketing of high-value cash and staple food crops. The support was targeted at improving resources and removing infrastructural constraints in the agricultural value chain from production through processing and marketing. Specifically, the MCA Ghana Program sought to achieve the identified goal by deploying the following projects:  Agriculture Project: This project set out to transform agricultural practices through the introduction of capacity-building interventions to improve crop-husbandry and business management skills of\ operators of the agriculture value-chain. It provides resources in terms of

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infrastructure (irrigation, post-harvest equipment and feeder roads) and credit as well as land security.  Transportation Project: This intervention addressed highways, trunk roads, feeder roads and ferries to improve access to domestic and international markets for agricultural produce. 

Rural Development Project: This was designed to strengthen rural institutions that provide services complementary to, and supportive of, agricultural and agri-business development. It includes support for the development of professionals, provision of basic services (electrification, educational facilities and water and sanitation) and strengthening of rural financial services (“Financial Services Activity”). The Ghana Rural Bank Computerization and Inter-connectivity Project was under the Financial Services Activity of the Ghana Compact. Rural Financial Services in Ghana Rural and community banks are the primary formal financial service institutions in Ghana. Rural banks operate as commercial banks under the Banking Law of Ghana, except that they cannot undertake foreign exchange operations, and their minimum capital requirement is significantly lower than that required of commercial banks. Rural banks operate as unit banks owned largely by members of the rural community through purchase of shares and are licensed to provide financial intermediation. They were first initiated in 1976 to expand savings mobilization and credit services in rural areas not served by commercial and development banks. As at the time of the project, there were 121 rural banks in Ghana, spread across the 10 regions of Ghana, with 534 agencies and branches. About twenty of these rural banks are ranked among Ghana’s top 100 businesses. Ghana Club 100 (2010) Since 1976, when they were first established, rural banks have improved their overall performance. The need to enhance this desirable trend led to the establishment of ARB Apex Bank Limited which started operations in July 2002 as the Apex Body for Rural banks in Ghana. The apex body seeks to provide rural bank capacity building programs and some supervisory role to further develop the performance and the image of the rural banks in the financial services industry in Ghana. Rural banks finance their activities mainly through deposits from clients’ borrowings from banks, equity and concessionary loans from government microfinance programs.

Project Rationale The Ghana Rural Bank Computerization and Interconnectivity Project (GRBCIP) represented an important aspect of strengthening and improving the capacity of the rural banks to deliver financial services. It was also to allow the rural banks to offer and support new banking services, credit services and financial instruments. The project concentrated on building a technical infrastructure intended to open the door for a broad range of new financial services and capabilities that will directly benefit not only the small rural farmers but also most of the people of Ghana. The project was intended to draw a large number of people currently not served or underserved into the financial system by automating and inter connecting private and community owned rural banks. 121 rural banks with 534 branches were expected to be JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 271-286

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inter-connected through a Wide Area Network (WAN) and this was completed. The WAN was focused on moving cash electronically domestically and internally and making the rural banks part of the countryâ&#x20AC;&#x2122;s payment system. Simultaneous to the rolling out of the WAN, the project was expected to support the computerization and automation of the rural banks. This involved providing computers and accessories such as printers and UPS, banking software and training for all operational and technical staff of the all the rural banks:

Project Description The objectives of the GRBCIP were threefold: (i) Continue and complete the computerization of rural banks in Ghana which was started under the Rural Financial Services Project (ii) Install a based V-SAT based Wide Area Network (WAN) to link all rural bank HQs and branches. (iii) Provide a reliable network for implementing electronic payments/funds transfer capabilities among the rural banks. The GRBCIP had three (3) main components. a) The first component was the computerization and standardization of the banking operations in the rural banks. This component was expected to: (i) strengthen the competency of rural bank staff through change management, consistent and standardized procedures, automated banking operations and computer literacy training; (ii) installation of computer server hardware at the Data Centre located at Apex Bank and install computer workstations hardware and local area network (LAN) equipment in all the rural banks; (iii) install consistent and reliable banking software that supports electronic payments/transfer capabilities; and (iv) strengthen the technical skills of the Apex Bank technical team to enable them to manage and support the infrastructure. b) The second component dealt with the design and implementation of a wide area network (WAN) that inter-connected the rural banks. The network technology (VSAT) also provided voice communications and internet connectivity to the rural banks. c) The third component installed reliable secondary power source through standalone generators to each branch of all the rural banks. Details of Various Project Tasks a) Strengthening the Competency of Rural Bank Staff. This task focused on the change management/mindset required to transform the current manual operations of the rural banks into a consistent and automated process. It involved data analysis and data conversion, computer literacy training and training in the use of computerized banking software. b) Installation of Computer Hardware.

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This task planned the design and construction of a state of the art Data Centre and a Disaster Recovery site, installation of servers, redundant storage, tape backup facility and corresponding uninterruptible power supplies which are all located at Apex Bank headquarters that run the standardized banking software. It also configured and installed the Local Area Network, workstations and printers at the rural banks. c) Installation of Banking Software. This task configured and installed the banking software on a central server and at the rural banks. It will also migrate the bank’s data into eMerge. The installation and migration will be coordinated for a specific rural bank HQ and all of its branches/agencies. d) Strengthening the Technical Skills of the Apex Bank Technical Team. This task strengthened the technical skills required by the Apex Bank Technical Team through a training program. This training program was needed to build up institutional knowledge and expertise in the eMerge banking software in order to make up for the scarcity and high cost of the requisite technical expertise to implement and support the deployment of the software. e) Design and Implementation of a Wide Area Network (WAN). This component designed and implemented a wide area network that interconnected the rural banks with the Data Centre at Apex Bank and the branches of the rural banks. The telecom method recommended was pure VSAT (very small aperture terminal) satellite network utilizing KU band and the recommended network topology was the star topology. The VSAT network also provided voice communication interface to the rural banks. f) Installation of a Reliable Secondary Power Source (Generator Sets). This component installed standalone generators, if necessary, and based on the reliability and availability of electrical power in each rural bank. The capacity of the generators provided to each rural bank was scaled to the power requirements of the new computerized environment. The key questions to be answered were: 

Did the project increase the interconnectedness of the rural

banks?  Did the project increase efficiency and reduce transaction cost for rural banks?  Did the project draw additional people into the financial system?

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METHODOLOGY

This paper uses the case study approach to explore the Governance structure that complemented the project management principles that ensured the successful implementation of the Ghana Rural Bank Computerization and Inter-Connectivity Project. It then makes a comparative analysis of the methods used in the above projects that were either abandoned or stalled. As a qualitative research, the paper examines the governance principles adopted in the GRBCIP and relates it to the other projects that failed and shows that the governance principle that complemented the project management principle in the GRBCIP ; if it had been adopted in the other projects, it could have saved those projects. The hypotheses that this paper seeks to test are the project management principles per se. They would not guarantee the successful implementation of IT projects if they were not combined with solid governance principles Data Collection In evaluating the effectiveness of the governance principles adopted in the GRBCIP, the following documents and reports were reviewed: a. The Implementing Entity Agreement signed between the Millennium Development Authority (MiDA) and the ARB Apex Bank. Being the apex body with supervisory role over the Rural banks, MiDA selected Apex Bank as the entity to supervise and coordinate the project b. Monthly reports of the Steering Committee of the project, including the monthly reports of the Project Management Supports Consultants i.e. KPMG who were the main project managers, quarterly reports of MiDAâ&#x20AC;&#x2122;s Monitoring and Evaluation department, reports of the Technical Committee of the project, monthly reports of the Data Centre manager, monthly and quarterly reports of various contractors and consultants who undertook the actual implementation. c. Interviews with Branch managers of selected banks including selected customers. 20 branch managers were selected at random. However, it was restricted to 2 managers per region. The interview was either face to face or via telephone. It also included first hand observations of live banking hall transactions before and after the project. d. Report on projects that either failed, or stalled including the National Identification Project of Ghana, and the Electronic Patient Records Project of the UK National Health Service. Data Analysis The data that was gathered was used to analyse the governance structure of the Project Implementation Team including the reporting structure, the decision making process within the project team. The structure was compared with the structure found in the above mentioned projects. The Monitoring and Evaluation (M&E) reports of MiDA was also used to ascertain whether the project objective of was fulfilled through the quarterly tracking of pre-determined indicators such the total number of inter-bank of cheques and total value of deposits within the rural banking system as well as the JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 271-286

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monthly total number of customers and customer transactions. The responses given by the branch managers in the interviews were tabulated and inferences and conclusions drawn. 5.

RESULTS AND DISCUSSION

Governance Structure of the Project Implementation Team (PIT) a) Project Steering Committee The project had a well defined structure with clear reporting lines. At the helm of affairs was the Project Steering Committee (PSC) which had as its core mandate the development of policy guidelines. All major policy decisions were mademade at the PSC which had as its chairman, the managing director of ARB Apex Bank. The committee met once a month or when the occasion demands for an emergency meeting and submitted monthly reports to the project sponsors MiDA. The deputy managing director of ARB Apex Bank was the alternate chairman of the committee. Other members of the committee were: i.

Head of Finance of ARB Apex Bank

ii.

Head of ICT of ARP Apex Bank

iii.

Two Representatives of the Association of Rural Banks

iv. Representative of Bank of Ghana (Until his appointment, the current second deputy Governor of Bank of Ghana was the central bankâ&#x20AC;&#x2122;s representative on the committee. He was then Head of Payment Systems) v. The Project Manager of the Project Management Support Consultants (PMSC) i.e. KPMG who were the Project Managers There were 3 ex-officio members of the committee i.e. the Project Manager of MiDA in charge of the GRBCIP and his deputy and then the Project Director for the Project Management Support Consultants, the managers of the project. b) Technical Sub-Committee of the Steering Committee Next on the project team structure was the Technical Sub-committee of the Steering committee. Their core mandate was to advise the Steering Committee on all technical issues. The committee was responsible for the technical design of the project including the specifications for the construction of the Data centre, Wide Area Network and Local Area Network, specifications for PCs and accessories and the electric generators. Its chairman was the Head of Finance of Apex Bank, and the other members were the Head of IT of Apex Bank and his deputy, the Head of Banking Operations of Apex Bank, the Project Manager of PMSC and his deputy. The Project Manager for MiDA in charge of the GRBCIP and his deputy were ex-officio members. The Technical committee met at least twice in a month or when the occasion necessitated the holding of an emergency meeting. The project managers of the various consultants on the projects were invited at regular intervals to attend the meetings of the committee to clarify issues where necessary. The chairman of the committee presented a monthly report to the Steering Committee.

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c) Role of Other Committees There were 2 other committees that reported to the Technical Committee. They were the Technical Infrastructure Committee whose membership was the Project Manager of Data Centre, Wide Area Network, Local Area Network consultants, Computer Hardware and Generator sets suppliers. The Project Manager of the PMSC chaired that committee. The other committee was the Applications Committee comprising Project Managers for the banking software consultants and suppliers of other third party software such as Anti-Virus, and Server applications. This committee was chaired by the deputy Project Manager of the PMSC. d) Role of the Project Management Support Consultants (PMSC) Apart from being members of the Steering committee and other sub-committee, the core mandate of the PMSC was to advise MiDA on all technical and operational issues and most importantly, sign-off on all deliverables by the various consultant and contractors. Consequently they coordinated all the field work involving all the various consultants, ensuring that all supplies and installations of equipment and software at Rural bank all sites including the Data Centre were according to specifications. MiDA only paid consultants for deliverables after the PMSC had certified that the work had been actually completed satisfactorily and according to specifications. This is a far cry from the Electronic Patient Record Project of the UK, where the parliamentary selected committee on health report stated that officials were "unable to show what has been achieved for the ÂŁ2.7bn spent to date on care records systems", adding that taxpayers were "clearly overpaying BT, one of the project consultants said. The PMSC also liaised with Apex Bank and coordinated all technical and operational training and Change management programmes for the Rural banks. Benefits of the PIT Structure From the structure it is very clear and apparent that the project was bound to succeed. The PIT was structured and aligned to the strategic vision of the project. One advantage of the structure was that it made it possible for decision to be made quickly. The information loop was such that information flowed throughout the project team very easily despite the massive nature of the project. Risks identified were quickly dealt with. With the Project Manager of MiDA and his deputy being ex-officio members of both the Steering Committee and the Technical sub-committee, information flow to the Project sponsors was instant despite the monthly reports of the Steering Committee The structure allowed for the Rural Banks to be part of all decisions made on the project because they had reps on the Steering committee. What is more, the Technical Committee and the PMSC made presentations at all Rural bank managers conference and workshops on the project progress and took feedback and suggestions. Representatives of the rural banks ably assisted by Apex Bank staff were the main participants in the User Requirement Analysis for the customization of the banking software and also the User Acceptance Test and coordinated by the PMSC. This is contrary to what happened in the UK Electronic Patient Record Project where the Parliamentary sub-committee report stated that officials of the Department for Health did not consult with health professionals at the start of the project. Direct providers of care (physicians, nurses, dentists and other health care professionals) will remain the users of the highest priority in design consideration. This is because by designing any system, direct users need to be involved (Dick and Steen 1991). The same goes for the National Identification Project in Ghana where there was no Requirement Analysis and User Acceptance Test involving the citizenry. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 271-286

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So it can be said that the governance structure of the GRBCIP allowed for an all inclusive and holistic approach to the project. All stakeholders from the sponsors MiDA, to partners such as Apex Bank and Bank of Ghana, and the beneficiary community were all involved at every stage of the project and were all kept in the information loop. Organizational Chart of the Project Implementation Team

Source: PMSC Inception Report Achieving the Objectives of the Projects The successful completion of a project is not an end in itself. What is more important are the benefits that would accrue from the completed projects to the intended beneficiaries. Some of the benefits can be gleaned from the MiDA Monitoring and Evaluation quarterly reports which tracked the following indicators: a) The total number of inter-bank transactions. This is defined as the number of cheques received by rural banks plus number of remittances received by these banks. The financial services intervention is at two levels i.e. Bank of Ghana (for all clearing banks in the country, that is, mainly commercial banks and the Apex Bank acting as a clearing bank for all the rural banks), and Rural Banks (nationwide). Inter-bank transaction is a record of business conducted among banks on behalf of their customers as well as on their own behalf. The classification of the inter-bank transactions are as follows: (i) Total number of cheques received from clearing (ii) Total number of cheques sent to clearing (iii) Total number Apex Link Transfer transactions. This is a money transfer system between Apex Bank and the Rural banks (iv) Others are a total number of money transfer transactions such as Western Union which runs on the back of the internet services provided by the project. This indicator shows the importance of the wide Area network. Through the network, the rural banks are now able to clear customersâ&#x20AC;&#x2122; cheques through the

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Cheque Codeline Clearing system which is managed by the Ghana Inter Payment and Settlement Systems (GhIPSS) within 3 working days. This certainly would bring joy to their customers. Hitherto, clearing of cheques by rural banks could take up to 21 working days. Table 1 shows that the end of the compact target of inter-bank transactions of 1,106,925 was achieved and it represents an increase of 114% of the baseline figure of 516,565. b) Amount of Account Deposits in the Rural Banks. This is defined as the amount of total deposits in Rural Banks nationwide. The deposits are classified as (i) Fixed Deposits (ii) Savings Account (iii) Current Account (iv) Susu Account. This indicator is expected to improve with the introduction of the automation of the banks because their customer base is expected to increase due to improved services. Table 1 shows that the end of the compact target of US$1,117,776,372 was achieved representing a whopping 294% increase from the baseline figure of US$283, 421932. The Year 3 figure of US$745,184,248 also shows a 163% increase, while the Year 4 figure of US$931,480,310 shows an increase of 228%. c) Number of Banks Connected to the WAN. This is defined as the number banks connected to the WAN by way of installation of indoor and outdoor VSAT equipment and activating the connection to the central hub and to the Data Centre. The baseline figure was zero. However, by Year 3, 21 banks had been connected, representing 17.3% of the baseline. By Year 4 the number of banks connected to the WAN had increased to 91 representing 71.2% of the baseline figure. The end of the compact figure of 121 was achieved. d) Number of Banks Automated with Banking Software: This is defined as the number of banks that are connected to the banking software which is located on the central server at the Data Centre. The baseline and annual targets were the same as that of the number of banks connected to the WAN Other Achievements In an interview with selected branch managers of the rural banks, it was revealed that the turnaround time for processing a cheque for payment by a teller reduced from an average of between 10-15 minutes on a very busy day to between 2-5 minutes. This has led to new customers walking through the doors of the banks to open new accounts and transact business with rural banks. Again problems associated with manual computation of bank transactions were eliminated because all processes are now automated. Comparative Analysis of the GRBCIP and other Failed Projects From the above, it can be seen that all targets set by the GRBCIP were achieved. This means that the project objectives were met and thus was successfully implemented. This can be attributed in part to the IT governance principles that were very evident throughout the duration of the project. This is in sharp contrast to projects like the Ghana National Identification Project which is yet to be completed after more than 10 years of implementation. In effect the project is yet to achieve its objectives as compared to the GRBCIP. The same JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 271-286

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can be said of UKâ&#x20AC;&#x2122;s Electronic Patient Record Project which is also behind schedule, with a massive cost overrun. What is more, there is no end in sight for the 2 projects. Table 1: MiDA M&E Indicator Tracking End of theCompact Target Year Year 15 Mar 11Feb 12

Annual Targets Indicator

Amount of AccountDep osit in Rural Banks Number of Inter-bank transactions Number of Banks Connected to the WAN Number of Banks Automated with Banking Software

6.

Indicator Level

Indi-cator Type

Unit of Measure

Baseline

Level

US$

283,421, 932

Output

Cumulative

Number

516, 565

Output

Cumulative

Number

0

21

91

121

121

Output

Cumulative

Number

0

21

91

121

121

Outcome

Year1 Feb 07Mar 08

Year 2 Apr0 8Mar 09

Year 3 Apr 09Mar 10

Year 4 Apr10Mar 11

745,18 4,248

931,480, 310

1,117, 776,37 76,372 2

1,117,7

983,993

1,106, 925 5

1,106,92

CONCLUSION AND RECOMMENDATIONS

This study shows that for an IT project to be completed on schedule, within budget and according to specification, there should be a strong presence of an effective governance structure. Merely applying project management principles would not accomplish the task. For example a PRINCE2 principle recommends the development of a Project Charter which is a statement of the scope, objectives and participants in a project. And it provides a preliminary delineation of roles and responsibilities, outlines the project objectives, identifies the main stakeholders, and defines the authority of the project manager. However, if the governance structure is not right, information flow within the team would be very limited. Whether there is a change of personnel of a project team or a change of government, a solid presence of a governance structure would definitely see the successful completion of a project. A clear governance structure, with well defined responsibilities and reporting lines is a pre-requisite for the successful implementation of a project. One important fact that must be noted is that individual members of project teams should be removed from their normal schedules and attached permanently to teams. However this situation can be circumvented only if a proper governance structure ensures that the individual or group of individuals allocate a specific time frame to the project as it happened to staff of ARB Apex Bank who were drafted into the project team. The allocation of specific time frame can be adhered to if the executive is fully involved in the process and

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approves this arrangement. Without executive involvement and approval it would be impossible to achieve this feat. Finally, without the executive being fully involved in every aspect of a project, challenges are bound to exist especially with regards to funding. MiDA being the sponsors of the GRBCIP were fully involved in every aspect of the project and were therefore prepared to release extra funding where it was needed. Ghanaâ&#x20AC;&#x2122;s National Identification Project consistently failed since its inception in 1973 mainly due to funding. Perhaps, lack of executive support and commitment to the project could be the cause. It must, however, be noted that there are similarities between the IT Governance methodologies that were applied in the case of the Ghana Rural Bank Computerization Project and methodologies applied in other countries. The methodology applied in the GRBCIP should not be seen as been peculiar to only Ghana, as it can be successfully applied in different enterprises either public or private as well as in other countries worldwide. 7.

LIMITATIONS OF STUDY

One limitation of the study was the inability to interview members of the Steering Committee of the Project as well as officials of the Millennium Development Authority to obtain their views on the impact of the structure and design of the project team. Any future research should consider interviews with these officials. There is however scope for future research. This has to do with any role of IT Corporate Governance on Post Project Implementation. REFERENCES Alabi J, Alabi G. (2011). Institutional Evaluation Program (IEP) as Governance Tool in Public Higher Education Institutions in Ghana: A case of the Institute of Professional Studies (IPS). Journal of Business Research, 5(1), 19-37. Batalden P.B, Buchanan E.D. (1989). Providing Quality Care: The Challenge to Clinicians. American College of Physicians pp 133-159 Bishop M, (2008) Federal IT Projects Failures Proposed Legislation Aim to Stop the Insanity.http://www.cio.com/article/469928/FederalITProjectFailuresProposedLegislati onAimstoStoptheInsanity. Retrieved on 7 September, 2012 Brown C.V, (1997). Examining the Emergence of Hybrid IS Governance Solution: Evidence from a Single Case Site. Information Systems Research. 8(1), 69-94 Dick R.S, Steen E.B. (1991). The Computer-based Patient Record. An Essential Technology for Healthcare. Washington DC National Academy Press Donaldbedian A. (1998). The Quality of Care. How can It be Accessed? Journal of the American Medical Association 260, 1743-1748.

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The Ghana Club 100 (2010) http://www.gipcghana.com/gc100/rank_index.php?year=2010 Retrieved on 12 September, 2012 History of National Identification Authority (2010 ) http://www.presidency.gov.gh/ourgovernment/agencies-commissions/national-identification-authority Retrieved on 4 September 2012 Huang R, Zmud R.W., Price R.L., (2010). Influencing the Effectiveness of IT Governance Practices Through Steering Committees and Communication Policies. European Journal of Information Systems, 19, 288-302. Johnson J.H,, (1994) Micro Projects Cause Constant Change. The Standish Group International, Inc. http://cf.agilealliance.org/articles/system/article/file/1053/file.pdf. Retrieved 4 September, 2012 Kaufman T. (2009) 7% Increase Planned for IT Projects. Federal Times, 18 May PP1-3 Madon S. (2005). Governance lessons from the experience of telecentres in Kerala. European Journal of Information Systems.14, 401–416 Multisectoral Technical Committee Report (2002) http://www.presidency.gov.gh/our-government/agencies-commissions/nationalidentification-authority. Retrieved on 4 September, 2012 Ofei-Aboagye E, (2004). Promoting Gender Sensitivity in Local Governance in Ghana. Development in Practice. 14(6), 753-760. Recovery Act (2009) http://www.whitehouse.gov/the_press_office/arra_public_review Retrieved on 4 September, 2012 Raymond L, Paré G, Bergeron F. (1995). Matching Information Technology and Organizational Structure: An empirical Study with Implications for Performance. European Journal of Information Systems, 4, 3–16. Sambamurthy V, Zemud R.W, (1999). Arrangements for Information Technology Governance: A Theory of Multiple Contingencies. MIS Quarterly, 23(2) 261-290 Schwalby Kathy. (2011). Information Technology Project Management. Sixth Edition (Revised), Cengage Learning. Stal-Le Cardinal J, Marle F. (2005). Project: The Just Necessary Structure to Reach Your Goals. International Journal of Project Management 24(3), 226-233. UK Parliamentary Public Accounts Committee (2011). The National Programme for IT in the NHS: an Update on the Delivery of Detailed Care Records Systems: 45th Report. http://www.publications.parliament.uk/pa/cm201012/cmselect/cmpubacc/1070/107004. htm Weil P, Ross J.W. (2004). IT Governance: How IT Top Performers Manage IT Decisions Rights for Superior Results. Harvard Business School Press Wilkin C. L., Campbell J, Moore S, (2012). Creating Value Through Governing IT Deployment in a Public/Private-sector Inter-Organisational Context: A Human Agency Perspective. European Journal of Information Systems Advance Online Publication 19 June 2012;

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.287-302 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200006

LEGITIMATION IMPLICATIONS IN THE PROCESS OF IMPLEMENTING AN ERP SYSTEM IN A HOLDING COMPANY Viviane Theiss Nayane Thais Krespi Carlos Eduardo Facin Lavarda Regional University of Blumenau, Blumenau , Santa Catarina, Brazil __________________________________________________________________ ABSTRACT The objective of the study is to evaluate the legitimation of the process of implementing an ERP system in a holding company. The conceptual model is based on the New Institutional Sociology, with the evaluation of the legitimation of a new information system in the organization studied. The data collection procedures employed interviews, questionnaires, as well as the analysis of documents provided by the company. As the system is already part of the company’s processes and the employees have already accepted the changes, it provides evidence of legitimation of the ERP system in the business. Keywords: Enterprise Resources Planning; New Institutional Sociology; Legitimation; Deployment; Holding.

1. INTRODUCTION The need to get the information across to owners and shareholders makes organizations seek alternatives to add promptness to their management processes, to enable better decision making and to boost competitive advantages. The trend is not to just surmised to the company itself, but to the whole supply chain and to accomplish the _____________________________________________________________________________________ Manuscript first received/Recebido em 28/02/2012 Manuscript accepted/Aprovado em: 01/03/2013 Address for correspondence / Endereço para correspondência

Viviane Theiss, Mestre em Ciências Contábeis – Universidade Regional de Blumenau Rua Antônio da Veiga, 140 – Sala D 203- Bairro Victor Konder.Caixa Postal 1507 – CEP 89012-900 – Blumenau – SC Fone: (47) 3321 0565 E-mail: vtheiss@al.furb.br Nayane Thais Krespi, Mestre em Ciências Contábeis – Universidade Regional de Blumenau Rua Antônio da Veiga, 140 – Sala D 203- Bairro Victor Konder. Caixa Postal 1507 – CEP 89012-900 – Blumenau – SC Fone: (47) 3321 0565 E-mail: nkrespi@al.furb.br Carlos Eduardo Facin Lavarda, Doutor e Professor do Programa de Pós-Graduação em Ciências Contábeis – Universidade Regional de Blumenau Rua Antônio da Veiga, 140 – Sala D 203- Bairro Victor Konder. Caixa Postal 1507 – CEP 89012-900 – Blumenau – SC Fone: (47) 3321 0565 e-mail: clavarda@furb.br Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


288 Theiss, V., Krespi, N. T., Lavarda, C. E. F.

strategic and tactical plan for the chain, in addition to the companyâ&#x20AC;&#x2122;s operations (Padilha & Marins, 2005). The required changes reflect in the routines of the organization and the internal social relationships since the company will have to readjust and educate its players for new habits and routines to be accepted. The institutional approach emphasizes that, through legitimation, the actions of an entity become desirable, proper or appropriate within something socially accepted, which is constituted by a system of norms, values and beliefs (Deephouse & Suchman, 2008). Thus, management control systems can be seen as an institution, because they will change the way agents of an organization accept and reproduce the norms established by the managers (Warrior & Frezatti et al., 2006). The introduction of an Enterprise Resource Planning system impacts operations that are carried out daily in the organizations. The ERPs are attractive because they unify the information and suggest the promise of solving integration problems, availability and issues on the reliability of information, through the incorporation of a single system that features support to various business processes in a company (Oliveira & Ramos, 2002). However, this is a project that for Moon (2007, p. 243), requires a significant level of resources, commitment and changes throughout the organization, which often is a major project and one that can lead a company, if not planned properly, to bankruptcy. Kumar et al. (2003) also state that these changes commit a large amount of resources, benefits and potential risks, because it is a much more complex exercise thanks to its innovation and change, than any other technology or advances. The technical and administrative challenges, which require investments and organizational changes, provided the development of the following research question: How does legitimation occur in the implementation process of an ERP system in a holding company? This study investigates a holding company located in the state of Santa Catarina, which is made up of companies with different activities and is having extensive difficulties in integrating management information. The reason for these difficulties arise from the use of various information systems which do not offer adequate support to provide prompt information, in addition to the rework of data entry needed, which itself leads to staff dissatisfaction and increased costs of operation and maintenance. Several studies investigate the experiences of implementing ERPs, like Alshawi, Themistocleous and Almadani (2004); Berchet and Habchi (2005); Tchokogue et al. (2005), through the description of actual data and observations that take place in various companies. However, studies of Le Loarne and BĂŠcuwe (2008), in applying the typology of Suchman, to define the process of legitimation of functions within organizations, in a specific case, the implementation of a purchase module of the SAP software, concluded that deploying the software really is a typology of legitimacy. Thus, this study is justified by highlighting the key elements pertaining to the actions that the organization surveyed opted to maintain or adjust its legitimacy. Le Loarne and BĂŠcuwe (2008), state that after the implementation of an ERP system managers and employees from all business functions need to actually obtain, maintain or regain legitimacy, because it is not only a continuation, but an episode of an improvement process in the organization, which still needs to be validated to the point of being institutionalized.

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2. LITERATURE REVIEW This section presents and discusses the theoretical aspects responsible for supporting the empirical study carried out. It is divided into New Institutional Sociology and Enterprise Resources Planning (ERP). 2.1 New Institutional Sociology The institutional environment is characterized by rules, practices, beliefs, and norms to which individuals and organizations must adapt, characterized by the precepts of Institutional Theory. For Guerrero et al. (2005), the Institutional Theory presents three different approaches, the New Institutional Sociology (NIS), the New Institutional Economics (NIE) and the Old Institutional Economics (OIE), which joined, even when having different backgrounds and philosophies, share an interest in issues involving the institution and institutional change. The New Institutional Sociology aims to verify the organizations within a network of relationships and cultural systems ; so to ensure that the survival in the market, it requires adaptation of social norms, acceptable behaviors and levels of production efficiency (Covaleski & Dirsmith, et al., 1996 ). The institutional perspective, according to Azevedo et al. (2003), directs organizations to incorporate previously defined values and standards that initially do not bring operational efficiencies, but are considered fundamental requirements in the search for legitimacy because they enable organizations to increase their survivability. Granlund (2001) presents issues that lead companies to the need for change in accounting systems, such as the establishment of development projects. According to the author, it is important to analyze the change of the stability and the resistance examination visible in processes of change in accounting systems, because resistance is almost always present and it is characterized as a factor that affects the success of the system. Still, Boff (2007) stresses that, for a regulatory framework to be fully established, the imposition or adoption of a set of standards is not enough, the practice exercised and accepted by all involved in the group is also needed and that the framework becomes usual through experience. To establish a status of legitimacy in a corporation can be a difficult task, given that a corporation is based in social perception and values that can and do change over time. To manage the legitimacy, corporations need to know how to acquire, maintain or lose, such as a change in corporate performance while social expectations for this performance remain the same (Wartick & Mahon, 1994). There are countless possible themes related to legitimation, which provide a list that includes an act, a rule, a procedure, a routine, a distribution, a position, a group or a team, a system of positions, a structure of the entity, an organization, organizational symbols, practices, services, programs, rules, an energy system and a system, among others (Deephouse & Suchman, 2008). O'Donovan (2002, p. 344), while investigating the corporate environmental disclosure, concludes that legitimation is one of the factors accounting for this disclosure. He also defines the "Legitimacy Theory is based on the idea that to continue JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 287-302

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operating successfully, companies must act within the limits of what a society identifies as a socially acceptable behavior." Likewise, for Rossoni and Teixeira (2006, p. 06), legitimacy is the "social judgment of acceptance, ownership and desire that allows organizations to access other resources necessary for their survival". The premise is that legitimacy is one of the main factors that explain the survivability and resource acquisition of organizations. A company that becomes part of a new environment has the choice of either accepting and conforming to the standards already defined and legitimized, in which case reduces the risk of rejection by other organizations and individuals, or rather establishes their own standards, manifesting itself indifferent to the standards and rules established in the environment, this way characterizing a discrepancy of behavior towards the environment in which it operates (Boff, 2007). So an entity, when it accepts to implement an integrated system according to the instructions of the supplier, performs a legitimation of an accepted procedure. The technology by being used to automate operations, with the goal of replacing human resources, making processes faster and more efficient at a lower cost, also advances the generation of new information. Within this approach, for technological innovation to exist, there should also be social innovation, ie, provide people with knowledge so that the possibilities of an information system are maximized (Azevedo et al., 2003). According to Boff (2007), the process of implementing a technological system makes the system already part of the company, so there is the need for legitimacy by the users for its proper use and maintenance. 2.2 Enterprise Resource Planning - ERP Enterprise Resource Planning (ERP), in Moon's view (2007, p. 235), â&#x20AC;&#x153;is a company's information system designed to integrate and optimize business processes and transactions in a corporation. [...], And it is generally accepted by the industry as a practical solution for the company to achieve an integrated information systemâ&#x20AC;?. From the perspective of Zwicker and Souza (2000), ERPs are integrated information systems acquired in the form of commercial software packages in order to support the majority of a company's operations. However, we emphasize that to get to the complexity of companies in the present days, ERPs have gone through several development cycles, since its inception in the 1970s, until having their recognition established by major companies around the world (Alshawi & Themistocleous et al. 2004). However, it is possible to find these systems in small and medium enterprises, which also have resorted to implementing ERP systems in order to survive in the competitive market (Oliveira & Ramos, 2002). In view of Berchet and Habchi (2005), ERP systems are powerful and robust tools able to promote a real business change. Therefore, the main quality of the implementation of this system is the integration of the enterprise. Nonetheless, some problems may be encountered during the implementation process, such as: high investments of time, acquisition costs of software and peripherals, fear and rejection by users, etc.

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Operationally, an ERP system consists of a set of integrated application modules, covering most functions in an existing company. Each module covers various business processes, but all modules are completely integrated, in which all authorized users can access real-time information from various sectors of business (Scapens & Jazayeri, 2003). The authors emphasize that integration means that data, once in the system, can be accessed throughout the enterprise, which may have consequences to it. Therefore, the implementation of an ERP system may require some changes to occur in the company, such as the way of working and the relationship between different sectors. According to Anastas (1997), the implementation of an ERP system can raise another question as to its use : what benefits can it bring if there were a reduction in the number of employees, among other issues, since there will be an ease in obtaining information ? The process of implementing an ERP system, can be subdivided into distinct stages, so the process can be framed in stages of a life cycle. System Life Cycle, in the view of Zwicker and Souza (2000, p. 70), "represents the various stages through which a development project goes through and the use of information systems." The authors report that the life cycle idea also argues that systems pass through successive stages : growth, evolution and decline. With the closure of this cycle, other systems should be designed to better meet the needs of the company. There are several models, created by different authors, dealing with models of life cycle systems, as well as their evolution. The life cycle model proposed by Zwicker and Souza (2000), mainly used for conducting case studies, includes three phases, namely: decision and selection, implementation and use. In the first step the company decides to implement an ERP system and selects the supplier. In the stage of implementation, the system modules are made operational by the company. Finally, in the last step the system becomes part of the day-to-day business, becoming a routine over time. 3. METHODOLOGY This section presents the methodology necessary for the development of the study. It contains the characterization of the research, the method of collecting and analyzing data. To develop the study a qualitative descriptive approach was taken through a case study. According to Richardson (1989, p. 30), the descriptive research consists of a study that â&#x20AC;&#x153;represents a level of analysis that identifies the characteristics of phenomena, allowing also the ordering and classification of these characteristicsâ&#x20AC;?. This study describes the case of a holding company that manages entities of diverse activities, and that it expanded its services and it needs tools that better assist managers in decision making. Given this context, the holding company is in the process of deploying an Enterprise Resources Planning (ERP) that facilitates the companyâ&#x20AC;&#x2122;s routines. A qualitative approach was used on the research problem, which according to Beuren and Raupp (2006), is a deeper analysis in relation to the phenomenon under study and it stands out for unobserved characteristics, it is also suitable to know the nature of a social phenomenon. In this case, as to the procedures of the research, it is characterized as a case study, in which the researcher deepens its knowledge according to a specific case. For

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Yin (2005, p. 20), “[...] a case study allows an investigation to retain the holistic and meaningful characteristics of real life events”. Since the research took place in only one entity, a deeper analysis is carried out and a case study will be conducted. To validate this kind of research, Yin (2005) suggests that a triangulation be structured, so validating the data collected. For the work we used the triangulation as follows: (i) An interview with the controller of the entity, (ii) Verifying the documentation, and (iii) a questionnaire with closed questions to employees. In the interview, which took place in November 2011 with the holding company’s controller, aspects were mentioned, based on previous studies (see Table 1). The analysis categories were structured so that the evidence collected in the case could be contrasted with the base literature. Analysis Category

Authors

Question

To investigate how the need for change occurred

Granlund (2001); Berchet e Habchi (2005); Guerreiro e Pereira (2006).

1

How and why did the idea of implementing an ERP system come to be?

Analyze the characteristics of the change process implemented.

Granlund (2001); Berchet e Habchi (2005); Guerreiro e Pereira (2006).

2

What was the process of choosing the system?

3

What factors led to the decision for the ERP system?

Check the plan for the system Padilha e Marins (2005); choice. Oliveira e Ramos (2002); Moon (2007).

4

How did the planning for this acquisition take place?

Identify the costs for ERP acquisition

Azevedo et al. (2003); Alshawi, Themistocleous e Almadani (2004); Le Loarne e Bécuwe (2008).

5

What were the main costs of this implementation?

Indicate the modules already implemented

Zwicker e Souza (2000); Scapens e Jazayeri (2003); Le Loarne e Bécuwe (2008).

6

What modules have already been implemented?

Investigate evidences about the effectiveness of the process

Mahmood e Soon (1991); Tchokogue et al. (2005); Guerreiro e Pereira (2006).

7

What is the company's intention in the use of this system?

Verify the acceptance of the ERP system

Mahmood e Soon (1991); Wartick e Mahon (1994); Rossoni e Teixeira (2006); Moon (2007)

8

What is the employee's acceptance like towards the ERP?

Table 1 - Description of categories of research analysis. Source: Data from the study.

For documentation, we used a copy of the commercial offer from the company that provides the system that is being implemented. It contains information of the established contract with the company researched and an outsourced service provider, which oversees the implementation and support for the ERP system supplier. The information contained was about the investment, the project scope, description of services, customization, payment terms, factors relevant to the condition of the project,

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the infrastructure necessary to provide services for information technology - IT deployment and budget. In a third step, after the interview with the controller, a questionnaire was carried out with employees who were present in the company and also involved with the implementation of this system, to compare the information with the one provided by the controller. This questionnaire was adapted from studies of Mahmood and Soon (1991), which present a Likert scale of 1 to 5 (strongly disagree to strongly agree), which aims to measure the impact after implementation of an information system, but for this study, it aimed at identifying the impact in the implementation process. The purpose of the questionnaire is to identify the expectations of employees and the impact it has on these people who are part of the process of legitimation of the system being implemented. These people are represented by 7 individuals responsible for the financial, administrative, human resources and accounting areas. Besides these employees surveyed who work in the holding compay, the company still controls the wages of more than 50 employees located in the entities that it controls and which end up being influenced by the decision made by the management of the holding company. For these individuals the research tool wasn't applied, for they were not going through the system implementation at the time of the survey. 4. RESULT ANALYSIS The entity, object of the study, operates as an asset manager, more precisely a holding company, which has operated in the market for more than 10 years, evolving over time and requiring new adaptations demanded by the market. For Oliveira (1995), a holding company is virtually any company that adopts, as its purpose, the maintenance of participation in other companies, molded not to produce physical wealth, but to control the companies producing such wealth. This basic concept has expanded to serve the interests of persons, by means of "asset protection", ie, the protection of property through the creation of a management company, subject to different rules of taxation and able to provide protections primarily on issues of succession (Hungarian, 2009). With the responsibility of administering and controlling entities, the holding company researched is responsible for managing 15 companies from various sectors as follows; five commercial companies, a factoring, an accounting firm, to perform the internal accounts of subsidiaries, four carriers and three clothes cleaning companies, as well as managing itself. The holding company is responsible for receiving and compiling information that will be sent to the director (the primary controller), but currently can not meet all its obligations in a timely manner, especially in relation to the receipt of the financial information of its subsidiaries, employing different mechanisms and information systems. For each business segment there was a different type of control system and, consequently, a higher maintenance cost, rework, diversified controls, among others. After meetings with the director of the company, and from the development of a strategic plan, controllership and all the people responsible for each controlled entity decided to implement an ERP system, as it will be later witnessed in further details in the interview with the company's controller. The interview with the controller of the company aimed to investigate how the process of implementing an ERP system in a holding company is. According to the JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 287-302

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interviewee, the implementation began in April of 2011 and there are still three modules that are undergoing testing and adaptation, due for completion within the next twelve months. Until December 2012, the system will be fully implemented in accordance with the specifications set by the supplier. The controller emphasized that the idea of implementing an integrated system arose from the need for integration of information between companies and the action taken by the competition: It was not an idea, but a necessity in an increasingly turbulent world where information should be more complete, agile and faster, so that the information reaches the manager 's desk in the shortest time possible. The controller adds that: The company has opted for an ERP to facilitate access to information to all company departments. All information would be on a consolidated basis to facilitate the administrator making some decisions and planning for the future of the company . There is no planning without having a base of information ; it should be complete, well-structured and performed with confidence. For Tchokogue et al. (2005), system integration influences the activities of business enterprises, it is a process or even in some cases a necessity, justified by dramatically improving competitiveness, considered one of the most widely used tools to optimize business re-engineering and processes. The decision on the chosen ERP system considered several factors such as the proximity of the supplier, the knowledge of the domestic market and the relationship between the project cost and the expected benefits. Initially, we conducted a market research in order to determine the system supplier which acted with more intensity in the region near the holding company.Three major vendors were identified; all of them presented their offers. The offer brought forward by each vendor was an important aspect in the decision, but even so, we took into consideration the supplier's national coverage capabilities, since the subsidiaries are located in several Brazilian states. Thus, the chosen supplier met all company's expectations, even having the most expensive offer, but the decision was based on the reputation and quality of services offered. The quality that this system has to offer has been proven by some tests prior to hiring the software provider, says the controller. The factors that led the company to opt for the use of an integrated system and not simply the replacing the existing system by an equivalent, included several aspects. Firstly, as the subsidiaries are located in different states, there were flaws in the control of these companies, despite using a controllership system. There were shortcomings in the definition of cost of goods and sales prices, since some controls were performed manually with the aid of spreadsheets, all of this due to the lack of a system that met all their needs. The controller says: We had a system that ran the company's financial side, the part of product registration; however in the area of costs and controlling there was nothing deployed, it was all in Excel. So, the chances of making mistakes in the information in a system that isn't reliable increased, since it is a simpler system that does not cover many modules, being an information searchperformed manually. Planning for the acquisition of an ERP system included a one-year training of system users which was conducted by a specialized team appointed by the software provider. The controller reports that: With the staff we have, we would like to do the process in six months, it is a goal of ours, but over the course of the project we saw that

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there was no way to do so, because it depends a lot on people in this process, not only on systems, not only on the availability of the instructor or training and programming staff, but also on everyone from support, who must be dedicated full time to this project. The tricky part is to take a professional from his or her daily routine and to place them in such a project ; this was one of the biggest challenges we had. Besides the investment in purchasing the ERP, the company incurred expenses with network infrastructure, Internet and equipment. Initially, the centralization of all structure and implementation in the headquarters of the controlling company was tried, but when the project started, it was seen that the computer network and its peripherals did not meet the ERP needs. The controller mentions: So a new challenge has begun, we have not only invested in the system, but also on peripherasl, servers, and Internet. It was a need that added value to the company, it accelerated our process, not only a gain in the system, but in the daily lives of our employees. Another expense that was difficult to measure was the halting of processes and employee's daily routines, four extra employees also participated, adding to the costs. There were also several weekends, holidays and trips to subsidiaries. For a company to acquire benefits from using technology, according to Azevedo et al. (2003), the development of technological and organizational strategies is essential, so there can be an improvement in operational and strategic aspects of the organization, as it is possible to highlight the reliability of delivery, reduced time to market, optimization of information flow and quality improvement, productivity, flexibility, cost reduction, new market penetration, speed, new customers development, and new products, among others. The implementation of the ERP through individual modules is a practice used by the supplier in order to get the client used to the new functions. The system is divided into four basic modules (market, supplies, finance and controllership). The market module is 90% solved, but there are still some adjustments that depend on other modules. The finance module is the one that is already fully deployed, it was the first to be introduced, given its lower complexity compared to supplies and markets modules. The accounting and controllership modules have not yet been started, but it is projected to be in operation by 2012. There are some expectations for the use and functionality of the ERP system in the company. The controller highlights that flexibility in the process is one of the main expectations. For instance, accounting has five employees doing the bookkeeping, and the new system can reduce this number to only two. However, in reducing the number of people in one sector, there are more people and more time available to give support to the company and its subsidiaries, as well as providing better management for there is relevant information for the strategic plan and for the organization as a whole. The controller says: We are offering a unique work in managerial accounting, not only in bookkeeping, like a reconciliation, for example. But we end up participating a little bit more in the company, in the management planning process and in obtaining profit to maximize the outcome of the company, cost reduction, providing more useful information to the manager. Staff acceptance towards the ERP system, according to the controller, occurred as planned, with some resistance to the new procedures: Every change brings discontent, but I believe it is not only here, but this occurs in all businesses. However,

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296 Theiss, V., Krespi, N. T., Lavarda, C. E. F.

there is total participation of employees, it is possible to see that everyone is very excited with the result, even though it is not an easy process. The implementation required employees to take over more work tasks, to interact with the consulting company and to make more trips. These activities ended up disturbing the work routine. The controller said: I learned that there is no way I can follow my schedule, I have to meet the support and implementation staff, because much depends on controlling, a module that has not yet been deployed. But the rest of the team presented itself positively, better than planned. Among the difficulties encountered in the implementation reported by the controller, there is the fulfillment of the goals established in the contract with the vendor: With the company that was hired, a time based project was started. For example, when you open the"financial" module there are specific points that must be met and should be established at a certain time. As all employees were thrilled, goals were achieved in 60% of the scheduled time line. But when we entered the market module, which no longer depended on our internal structure, but depended on the subsidiaries, that was a more difficult process. We made our internal team and the supplier's team available to develop the project, but when I got to the subsidiary, it was not prepared to receive training, sometimes due to its employee turnover. During this process, we trained one person and soon after this person was repositioned or asked to leave. So, we had to do all the work again. After a few attempts, we had to restart the process, hire our own people to meet our business needs there. With that, we developed other departments in the company, able to meet all the subsidiaries needs. To adjust the controller's responses to the answers given by the employees, Table 2 is presented and obtained with the questionnaire carried out with 7 company employees, who participate in a direct and active manner in the implementation. The scale used to answer the questionnaire was the 5-point Likert, where 1 is for strongly disagree and 5 for strongly agree. It can be seen in the very first question that R1 confronts the others, since everyone agrees that the new system will help improve the process and the content of decisions, except for this one, which is indifferent. Probably, this respondent does not participate directly in the process of decision making in the holding company, and thus presents a view that the process still needs improvement. In the second and third questions, respondents are unanimous in agreeing that the integrated system will improve internal discussions and meetings, as well as making coordination between functional areas of the company more effective. In the fourth question, R1 conflicts with others again, indifferent to the introduction of possible improvements to the assessment of the annual budget, while all other respondents totally agreed with that statement. When employees were asked about increasing the profit margin of the company, fifth question, there was a discrepancy in the responses, making it clear that employees are not clear about how much, if so, the integrated system will increase the profit margin. In the sixth question, the officials were asked about the influence of the ERP system on increasing market share, the answers vary between indifference and agree, which again suggest that employees do not have clarity about the results of the system within this specific area. The only answer that does not follow this line is R1, which

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strongly disagrees with the statement, suggesting that there is no link between the change of system and market share of the company. Questions

R1

R2 R3 R4 R5 R6 R7

1 - Will the ERP aid in improving the process and the content of the decisions? 3

5

5

5

5

4

5

2 - Will the ERP aid in the meetings and internal discussions?

5

5

5

4

5

4

4

3 - Will the ERP make it possible for a better coordination among functional areas of the company? 5

5

5

5

5

3

4

4 - Will the ERP empower better evaluation of annual budget reports? 3

5

5

5

5

5

5

5 - Will the ERP aid in increasing the company's profit margin?

1

3

2

4

3

2

3

6 - Will the ERP aid in increasing market share?

1

4

3

4

4

3

3

7 - Will the ERP improve strategic planning?

5

4

5

5

5

4

2

8 - Will the ERP improve communication among organizational units from different regions? 5

5

4

5

5

5

4

9 - Will the ERP aid in coordinating regional, domestic and worldwide activities? 5

5

4

5

5

4

4

10 - Will the ERP aid in closely controlling its clients and suppliers? 3

5

5

5

5

5

3

11 - Will the ERP make it possible for the company to add more information to the services? 3

5

5

5

5

2

5

Table 2 - Responses to the questionnaire Source: Survey data.

When questioned about the improvement of the company's strategic plan, the respondents almost unanimously agree with the statement. But this time respondent 6 is confronted, maybe not distinguishing the link between strategic planning and implementation of the integrated system. In the eighth question, and in the ninth, the majority of respondents agree or strongly agree with the statements made. In this context, it can be said that most employees agree that the use of the ERP system will improve the communication pattern of the company and also help coordinate the company's activities at the national, state or municipal level. When asked about the connection between the control of customers and suppliers and the use of an integrated system, the majority of respondents are unanimous in completely agreeing, however R1 and R7 are indifferent to the statement. Finally, question number 11 sought to investigate whether staff agreed that the implementation of the ERP system would add more information to the services it provides, in this sense most respondents said they totally agree, while only respondent R1 is indifferent and R6 disagrees.

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5. FINAL CONSIDERATIONS The research aimed to evaluate the legitimation in the process of implementing an ERP system in a holding company. We conducted a case study on a asset management company, which manages 15 companies from various sectors as follows; five commercial companies, a factoring, an accounting firm, to perform the internal accounts of subsidiaries, four carriers and three clothes cleaning companies. The triangulation of data was performed by analysis of documents, interviews with the company's controller and a questionnaire to employees. The results show that the need for a change of system to an ERP came from the market, in the analysis of its competitors, for the company should either update itself or it would no longer be able to compete, said the controller. This argument is consistent with Azevedo et al. (2003), in which it is mentioned that companies undergo major changes and restructuring, due to consumer demand, a greater number of competitors in the market and a workforce that requires new types of treatments. The ERP system can generate various benefits, such as operational, financial, investors, and user satisfaction, among others. Due to its relevance, its importance can be measured by observing the reactions of the market, as well as the announcement of use, according to Moon (2007). The choice of an ERP system obeyed criteria from an analysis of expected costs and benefits. The controller said that the lowest quotation presented would not necessarily be the chosen on. In the case of the company studied the highest quotation was chosen because the offer presented other benefits deemed important like the quality of service provided by the company support and assistance in the process of ERP implementation. The stage in which the system is chosen is decisive, present Berchet and Habchi (2005). The company will set, along with the software vendor, all procedures and resources required for the acquisition and operation of the integrated system, and a bad choice can cause problems in the future. The company chose to implement a system that would guarantee information security, so, the decision was made for an integrated system which modified and improved company management, since the company was using a specific information system for each sector, with the exception of the controllership and costs departments, which were sharing spreadsheets. According to Le Loarne and BĂŠcuwe (2008), the reason for a company to implement an ERP system is usually cost reduction. In order for the procedure to be performed, the system must be established and run by an assigned project team and assisted by external consultants, redesigning the business process, establishing the procedures for every module and defining the parameters. Moon (2007) clarifies that identifying the amount that will be spent on the new system is often decisive and a key issue for the choice of a supplier, so that spending can be known beforehand. Moon (2007) also shows the importance of a good project and the participation of all stakeholders in the organization. Zwicker and Souza (2000) show that the planning phase is important because it takes into account criteria that can help managers choose the most appropriate integrated system for the reality of each company.

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The controller notes that the company's investment to implement the ERP system was high because it was more than just the amount for the integrated system itself; it was necessary to invest in new equipment and staff training. The arguments presented by the controller in response to the subject, collaborate with the precepts of institutionalization, which for Covaleski, Dirsmith and Samuel (1996) is an adaptive process that takes into account certain rules in effect and that influence organizations on their beliefs, norms and traditions. The implementation of a full ERP system, according to Le Loarne and BĂŠcuwe (2008), involves the deployment of multiple modules, each module being related to a specific function of the organization, such as accounting, finance, procurement, human resources, production, etc. In this sense, considering that two controlling modules have been fully implemented, and two, accounting and controllership, not yet. These two modules will have the implementation started in early 2012 due to the company's specific needs. Among the expectations with the ERP system, the company expected and still expects faster processes, the reduction of rework and release of employees, information for the management of companies and result planning. These expectations serve those described in the study by Anastas (1997), especially regarding expectations with respect to reducing the number of employees performing a particular function and so that they can start contributing to the retrieval of management information. The collected data show that there was staff involvement, ready to solve problems and willing to attend training. Nevertheless, the controller noted that such a big change causes some situations of discomfort, but through team cooperation the conflicts can be minimized. The analysis of the questionnaire shows the impact of legitimacy by the employees, being in general satisfied with the implementation process and also having high expectations of changes and the impacts on the company. The documents analyzed completed the information obtained in the interview, especially with respect to costs, benefits, hours devoted to training and troubleshooting. Azevedo et al. (2003), argue that the institutional perspective directs companies to making the incorporation of values and predefined patterns, which initially do not bring operational efficiency, they are however considered fundamental requirements in the search for legitimacy, increasing the company's survivability. Boff (2007) also emphasizes that for a normative structure to be fully established, the imposition or adoption of a set of standards is not enough, but it is necessary that it be practiced and accepted by everyone in the group, until it becomes usual for everyone involved in the company. This is because it is not enough to deploy a system without the acceptance of all employees, because it may cause other internal conflicts and discouragement of the team and something that was made to help problem solving may cause even more complications. In this context, the contribution of this study is showing the experiences of the company's situation. The company goes through this process of change in legitimizing the new information system, because the company controls various activities of difficult reconciliation and comparison and it requires specific controls and precision. An acceptance and understanding by employees and management can be identified.

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300 Theiss, V., Krespi, N. T., Lavarda, C. E. F.

It is suggested, for future research, the study of the company after finalizing the full implementation of the ERP system, as well as the study of other companies that have already made changes in their management controls.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.303-322 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200007

DO INFORMATION AND COMMUNICATION TECHNOLOGY ACCESS AND INNOVATION INCREASE OUTSOURCING IN SMALL AND MEDIUM ENTERPRISES? María Verónica Alderete IIESS-CONICET Universidad Nacional del Sur, Bahía Blanca, Argentina __________________________________________________________________ ABSTRACT In this paper we present an econometric model to determine whether an SME (Small and Medium Sized Enterprise)’s probability of outsourcing depends on their levels of innovation and information and communication technology use. The predictions of the econometric model are tested by means of a LOGIT model using a cross section sample of an Argentinean SME for the year 2006. The model predicts that the level of innovation of an SME will significantly influence its probability of outsourcing. Besides, it stresses the negative incidence of the information and communication technologies (ICT) access on the outsourcing decision. Keywords: outsourcing, small and medium sized enterprises, innovation, information and communication technologies, and transaction costs.

1. INTRODUCTION Although outsourcing is hardly a new idea in management, the volume, extent and character of outsourcing have been changing rapidly. During the last years, a large number of firms are decentralizing their operations by retaining core competences (Prahalad and Hamel, 1990) and obtaining additional needs from the market. Outsourcing is not a new task. Since the 1980s, many of the trends and pressures in outsourcing have been experienced, although some of them have changed. Nowadays, there are two different features from that period: there is no ‘hiding place’ or geographical boundaries for this task settled in almost every country, with a few exceptions. Furthermore, the potential impact on the economic performance is probably greater than in the past. _____________________________________________________________________________________ Manuscript first received/Recebido em 25/02/2013 Manuscript accepted/Aprovado em: 12/03/2013 Address for correspondence / Endereço para correspondência

María Verónica Alderete is a PhD in Economics (Universidad Nacional del Sur, Bahía Blanca, Argentine). She currently works as an Assistant Researcher at IIESS (Instituto de Investigaciones Económicas y Sociales del Sur)-CONICET, Universidad Nacional del Sur, Bahía Blanca, Argentina. IIESS (Instituto de Investigaciones Económicas y Sociales del Sur)- CONICET Universidad Nacional del Sur 12 de Octubre 1198, 7°Piso, (8000) Bahía Blanca, Argentina (54)2914595138, Int:2705. E-mail mvalderete@hotmail.com; mvalderete@iiess-conicet.gob.ar Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


304 Alderete, M. V.

“We live in an age of outsourcing. Some firms have gone so far as to become “virtual” manufacturers, owning designs for many products but making almost nothing themselves (Grossman and Helpman, 2005)”. According to Grossman and Helpman (2005) outsourcing means more than just the purchase of raw materials and standardized intermediate goods. It means finding a partner with which the firm can establish a bilateral relationship and having the partner undertake relationship-specific investments so that it becomes able to produce goods and services that fit the firm’s particular needs. Small and Medium Enterprises play a significant role in developing economies by generating new employment opportunities and making significant contributions to the national / global economy. However, the sector confronts some obstacles. Nowadays, the digital economy and dominance of regional and global supply chain system prevail, and many SMEs facing traditional hardships of finance and procedural delays are lagging behind due to obsolete technology and production process, information asymmetry and lack of knowledge management capacity. Many SME face limited growth as a result of their owners’ lack of experience in some functional areas of the firm. This phenomenon leads to an inefficient management of these areas. Outsourcing is an alternative solution to this problem that leads not only to cost reductions but also to SME growth. The contractor firm can focused on its core competences. The challenges are not merely simple ‘make or buy’ decisions, but also responses to what some have declared as the new round of globalization in which not only typical manufacturing jobs are being sent offshore, but also upscale tasks, such as research projects, technical service support functions, engineering and even financial analysis are being placed in so-called developing countries. “Outsourcing is now high on the list of the things that many savants believe well-run organizations must consider, so that it is now as much a management fad as a reasoned decision, offering important augmentation to the current organizational design, or even giving rise to new enterprise designs (Jenster et al, 2005)”. Outsourcing has been growing in many industries throughout the world. The technological revolution that has taken place in last decades has allowed for a significant drop in the costs associated with finding information, transport communication and business coordination, lowering the transaction costs and increasing the possibilities for outsourcing (Díaz Mora, 2005; Díaz Mora and Gandoy Juste, 2008). It has also been argued that new information, production and managerial technologies create opportunities for the introduction of new forms of organizing production, as inter-firm collaboration and networks, in which the sub- contracting firm has a major role to play. In spite of the increasingly use of outsourcing of production activities according to the business press and academic literature, empirical research about its determinants remains very limited: Bartel et al (2008) in the US manufacturing industry; Islam and Sobhani (2008) in the manufacturing industry in Bangladesh; Díaz Mora and Gandoy Juste (2008) in the traditional Spanish manufacturing; Kimura (2001) and Tomiura (2004) for Japanese manufacturing industry, Görg and Hanley (2007) and (2004) for the Irish electronics industry, and Holl (2004) for the Spanish manufacturing industry, Navarro (2002) in the Spanish banking sector. By deepening on the outsourcing determinants, we establish which the main limitations an SME could find to develop this strategy are. There are limited studies on outsourcing in SME. One of the contributions of this paper is leading with the idea that

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ICT tools are different in nature and, therefore, they may have a different effect on the propensity to outsource. First, this paper analyses small and medium sized enterprises (SMEs) outsourcing decision with special emphasis on innovation and ICT diffusion. The paper presents reasons behind subcontracting practices as well as recent trends, opportunities, benefits and problems for SMEs derived from their subcontracting activities. By deepening on the outsourcing determinants, we establish which the main limitations an SME could find to develop this strategy are. Besides, we estimate a logistic model to provide some empirical evidence of the explanatory factors of SME outsourcing decisions based on an SME sample from Bahía Blanca, Argentina. We emphasize on the level of innovation and ICT endowments as the main explanatory factors of outsourcing. 2. THEORETICAL FRAMEWORK Outsourcing refers to the delegation of certain functions to providers outside the enterprise, basically through the hiving-off of non-core activities and functions for the enterprise (usually functions that can be treated as a commodity). The search for an external provider is largely based on costs, provided a minimum level of quality is obtained. According to UNIDO, subcontracting can be defined as an economic relationship where one entity (the main contractor) requests another independent entity (the subcontractor) to undertake the production of parts, components, sub-assemblies or the provision of additional services that are necessary for the completion of the main contractor's final product, always in accordance with the main contractor's specifications (UNIDO, 2003). The OECD defines subcontracting as a situation when one enterprise (the contractor), contracts another enterprise (the subcontractor), for a given production cycle, one or more aspects of product design, processing or manufacture, construction, maintenance work or services, where this output is generally incorporated into the contractor's final products. The subcontractor must adhere strictly to the contractor´s technical and/or commercial specifications for the products or services in question (OECD, 2005). There are different explanations for the outsourcing strategy. Most of them are that outsourcing is a response to unpredictable variations in demand (Abraham and Taylor, 1996), an opportunity to take advantage of the specialized knowledge of suppliers (Abraham and Taylor, 1996), and a method to save on labor costs (Abraham and Taylor, 1996; Diaz-Mora, 2005; and Girma and Gorg, 2004). In this paper, we examine the first two explanations and complete the theoretical framework of subcontracting with two approaches. The first is the transaction cost approach. On the basis of the assumptions on bounded rationality and opportunism in human behavior, the transaction cost approach characterizes transactional environment by introducing uncertainty, frequency in transactions, and relation-specific assets (Williamson, 1981, 1982). Taking these characteristics into consideration, a firm decides whether to internalize certain transactions or not.

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In light of the transaction cost theory, decreasing costs of search, evaluation and monitoring of suppliers should lead to a shift away from firms and toward markets as a form of organizing economic activity (Coase 1937, and Williamson, 1985). Outsourcing occurs under conditions of low asset specificity, low uncertainty and a low frequency of transactions (Mol, 2005). Subcontracting arrangements can be interpreted as one of the devices to save transaction costs. The second approach comes from the analysis of the capabilities of the firm. The knowledge-based (Grant, 1996; Kogut and Zander, 1992) and resource-based (Barney, 1999; Quinn, 2000) explanations of outsourcing suggest that a firm will outsource those activities in which it is not particularly specialized or that are ‘non-core’ because the firm is less capable of performing those activities. In particular, we focus on the role played by innovation activities and information and communication technologies. Dobrzykowski et al (2010) develop a case analysis where a firm’s successful sourcing decisions can be explained by resource based view (RBV) and value cocreation theories. RBV is shown to provide an internal view of the firm considering its core competencies, while value co-creation illuminates the external perspective considering the role of customers when making sourcing decisions. Juntunen et al (2010) analyze the trade- off between lower cost and good service level. They find that, in the short run, trade-off does not exist, but there may be a propensity to trade-off in the long run. Souza and Bacic (2000) analyze the different aspects that must be considered in the decision to outsource in a multidisciplinary manner. In particular, the authors focus on the possible causes of outsourcing programmes’ failure, such as “the herd effect” (outsourcing is in fashion for many managers), lack of knowledge of the relevant variables of the decision model “to produce or to buy”, the manager’s lack of attention to some strategic aspects such as the future of some variables (fixed costs of the future structure, and productive capacity, among others), or the qualification of the employees (level of education or training). 2.1. Outsourcing and Innovation There is no conceptual agreement on the relationship between innovation and outsourcing. In R&D intensive industries, scale advantages are usually sufficient to allow for more vertical integration. Furthermore, innovative activities may be hard to appropriate if they are not performed inside the firm. There can also be an increased risk of opportunism under these conditions, especially where the R&D concerned is of a proprietary rather than a generic nature (Williamson, 1985). On the contrary, outsourcing levels should be on the rise in the context of R&D intensive firms, since there is an increasing inter-sector technological specialization and buyer–supplier relations have become more effective vehicles for exchanging technological know-how (Dyer and Nobeoka, 2000; Dyer and Singh, 1998). Industries increasingly use cooperative relations with outside suppliers to obtain technology in known but non core areas. This relational view perspective (Dyer and Singh, 1998) establishes that much of a firm’s innovation now occurs in conjunction with outside suppliers rather than inside the firm. Dyer and Nobeoka (2000) detail through their case study of Toyota how new technology is developed through dedicated

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buyer–supplier relations. This new model of inter-organizational relations as a means to innovation is superseding traditional in-house development (Mol, 2005). Mazzanti et al (2007) show that in the district-like context analyzed, the firms’ innovativeness correlates positively with the complexity of the outsourcing strategies, being innovative in Reggio Emilia requires the outsourcing of ancillary activities, in order to refocus on the business core. Mol (2005) uses an Ordinary least squares (OLS) regression to test the effect of R&D intensity and a set of control variables on the industry average level of outsourcing in a set of manufacturing industries in The Netherlands in the early 1990s. Mol (2005) suggests R&D intensity as a proxy for innovation since it is performed in order to generate innovations, particularly of the technological type. He argues that being R&D intensive has traditionally been seen as an impediment to outsourcing and shows that R&D intensity became a positive predictor for changes in outsourcing levels. However, to compensate for the loss of internal technological capabilities, firms increasingly rely on partnerships with outside suppliers that can act as an effective substitute to the internal generation of knowledge and innovation (Ding 2001; Dyer and Nobeoka, 2000; Dyer and Singh, 1998; Hagedoorn, 1993). Bartel et al (2009) study Spanish manufacturers from 1990 to 2002 and conclude that outsourcing does increase with technological change. According to Bartel et al (2009), the firm’s expectations with regard to technological change in its production process is a significant explanatory variable of the probability of outsourcing production. Firm’s investment in R&D or its patent registrations can be good proxies for technological change to the extent that R&D (or patenting) is used to adapt exogenous changes in the production technology to the specific requirements of the firm. Companies that invest in R&D expect innovation and technological change to be part of the business environment. They argue that spending on R&D is linked to outsourcing. Companies with positive percentage of R&D spending were more likely to outsource than those that did not choose to invest in R&D. Görg and Hanley (2007) analyze empirically the link between international outsourcing and innovative activity at the level of the individual establishment. They find evidence for positive effects between outsourcing and innovation. However, they show that outsourcing increase innovation activity. It is easy to show presence of reverse causality – maybe more spending on innovation leads firms to sub-contracting. Because of the presence of endogeneity, we are not talking about causality between outsourcing and innovation but we analyze a relationship between them. This paper will analyze the reverse relation, how innovation affects the outsourcing decision. 2.2. Outsourcing and size Firm size is included as an explanatory factor because it affects the scale at which a firm can produce internally if it chooses not to outsource. Scale economies are widely held to influence firms’ outsourcing decisions, particularly for functions that have relatively high fixed costs. This suggests that smaller firms should outsource more to take advantage of the scale provided by specialized vendors (Ono and Stanko, 2005). Small firms would be expected to be more likely to outsource because it may not be optimal for them to carry out all steps in the production process because of the costs of maintaining specialized equipment or skills in-house (Abraham and Taylor, 1996). As Abraham and Taylor (1996) suggest, the cost savings derived from outsourcing can be

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obtained by two ways: first, exploiting the economies of scale in producing these specialized components or phases which are being contracted out (outsourcing for specialization) and, second, turning fixed costs in variable costs and gaining flexibility if there are frequents fluctuations in the product demand (outsourcing for capacity). The specialization motive for outsourcing introduces firm size as a determinant of this strategy. There may be economies of scale in the production of specific inputs and, in this sense, size variable has to be considered to control for this scale economies effect. Since small and medium enterprises will have more difficulty reaping the minimum efficient scale, they will opt more intensively for outsourcing. Large firms often take a different role in the supply chain, by primarily becoming an assembler and not a producer, and may therefore outsource more (Mol, 2005). Besides, large firms may have more bargaining power with suppliers, encouraging them to outsource. However, since we are going to analyze SME in this paper, this would not be the case since the largest firm is of a medium size. 2.3.

Outsourcing and export activity

Having a superior set of internal capabilities, for instance, human resources, also makes it less likely that firms will outsource activities since they will want to fully exploit these internal strengths. Since the ability to export products is an indicator of company strength, more export intensive industries possess more internal capabilities and may therefore outsource less. However, competition between firms stimulates outsourcing (Cachon and Harker, 2002). More export intensive industries will be faced with a more competitive environment and will therefore seek to outsource more. Relatively efficient firms seem to contract out for other reasons such as penetrating export markets and focusing on innovation (Bakhtiari, 2011). McLaren (2000) supports the idea that open international markets lead to larger markets that promote matching between specialized suppliers and firms willing to externalize production. In this sense, the international market would increase outsourcing attractiveness. Criscuolo, Haskel, and Slaughter (2005) and Salomon and Shaver (2005) argue that this variable controls for the possibility that export-active firms may also be more R&D and innovation intensive (Gรถrg and Hanley, 2010). 2. 4

Outsourcing and ICT

We are not referring to the outsourcing of informatics services or ICT outsourcing. We want to study the influence of ICT use on the decision to outsource. Much of this thought surrounds the ability of information to create closer relationships by enabling chain members to participate together in a variety of functional activities which in turn, enhances organizational performance and competitive advantage (Langfield-Smith and Smith,2005; Zhang and Li, 2006). ICT will introduce innovative ways of doing business, re-shaping firm boundaries and changing the constellations of value chains. The availability of powerful ICT at reasonable costs also increases the attractiveness of markets for intermediate goods and services (Malone et al., 1989 and Lucking-Reiley et al., 2001) JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 303-322

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It has been argued that new information, production and managerial technologies are changing the balances of transition costs, creating opportunities (but also pressures) for the introduction of new forms of organizing production in which the sub-contracting firm has a major role to play (Wynarczyk, 2000). It is possible that the rapid chances in internet and communications technologies can lower the cost associated with seeking out suppliers and managing relationships with them. Abramovsky and Griffith (2006) consider the impact that technology has over organizational form. They find that more ICT-intensive firms across firms within an industry purchase a greater amount of services in the market and they are more likely to purchase offshore than l ICT-intensive firms. Improvements in ICT usage have resulted in two-front benefits; (i) efficiency improvements, essentially driven by better information flows translating into better material management, which resulted into the implementation of technologies such as electronic data interchange (EDI) and (ii) effectiveness improvements, driven by better information flows which resulted into re-engineering of the entire supply chain. Clemons (1993) and Malone et al (1987) suggest that a primary benefit of the electronic exchange of information between organizations is the reduction in transaction costs. Clemons et al (1993) argues that information technology has the ability to lower coordination cost without increasing the associated transactions risk, leading to more outsourcing and fewer vertically integrated firms. A study from DIW Berlin (2008) found that across all sectors, intensive ICT users are more likely to change their organizational structure and to outsource non-core activities. Finally, if we consider the existence of transaction costs from externalization, outsourcing is more likely in industries with less technological requirements (OMC, 2005). The more standardized a production activity is, the lower the management costs associated to production control and coordination. The probability of outsourcing increases with the standardization level of the production activity (in traditional manufacturing). Similar to this argument, Benfratello (2009) discusses the assumption that ICT facilitates the transfer of knowledge outside firm boundaries, and therefore, reduces outsourcing. As Leamer and Storper (2001) and Leamer (2007) emphasize, the transfer of competences depends critically on an important distinction between routine codifiable tasks and non-routine. Non-routine tasks (such as ICT using tasks) are more based on experience and are dependent on creative skills. In this case, tacit knowledge plays a key role in production decisions and cannot be easily transfered by outsourcing. 3. DATA AND THE ECONOMETRIC MODEL We use a sample of 103 SME from the city of BahĂ­a Blanca, Buenos Aires, Argentina. The database corresponds to the year 2006 from interviews made in 2007. According to information from BahĂ­a Blanca, in 2007 the city counted on 679 industrial firms, with 99% SME. The sample was constructed considering the natural stratification based on production specialization of the total number of firms. It collects information on different characteristics of the firm: owner socio-cultural characteristics, firm structural JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 303-322

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310 Alderete, M. V.

characteristics (including relationships with suppliers, clients and between firms), and market and environment characteristics. The classification of the firms by firm size responds to the number of employees. Alderete and Diez (2012) propose this classification based on the percentage frequency distribution of the firms classified by number of employees: Micro-firm (1 to 5 employees); Small 1 (6 to 10 employees), Small 2 (11 to 50 employees) and Medium (more than 50 employees). The 1985-1994 Argentinean Census used this classification: Micro-firms (fewer than 5 employees); Small (between 6 and 10 employees); Intermediate (between 11 and 50 employees) and Medium (More than 50 employees). Although this classification is not usually use in Argentine studies, it represents more properly this sample. Most of the firms are Small 2 (40,8%), followed by micro-firms (28,2%), Small 1 (25,2%) and Medium (5,8%) in order of importance. There are firms with different sizes, levels of productive specialization and; therefore, different degrees of complexity in terms of products and processes. Thus, there is not structural bias in the sample. Next, we made a descriptive analysis of the firms considering some of the main explanatory variables from the literature. We analyze the relationship between each explanatory variable and the outsourcing conduct. Then, a logistic binary regression captures the significant explanatory variables of outsourcing conduct. Lastly, we elaborate some final considerations. According to Table 1, 20.4% of the firms have outsourced some of their activities. Outsourcing of activities is on average low. Then, we want to know which industries outsource more. Table 1: Outsourcing of any activities during the last 3 years N

Percentage

Accum. %

Yes

21

20.4

20.4

No

82

79.6

100.0

Total

103

100.0

Source: The author.

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Figure 1. Non-outsourcing

Source: The author. Most of the firms (79.6%) have not outsourced any activity for the last three years. However, the most dynamic industries are Wood (42.9%), Clothing, textile and leather (37.5%) and Machinery, equipment and vehicles (37.5%) (Figure 1). From Figure 2, we observe that outsourcing prevails in 2 Smallfirms (26.2%). Besides, Medium firms have not outsourced for the last years.

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312 Alderete, M. V.

Figure 2 Outsourcing

Source: The author. If we explore outsourcing activities (see Table 2), we can see that outsourcing parts of the manufacturing process is the most frequent (81% of outsourcing firms). Outsourcing of ICT services is only present in 3 cases. This result is linked to the relevant level of ICT access and use of the sample. Table 2 Outsourcing activities

Outsourcing activities

N

Column % (Base: N total)

17

81.0%

Commercial logistics Maintenance Others ICT services Management and accountability

6 5 4 3

28.6% 23.8% 19.0% 14.3%

1

4.8%

Financial Management Quality control Total

1 0 21

4.8% 0%

Parts of manufacturing process

Source: The author. ICT access is pretty disseminated among the firms, 77.7% of SME access Internet and e-mail. Besides, 42% of SME have a website presence. Access to EDI or Electronic Data Interchange systems, Extranet and Intranet are still low (20.4%, 19.4% and 1.9% respectively). Hence, the more complex ICT is the lower the percentage of firms with ICT access. Most of the firms use Internet to contact suppliers and clients, and banking and financial services. If we classified the firms according to the level of ICT access (Figure 3), we observe that the higher the level of ICT access, the higher the proportion of firms outsourcing any of their internal activities.

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Figure 3 Outsourcing and Non-outsourcing firms

Source: The Author. Even though the proportion of SME that have outsourced any of their activities is low, we can observe that the higher the level of product innovation, the higher the proportion of firms that have outsourced their internal activities (see Table 3). This monotonic pattern of innovation does not apply to process and organization innovation.

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314 Alderete, M. V.

Table 3 Product Innovation Outsourcing Sí

N

N

Product Innovation

Total

Row%

N

Row%

N

Row%

Change in some product recipient.

1

3.80% 25

96.20%

26

100.00%

Change in some product inputs.

4

13.80% 25

86.20%

29

100.00%

Change in some product process

1

16.70%

5

83.30%

6

100.00%

New product for the firm, not for the market

7

26.90% 19

73.10%

26

100.00%

New product for the market

8

50.00%

50.00%

16

100.00%

79.60% 103

100.00%

Total

21

8

20.40% 82

Source: The author. Next, by means of a logistic regression model (logit), we will determine the simultaneous influence of a set of independent variables on the outsourcing conduct. We want to estimate which the explanatory factors of the probability to outsourcing are (see Descriptive Statistics in Table 1 from Appendix). Dependent variable: outsourcing conduct; binary variable that takes value 1 if the firm has outsourced any internal activity and 0 otherwise. The LOGIT model derives from a model of latent or unobservable variable. Let y* be the latent variable ‘outsourcing conduct’ that is determined by some independents observable variables through the following structural equation: y*= β0 + x β + e , y = 1[ y*>0] The relationship between the outsourcing conduct emerges through the following equation: y = 1 if y* > 0 y = 0 if y*<=0 In this paper we supposed that the error term e assumes a logistic distribution with Var e = π2/ 3. Thus, the resulting LOGIT model equation is: Independent variables: Firm size: this variable represents mainly the number of employees. Hypothesis: We suppose that the larger the firm, the higher the probability to outsource any internal activity.

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Export: a binary or dummy variable that takes value 1 if the firm has exported any percentage of the sales and 0 otherwise. Hypothesis: We suppose that an exporter firm has a higher probability to outsource any internal activity. Innovation: this variable represents mainly product and organizational innovations made during the last three years. Information comes directly from the survey that asks enterprises if they have made any product, process or organizational innovation. Innovation is represented by two variables: Product and Process Innovation (Ipp) and Organizational Innovation (Iorg) from a Categorical Principal Components Analysis CATPCA (see Table 2 and 3 from Appendix). Hypothesis: We suppose that the more innovative the firm, the higher the probability to outsource any internal activity. E Investment: a binary or dummy variable that takes value 1 if the firm has invested in machinery and equipment during the last years. Firms’ decision to invest in machinery and equipment might be a reasonable proxy for fixed costs and expectations with regard to technological change in its production process. Hypothesis: We suppose that the more investments the firm makes, the higher the probability to outsource any internal activity. ICT access: By means of a Categorical Principal Components Analysis (CATPCA), we identified a dimension or factor to represent the ICT access variable (see Table 4 and 5 from Appendix). This bundle represents some ICT access variables such as telephone/fax, e-mail, Internet, Intranet, Extranet, EDI. Hypothesis: We suppose that the more access to ICT, the higher the probability to outsource any internal activity. Firm Age: it represents the owners’ experience in some functional areas of the firm. Since it is linked to the firm size, we add it as a control variable. Hypothesis: We suppose that the younger the firm, the less the probability to outsource any internal activity. Industry: We group firms into 8 different industries: Food and Beverage; Clothing, textile and leather; Wood (including furniture); Paper, editorials and print; Chemistry, oil, carbon and plastic derivatives; Non- metallic minerals; Basic metals and products, and Machinery, equipment and vehicles. 4. RESULTS We take into account the potential industry unobserved heterogeneity by adjusting standard errors for clustering. We estimate different models according to the innovation variable and ICT variable inclusion (see Table 4). Innovation appears to be a significant factor for outsourcing decision. Similar to many authors (Bartel et al, 2009; Dyer and Nobeoka, 2000; Dyer and Singh, 1998) the more innovative a firm is, the more likely to outsource the firm will be. Much of a firm’s innovation occurs in conjunction with outside suppliers (Dyer and Singh, 1998) to take advantage of the specialized knowledge of suppliers (Abraham and Taylor, 1996). This also confirms the Resource Based explanation of outsourcing (Barney, 1999; Quinn, 2000).

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In model 1, we include Ipp (innovation in product and processes). Ipp is significant in this model, and increases the probability of outsourcing. Ipp loses significance once we include the organizational innovation variable (Iorg). Iorg is significant in all the models estimated, with a negative sign. ICT access is strongly correlated with outsourcing activities. Contrary to many case studies (Abramovsky and Griffith, 2006; Lucking-Reiley et al., 2001; Wynarczyk, 2000), the less advanced in ICT access a company is, the more likely it is to outsource some of its business activities (see model1 and 2 in Table 4). The intuition behind the negative effect of large ICT access on outsourcing decision is that the more frequently innovations in technology arrive, the less time the firm has to amortize the sunk costs associated with an obsolete technology. Outsourcing enables the firm to purchase from supplying firms that are using the latest technology and avoid the sunk costs of the latest ICT technology (Bartel et al, 2008). Another reason for the negative relationship between ICT access and outsourcing comes from the complementarity between ICT capital and non-routine workers. As Leamer and Storper (2001) and Leamer (2007) emphasize, the transfer of competences depends critically on an important distinction between routine codifiable and non-routine tasks. The complementarity between ICT capital and workers performing non routine tasks increases the marginal productivity of non-routine inputs and therefore, their relative demand. This might make the standard offshoring option less attractive whenever this choice is driven by the abundance of routine workers. Following the transaction cost theory, it might be argued that some of the components of ICT capital are characterized by high degrees of complexity and asset specificity and this in turn might make the outsourcing of part of the production process a less attractive option (Benfratello et al, 2009). When using website or internet as ICT explanatory variables (see models 3 and 4 in Table 4), we do not observe a significant influence on the probability to outsource. This can be explained by the fact that Internet, mainly, is a basic information and communication technology whose access could not influence on the outsourcing conduct. About the control variables, firm size is not significantly correlated with outsourcing activities. However, the positive sign between size and outsourcing follows Mol (2005) and is contrary to the negative relationship found in Ono and Stanko (2005) and Abraham and Taylor, (1996). Besides, as the export sign indicates the outsourcing activity appears to be influenced by export firms. Similar to Cachon and Harker (2002), more export intensive industries will be faced with a more competitive environment and will therefore seek to outsource more. We do not find a significant impact of machinery and equipment investment on outsourcing activities in any model. Firm age is not a significant variable in Model1, contrary to the rest of the models. The mean predicted probability of outsourcing is 0.18 based on 76 observations.

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Table 4

Ipp Iorg ICT access Website Internet Firm size Export E Investment Firm Age Small1 Small2 Constant N Prob > F Pseudo R2

Model 1 Coef 1.2338**

z 2.13

-.7842*

-1.84*

Model 2 Coef z 2.0804 1.51 -1.002* -1.85 -.7680* -1.76

Model 3 Coef z 2.0131 1.58 -1.1108** -2.20 .99721

-.04516 2.5624** -1.0008 .01392

-1.64 2.13** -0.99 0.71

-1.1642 76 0.0033 0.2698

.0035 0.04 2.8945 1.56 -1.350 -1.11 .0430** 2.47 -1.6315 -1.5472 -1.681*** 72 0.0000 0.3347

Model 4 Coef 2.071573 -1.1543**

z 1.63 -2.16

1.01

.3269743 0.38 .00989 0.12 .0016347 0.02 2.9740 1.64 3.3111** 1.99 -.96132 -0.88 -1.071534 -0.93 .04118** 2.54 .03731** 2.54 -1.5889 -1.341337 -1.4961 -1.206117 -2.4018*** -2.129*** 72 72 0.00000 0.0000 0.3179 0.2970 (Std. Err. adjusted for 6 clusters in industry)

Source: The author. Results obtained after 5 iterations. Next, we focused on some significant explanatory variables. To study the impact of each variable on the probability of outsourcing, we compute the predicted probability under two possible values of the independent maximum and minimum variables (Table 5). We want to analyze the variation in the predicted probability when the independent variable takes a maximum or minimum level, without specific values for the rest of the variables which are considered at their average levels. Table 5 Innovation and ICT Max

Min

Difference

Innovation

0.3249

0.0171

0,3078

ICT

0.0382

0.6605

-0,6223

Source: The author. We can observe that the difference in the probability of outsourcing between the maximum and minimum levels of the variables is higher with ICT (-0,6223) than with innovation (0,3078).

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5. CONCLUSION The decision to outsource is conditioned by a set of firms’ structural characteristics that leads firms with a better competitive position more likely to outsource. In the econometric model described, the empirical results show that the more innovative in products and processes an SME is, the more likely to outsourcing a firm will be. Besides, organizational innovations lead SME to a lower probability of outsourcing. One of the contributions of the paper is leading to the idea that ICT tools are different in nature and, therefore, they may have a different effect on the propensity to outsource. Contrary to many case studies, the less advanced in ICT endowments a company is, the more likely it is to outsource some of its business activities. The transaction costs theory can explain why a higher ICT access can reduce the outsourcing strategy. This might happen because the SME avoids the sunk costs of the latest ICT technology by outsourcing. ICT investment are unlikely to promote outsourcing and, therefore, this transmission channel should not be a reason of concern for policy makers when designing public policies aimed at the diffusion of ICT. However, it does not address the endogeneity problem of the ICT investment decision. Although the model includes many relevant variables, it does not analyze others mentioned in the literature of outsourcing, for instance, the structure of costs of the subcontractor firm (we lack information of unit labor costs). Besides, we omit the impacts of perceived benefits, perceived roadblocks, and perceived criticality on the attitudes towards outsourcing and social factors, such as trust. Some authors state the key role of trust for managing interfirm relationships, especially in their relationships with suppliers. However, the treatment of trust in the econometric model is still a challenge. Even though the empirical model uses data from an emerging country city, results should be extend to the situation of SME from other countries. Although the size of the sample is appropriate for the statistical significance of the empirical model, we recognize that a larger one would be better. Moreover, it would be useful to analyze a panel data model. However, we must stress the difficulty in data analysis in developing countries. The inclusion of the ICT access variable is an important contribution to the analyses of SME outsourcing decision. REFERENCES Abraham, K. G. and Taylor, S. K. (1996). Firms' Use of Outside Contractors: Theory and Evidence. Journal of Labor Economics, Vol. 14, No. 3, pp. 394-424 Abramovsky and Griffith(2006).Outsourcing and Offshoring of business services. How important is ICT? Journal of the European Economic Association, vol.4, N°2-3, pp 594601. Barney, J. (1991) “Firm resources and sustained competitive advantage.” Journal of Management, vol. 17, N°1, pp 99–120. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 303-322

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Mazzanti, M; Montresor, S. and Pini, P. (2007) Outsourcing and innovation: Evidence for a local production system of Emilia-Romagna. Innovation Management Policy Practice, Vol. 9, Issue: 3-4, Publisher: eContent Management Pty. Ltd, p. 324-342 Ono, Y. and Stango, V. (2005). “Outsourcing, firm size and product complexity: Evidence from Credit Unions”. Economic Perspectives, 1Q, pp 2-11. OECD, Handbook on Economic Globalisation Indicators, Paris, 2005b. Prahalad, C. K., and Hamel, G. (1990) “The Core Competence of the Corporation”, Harvard Business Review, vol. 68, No. 3, pp. 79-91. Sadowski, B.M.; Maitland, C.and Van Dongen, J. (2002) “Strategic use of the Internet by small- and medium-sized companies: an exploratory study.” Information Economics and Policy 14, 75–93. Souza, M.C. A.F., and Bacic, M. J. (2000). ¿Por que os programas de terceirização falham?. Enfoque Reflexão Contábil, vol 19, Nº2, pp 16-27. Tomiura, E. (2004): Foreign outsourcing and firm-level characteristics: evidence from Japanese manufacturers. Hi-Stat Discussion Paper No. 64, Institute of Economic Research, Hitotsubashi University, Tokyo United Nations Industrial Development Organisation (UNIDO), International Subcontracting Versus Delocalisation A Survey of the Literature and Case Studies from the SPX Network, Vienna, Austria, 2003. Available on the Internet at: http://www.unido.org/fileadmin/import/18187_SPXversusDELOCinonedoc.pdf Williamson, 0. (1975). Markets and Hierarchies: Analysis and Antitrust Implications. Free Press, New York. Williamson, 0. (1981) “The Economics of Organization: The Transaction Cost Approach.” American Journal of Sociology, vol 87, N°3, pp. 548-577. Williamson, O. (1982) “The modern corporation.” Journal of Economic Literature, vol. 19 (December), pp. 1537-68. Wynarczyk, P. The role of digital networks in supply chain development. New technology, work and employment, vol 15, N°2. Yun, M. (1999) “Subcontracting relations in the Korean automotive industry: risk sharing and technological capability.” International Journal of Industrial Organization 17, 81–108.

APPENDIX Table 1. Descriptive Statistics Variable Firm size Export Innovation* E investment ICT access*

Obs 103 103 103 76 103

Mean 18.18447 .0679612 .4136928 .6052632 .702763

Std.Dev 27.08257 .25291 .2735988 .4920419 .2024193

Min 1 0 0 0 0

Max 150 1 1 1 1

Source: The Author based on SPSS. * Variables obtained from CATPCA were indexed for the descriptive statistics.

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Innovation Table 2. Model Summary

Dimension

Cronbach’s Alfa

1 2 Total

.463 .084 .901(a)

Variance accounted for Total % (Eigenvalues) variance 1.446 48.197 1.060 35.320 2.506 83.518

of

Source: The Author based on SPSS. a Total Cronbach’s Alfa is based on the total Eigenvalues

Table 3. Component Loadings

Type of process innovation Type of product innovation Type of Organizational innovation

Dimension 1 2 .850 -.235 .850 .237 -.001 .974

Source: The Author based on SPSS. Variable Principal Normalization Used.

ICT Access Table 4. Model Summary Dimension 1 2 Total

Cronbach ‘s Alfa Variance accounted for Total (Eigenvalues) .608 2.026 .283 1.309 .840(a) 3.335

Source: The Author based on SPSS. a Total Cronbach’s Alfa is based on the total Eigenvalues.

Table 5. Components Loading

Internet Website Intranet Extranet EDI Type of connection

Dimension 1 2 .806 .409 .762 .210 .640 -.422 .460 -.387 .309 .513 -.281

.712

Source: The Author based on SPSS. Variable Principal Normalization Used.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.323-338 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200008

A CRITICAL REVIEW OF KNOWLEDGE MANAGEMENT IN SOFTWARE PROCESS REFERENCE MODELS Ernesto Galvis-Lista Universidad del Magdalena, Santa Marta, Colombia Jenny Marcela Sánchez-Torres Universidad Nacional de Colombia, Bogotá, Colombia __________________________________________________________________________

ABSTRACT Knowledge Management (KM) is a critical subject for software development organizations. For this reason, the purpose of this article is to provide a critical review on the way that KM is included in several models of reference of software process (SPRM). For this, five SPRM used in the Latin American countries were selected. Then, an analysis of each process of the SPRM was performed in order to identify features related to the KM. Finally, the KM aspects were mapped in relation to the KM schools (Earl) and the KM capacities (Gold et al). The main contribution of the paper is to show some breaches in SPRM content in relation to KM schools and capabilities. Keywords: Knowledge Management Process, Knowledge Management in Software Engineering, Software Process Reference Models, Software Process Improvement

1. INTRODUCTION The software development organizations (SDO) have been interested in achieving levels of capability in their processes to obtain organizational maturity. For this reason, researchers and professional organizations in the Software Engineering discipline (SE) have developed an increasing number of Software Process Reference Models (SPRM) and Processes Assessment Models. These models have emerged to provide the necessary elements to implement or assess SDO processes. Most of the SPRM are based on the ISO/IEC 15504 Standard (ISO/IEC, 2004), through which their constitutive elements are established. This means that all models based on this standard have a common structure even though they have been proposed for processes of diverse natures. Moreover, the content of most of SPRM used in the industry covers engineering, management and support processes, whose bases are all the disciplines of SE (Abran, Bourque, Dupuis, & Moore, 2001). _____________________________________________________________________________________ Manuscript first received/Recebido em 16/07/2012 Manuscript accepted/Aprovado em: 10/04/2013 Address for correspondence / Endereço para correspondência

Ernesto Galvis-Lista, Assistant Professor, Faculty of Engineering, Universidad del Magdalena, Calle 32 22-08, Santa Marta, Colombia Teléfono (57) 3174979167 E-mail: egalvis@unimagdalena.edu.co Jenny Marcela Sánchez-Torres, Associate Professor, Faculty of Engineering Universidad Nacional de Colombia Carrera 45 26-85, Bogotá, Colombia. Teléfono: (57) 3118531450 E-mail: jmsanchezt@unal.edu.co Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


324 Galvis-Lista, E. Sánchez-Torres, J. M.

On the other hand, in the last decade, Knowledge Management (KM) has become one of the management processes within SE. An increasing number of publications have treated this subject from diverse perspectives. A synthesis of the scientific work on KM in SE can be found in the systematic review performed (Bjørnson & Dingsøyr, 2008). In this work, it is found a predominant interest in subjects like codification, storage and recovery of knowledge using information technologies (IT). Subjects like the creation, transfer and application of knowledge, however, have not been treated extensively by the academic community. Furthermore, the authors conclude that the majority of the empirical research works are focused on the KM application in the software process improvement (SPI). In this line of argument, KM in SPI is, in terms of (Aurum, Daneshgar, & Ward, 2008), an important research subject since the SPI initiatives have KM as their main component. Also, these authors argue that KM is useful in the definition of the software process in the application of a processes approach for SE and in the adaptation of software processes for future uses. However, a detailed review of papers published in the last five years, whose main subject is KM in SPI, led to the conclusion that the predominant approach is the knowledge codification, as it is found in (Alagarsamy, Justus, & Iyakutti, 2007, 2008a, 2008b; Capote, Llantén, Pardo, Gonzalez, & Collazos, 2008; Cruz Mendoza et al., 2009; Ivarsson & Gorschek, 2011; Montoni, Cerdeiral, Zanetti, & Cavalcanti da Rocha, 2008). Besides, there are works that treat the organizational knowledge mapping from the building of knowledge directories, as can be found in (Alagarsamy et al., 2008b; Li, Huang, & Gong, 2008), and in the creation and empowerment of organizational structures to promote the exchange and transfer of knowledge, as it is found in (Basri & O’Connor, 2011; Capote, Llantén, Pardo, & Collazos, 2009; Li et al., 2008; Nielsen & Tjørnehøj, 2010). In synthesis, research works on KM in SPI have been focused on the application of KM as a technological and management tool in SPI initiatives and projects. Nevertheless, there are no approaches related to KM like a process included in SPI initiatives. For this reason, the purpose of this paper is to present a critical review about how KM has been included as a defined process within several SPRM used in the software industry in Latin America. It is important to say that the SPRM provide the basis for SPI initiatives as they contain the definition of all SE processes that SDO would have to implement and improve in order to achieve better levels of capability in their processes to obtain organizational maturity. To present the results of the review, this paper was structured in the following way: The second section shows the KM theoretical foundations needed to compare, in accordance with a frame of common ideas, the diverse approaches on KM within the analyzed SPRM. In the third section the methodology used for the review is described. In the fourth section the review results are shown in accordance with selected theoretical foundations. Finally, the conclusions and references used in the preparation of the paper are discussed. 2. THEORETICAL FOUNDATIONS By considering the recent appearance and the conceptual diversity of the KM field, one way to identify a first perception of what KM means is to address the analysis through approaches and schools of thought. For this reason, seven proposals of classification for the KM approaches were identified, as shown in Table 1. Each one of these proposals was studied in order to select the most suitable to serve the objective of this review.

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A Critical Review Of Knowledge Management In Software Process Reference Models

Authors (Sieber & Andreu, 1999) (McAdam & McCreedy, 1999)

(Apostolou & Mentzas, 1999)

(Alvesson & Kärreman, 2001)

(Takeuchi, 2001) (Earl, 2001)

(Choi & Lee, 2003)

(Kakabadse & Kakabadse, 2003)

(Rodríguez Gómez, 2007)

(Barragán Ocaña,, 2009)

325

Proposed categories 1) Information perspective 2) Technological perspective 3) Cultural perspective 1) Models of categorization of knowledge 2) Intellectual capital models 3) Models of Social Construction of knowledge 1) Approach in knowledge creation 2) Approach in knowledge processes 3) Technological approach 4) Holistic approach 1) KM like spread out libraries 2) KM like community 3) KM like regulatory control 4) KM like action templates 1) Approach of knowledge measuring 2) Knowledge management approach 3) Knowledge Creation Approach 1) Technocratic schools 2) Economic schools 3) Behavioral Schools 1) Passive style 2) System-oriented style 3) People-oriented style 4) Dynamic style 1) Models based on philosophy 2) Cognitive models 3) Network models Models of communities of practice 4) Quantum Models 1) Storage, access and transfer approaches 2) Sociocultural approaches 3) Technological approaches 1) Philosophical, theoretical and conceptual models 2) Intellectual capital and cognitive models 3) Models of social and work networks 4) Technological and scientific models 5) Holistic models

Table 1 Proposals of classification of the KM approaches In this sense, the first theoretical referent considered was the taxonomy of KM strategies proposed by (Earl, 2001). The selection of this taxonomy is based on the fact that it was built on a research that included: (1) six case studies in organizations, (2) direct research with twenty chief knowledge officers, (3) a workshop about KM programs in organizations with the network of knowledge managers from the United Kingdom, and (4) the analysis of KM programs published in academic and professional journals. Furthermore, in relation to the content, it is believed that this taxonomy is the most detailed and, unlike others, the conceptual component is complemented by empirical studies. In addition, it is important to point out that although each school represents a particular purpose or approach, they are not competitive between themselves. On the contrary, in practice, KM programs are composed of strategies and tools from several schools. The identified KM schools are categorized as "technocratic", "economic", and "behavioral." The technocratic schools are the systems, cartographic and engineering schools. The systems school is focused on the IT tools for codifying and exchanging of knowledge using a knowledge base. The cartographic school is focused on the creation and maintenance of maps or knowledge directories that belong to the organization. The engineering school is focused on the implementation of knowledge processes and flows within the organization.

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326 Galvis-Lista, E. SĂĄnchez-Torres, J. M.

The economic schools are focused on the exploitation of organizational knowledge like intellectual capital that allows the creation of flows of income for the organization. In this category, Earl identified only the commercial school. The behavioral schools are focused on the promotion of knowledge creation and exchange, as well as all organizational and personal aspects involved in the use of knowledge as an organizational resource. In this third category, there are three schools: organizational, spatial and strategic schools. The organizational school is focused on the creation of formal and informal networks to exchange knowledge. The spatial school is focused on the design of physical workspaces to promote and improve the exchange of knowledge. The strategic school is focused on the design and implementation of all the organizational strategy taking knowledge as its essence. A summary of Earl's taxonomy is shown in Table 2. Category

School Systems

Technocratic

Cartographic

Engineering

Economic

Commercial

Organizational

Behavioral

Spatial

Strategic

Core principle

Basic Ideas

Knowledge Codification of a specific domain

Codification of specialized knowledge in knowledge bases to be used by other specialists or qualified personnel

People connectivity

Identification and mapping of the organizational knowledge for its promotion and utilization, ensuring that people with knowledge in the organization are accessible by others for consultancy and queries

Flows of knowledge to improve central capabilities of the organization Marketing of Intellectual or knowledge property Increase of the connectivity between the workers of knowledge Design of physical spaces to boost the contact and the activity of knowledge Become aware about possibilities of value creation by recognizing knowledge as a resource.

Supply staff with enough knowledge about their work Processes formalization of provision of contextual knowledge and better practices to the administrative and management staff The protection and exploitation of the intellectual or knowledge assets in an organization to produce incomes Use of organizational structures or networks to share knowledge Communities where knowledge is exchanged and shared in a, not common, personal and less structured way Design and use of spaces to facilitate knowledge exchange Promotion of socialization as a way of knowledge exchange Knowledge like an essential dimension of the competitive strategy The company is conceptualized like a business of knowledge The actions of knowledge management are varied and can frame in the other schools

Table 2 Classification of GC schools. (Earl, 2001)

As a complementary perspective to the Earlâ&#x20AC;&#x2122;s approach, the work done by (Gold, Malhotra, & Segars, 2001) was taken. In this proposal, the authors argue that organizations should take advantage of the knowledge they possess and create new knowledge to compete in their markets. To achieve this, organizations must develop two types of KM capabilities: knowledge infrastructure capabilities and knowledge processes capabilities. Infrastructure capabilities enable maximization of the social capital, defined as "the sum of current and potential embedded resources, available through, and derived from the network of relations that a social unit has (Gold et al., 2001). In a complementary form, process capabilities are dynamic elements that take advantage of infrastructure capabilities to convert knowledge into an active organizational resource. As illustrated in Figure 1, in terms of (Gold et al., 2001), the dimensions of infrastructure and processes reflect an additive capability to release and maintain over time an organizational change program through KM, in order to achieve organizational effectiveness.

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Technology Structure

Knowledge Infrastructure Capability

Culture Organizational Performance

Acquisition Conversion

Knowledge Process Capability

Application Protection

Figure 1 Knowledge Management Capabilities and Organizational Effectiveness. (Gold et al., 2001) The three infrastructure capabilities are the technology capability, the structure capability and the culture capability. The technology capability addresses tools and means that enable flows of knowledge efficiently. The structure capability focuses on the existence of rules, trust mechanisms and formal organizational structures that encourage the creation and exchange of knowledge between people in the organization. The cultural dimension refers to the presence of shared contexts within the organization. The four knowledge processes capabilities are knowledge acquisition, knowledge conversion, knowledge application and knowledge protection. The knowledge acquisition process is aimed at the gain of knowledge from various sources both within and outside the organization. The knowledge conversion process focuses on making existing knowledge useful from its encoding, combination, coordination and distribution. The knowledge application process is addressed to the real use of the knowledge in the daily practices of the organization. And the knowledge protection process is designed to define and implement the strategies to protect the organizational knowledge of theft or improper or illegal uses. Table 3 summarizes the KM capabilities proposed by (Gold et al., 2001). Categories

Capabilities Technology

Infrastructure

Structure Culture Acquisition

Processes

Conversion Application Protection

Main principle The IT systems determine the way in which knowledge is transferred and accessed. The organizational structures, formal and informal, can inhibit or facilitate interaction between people, essential in the KM. The organizational culture must support and enhance the activities of knowledge. The location and Acquisition of knowledge or creation of knowledge through the collaboration between individuals and business partners. Knowledge must be organized and structured in a way that facilitates their distribution and use within the organization. Knowledge must be used to adjust the direction, strategy, solve new problems and improve efficiency. Knowledge must be protected from inappropriate use, or unauthorized exploitation.

Table 3 Knowledge Management Capabilities: Infrastructure and Processes

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328 Galvis-Lista, E. Sánchez-Torres, J. M.

3. METHODOLOGY The review methodology designed to perform this work consists of three stages. In the first, SPRM (Software Process Reference Models) were selected for analysis in the practice of revision. For this, a set of publications by authors from Latin America over the past decade have been analyzed, whose main subject was the improvement of software processes. The analysis consisted in the identification and quantification of the worked or used SPRM as a foundation in the publications, with the purpose to select the five more worked SPRM. In the second stage, the processes related to KM were identified in each of the SPRM included in the review. Here, the specification of each process was studied, in other words, the statement of the purpose and expected outcomes of the process. With this analysis, a subset of processes were selected which have related aspects with KM. In the third stage, the processes identified in the second stage were analyzed in relation to the KM schools (Earl, 2001) and the KM capabilities (Gold et al., 2001). In this sense, each of the identified aspects was located in schools and corresponding capabilities. Table 4 describes each one of the steps of the methodology used in this study. Stage

1

2

3

Name

Selection of SPRM

Objective

Select a set of SPRM used in Colombian and Latin American contexts.

Identification of processes

Identify the processes, defined within the selected SPRM, that contained aspects related with the KM.

Mapping of processes

Relate the relative aspects of the KM, from the processes identified in step two, with the schools of KM and the organizational capabilities of KM.

Activities  The search of papers on the improvement of software processes, published in the last decade, with origins in any of the countries of Latin America using SCOPUS and ISI Web of Knowledge.  Identification of the SPRM in the article, based on the reading of the metadata of the publication.  Data analysis to identify and select the most mentioned SPRM in academic publications.  The search of primary documents, with the description of the processes involved in each selected SPRM.  Extraction of the description of the purpose and the results of each process in a database.  The search and record of key statements related to KM in the description of the purpose of the process.  The search and record of key statements related to KM in the description of the expected results of the process.  Selection of processes identified with relative aspects of KM.  Location of each key statement identified in step two in the corresponding KM school.  Development of mapping of the processes against KM schools.  Location of each key statement identified in step two in the corresponding KM capabilities. Development of mapping of the processes against the capabilities of KM. Summary and discussion of the obtained results.

Table 4 Stages of the methodology

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4. RESULTS By following the steps of the methodology, the main results were: 1) the selection of five SPRM, 2) the identification of 19 processes related to the KM in the SPRM, and 3) the mapping of the 19 processes in relation to KM schools and the KM capabilities. In the following three subsections the results of each stage are described in detail. 1.

Selection of SPRM

The selection of SPRM began with the definition of the search equations used in the ISI Web of Knowledge and SCOPUS databases. These equations are composed of phrases in English about improvement, capability and maturity of processes of software engineering. Table 5 shows the search equations and the results obtained from 2001 to 2012. Source ISI Web of Knowledge

SCOPUS

Search Equations (TS=((("software process" OR "software engineering") AND ("improvement" OR "capability" OR "maturity" OR "reference model")) OR "ISO/IEC 15504")) AND (CU=("Argentina" OR "Bolivia" OR "Brazil" OR "Chile" OR "Colombia" OR "Costa Rica" OR "Ecuador" OR "El Salvador" OR "Guatemala" OR "Honduras" OR "Mexico" OR "Nicaragua" OR "Panama" OR "Paraguay" OR "Peru" OR "Portugal" OR "Spain" OR "Trinidad and Tobago" OR "Uruguay" OR "Venezuela")) TITLE-ABS-KEY((("software process" OR "software engineering") AND ("improvement" OR "capability" OR "maturity" OR "reference model")) OR "ISO/IEC 15504") AND (AFFILCOUNTRY("Argentina" OR "Bolivia" OR "Brazil" OR "Chile" OR "Colombia" OR "Costa Rica" OR "Ecuador" OR "El Salvador" OR "Guatemala" OR "Honduras" OR "Mexico" OR "Nicaragua" OR "Panama" OR "Paraguay" OR "Peru" OR "Portugal" OR "Spain" OR "Trinidad and Tobago" OR "Uruguay" OR "Venezuela"))

Results

65

450

Table 5 Search Equations By eliminating duplicates, 424 items were obtained. Subsequently, on a first reading to exclude unrelated thematic articles a set of 124 articles to execute the data extraction were obtained as a result. The data extraction focused on classifying the articles according to the referenced SPRM in the content as part of the theoretical foundation or as methodological sustenance. The result of the classification is shown in Figure 2.

Figure 2 Identification of the SPRM in the Analyzed Articles

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330 Galvis-Lista, E. Sánchez-Torres, J. M.

After the analysis, the first result was the selection of five SPRM: 1) the international standard, ISO / IEC 12207, 2) the Brazilian SPRM called MPS.BR by the acronym from the Portuguese expression " Melhoria de Processo do Software Brasileiro " or Improvement of Processes of the Brazilian Software, 4) The Process Model of the Mexican Software Industry (MoProSoft) and 5) the process model defined as part of the Process Improvement Program to Enhance the Competitiveness of Small and Medium Software Industry in Latin America - COMPETISOFT. Table 6 describes the selected SPRM. SPRM

Year

Institution Software Engineering Institute

CMMI-DEV

2011

ISO/IEC 12207

2008

International Organization for Standardization

MPS.BR

2011

Asociación para la Promoción de la Excelencia del Software Brasilero

Competisoft

2008

COMPETISOFT Project

2005

Asociación Mexicana para la Calidad en Ingeniería de Software - AMCIS

MoProSoft

Country

Processes

United States

22

International

43

Brazil

19

Latin America

9

Mexico

8

Used References (CMMI Product Team, 2010) (Chrissis, Konrad, & Shrum, 2011) (SCAMPI Upgrade Team, 2011) (Pino, García, Ruiz, & Piattini, 2005); (Pino, Garcia, Ruiz, & Piattini, 2006); (ISO/IEC, 2006); (ISO/IEC, 2008); (Baldassarre, Piattini, Pino, & Visaggio, 2009); (Weber et al., 2005) (Santos et al., 2010) (SOFTEX, 2011a) (SOFTEX, 2011b) (Oktaba et al., 2007) (Competisoft, 2008a) (Competisoft, 2008b) (Oktaba, 2009) (Aguirre, Pardo Calvache, Mejía, & Pino, 2010) (Oktaba et al., 2005a) (Oktaba et al., 2005b) (Oktaba et al., 2006) (Oktaba, 2006)

Table 6 Description of the selected SPRM 2.

Identification of related processes with KM in the SPRM

The process analysis to identify those that contain aspects related to KM resulted in a set of 19 processes out of 101 processes from the five selected SPRM. Table 7 shows the identified processes in each SPRM. Model

ISO 12207

CMMI-DEV

MPS.BR

MoProSoft Competisoft

Related processes to the KM Management of the Software Configuration. Process of Resolution of Software problems. Management of the Cycle of Life model. Management of Human Resources. Management of Reuse of Assets. Domain Engineering. Management of the Configuration. Definition of the Organizational Process. Organizational training. Management of the Configuration. Definition of the Organizational Process. Management of Human Resources. Development for the Reutilization. Management of the Process. Management of Human Resources and of the Work Environment. Organizational Knowledge. Management of the Process. Management of Human Resources and of the Work Environment. Organizational Knowledge.

Table 7 Processes that contain KM aspects

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3. Mapping of processes in relation to km schools and capabilities In relation to the analysis of the SPRM regarding the KM schools it was discovered that most of the identified aspects are related to the school system. In other words, the dominant approach is the encoding of knowledge. In fact, although in several SPRM there is an explicit reference to the KM (MoProSoft, Competisof), the scope of this process is limited to manage a repository of organizational knowledge. The contents of this repository of knowledge are, primarily, best practices, records of learned lessons, knowledge artifacts resulting from activities of software construction, and knowledge regarding the definition of the processes of the organization. Added to this, the ISO / IEC 12207, CMMI-DEV and MPS.BR models include the concept of repository of the organizational knowledge within the management processes of configuration and definition of the organizational process. Also, all SPRM include aspects related to the engineering school. In particular, this school is materialized in the form of training activities and the provision of qualified personnel to carry out the activities of knowledge. These proposals become part of the processes of human resource management. Table 8 shows the relationships between the processes of the selected SPRM and KM schools.

Strategic

Competisoft

Spatial

MoProSoft

Organizational

MPS.BR

Commercial

CMMI-DEV

Engineering

ISO 12207

Related Processes to KM

Cartographic

Model

Systems

KM Schools

Management of the Configuration. Resolution of Software problems Management of the Cycle of Life model Management of Human Resources Management of Reuse of Assets Domain Engineering Management of the Configuration Definition of the Organizational Process. Organizational training. Management of the Configuration. Definition of the Organizational Process. Management of Human Resources. Development for the Reutilization. Management of the Process. Management of Human Resources and of the Work Environment. Organizational Knowledge. Management of the Process. Management of Human Resources and of the Work Environment. Organizational Knowledge

X X X X X X X X X X X

-

X X X X -

-

-

-

-

-

-

X

-

-

-

-

X X

-

-

-

-

-

-

-

-

X

-

-

-

-

X

-

-

-

-

-

-

Table 8 Relationship between the SPRM processes and KM schools The analysis of the SPRM regarding the organizational KM capabilities resulted in the fact that most of the aspects of KM identified in the processes are related to the technological infrastructure capability and the knowledge conversion process capability. This is coherent with the emphasis on the systems school. In addition, another important element is that all SPRM have, at least, a process concerning the design and implementation of an organizational structure with a processes approach. Also, the knowledge acquisition and application processes are explicitly covered within the models. The relationship between the SPRM processes and KM capabilities is shown in Table 9. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 323-338

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332 Galvis-Lista, E. SĂĄnchez-Torres, J. M.

Competisoft

Protection

MoProSoft

Application

MPS.BR

Conversion

CMMIDEV

Acquisition

ISO 12207

Management of the Configuration. Resolution of Software problems Management of the Cycle of Life model Management of Human Resources Management of Reuse of Assets Domain Engineering Management of the Configuration Definition of the Organizational Process. Organizational training. Management of the Configuration. Definition of the Organizational Process. Management of Human Resources. Development for the Reutilization. Management of the Process. Management of Human Resources and of the Work Environment. Organizational Knowledge. Management of the Process. Management of Human Resources and of the Work Environment. Organizational Knowledge

Structure

Related Processes to KM

Culture

Model

Technology

KM Capabilities

X X X X X X X X X X

-

X X X X

X X X X X -

X X X X X X X X X X

X X -

-

-

-

-

X

-

-

-

X X

-

X

-

X X

-

-

-

-

-

X

-

-

-

X

-

-

-

X

-

-

-

Table 9 Relationship between the SPRM processes and capabilities of KM 5.

CONCLUSIONS

From the perspective of the KM schools, the subjects included in the SPRM are limited to systems and engineering schools. Therefore, any SDO that works on a SPI initiative based on the analyzed SPRM could not include strategies from other KM schools within the certification of their processes. For example, the design of the physical spaces to promote the creation and exchange of knowledge, from the spatial school, is not included in the studied SPRM, although a growing number of companies have been applying it in practice. In addition, several authors argue that the software industry is a knowledgeintensive industry. Therefore, it is surprising and regrettable that the commercial schoolâ&#x20AC;&#x2122;s approaches are not explicitly included in the studied SPRM. It s also noteworthy that the approaches of the organizational and strategic schools are not included in the studied SPRM, since these schools have a very close relationship with the principles and practices of the agile methods for software development which have an important influence on the software industry. Concerning the organizational KM capabilities, the studied SPRM explicitly exclude the culture capability. However, in recent years the scientific literature on design and process improvement, and especially the movement of agile methods, has emphasized the crucial role of the organizational culture for SDO. For this reason, this absence is a gap that must be addressed soon. Moreover, the studied SPRM do not include two process capabilities that are crucial for any organization: knowledge application and protection.

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In this order of ideas, the present paper shows that the studied SPRM include within their scope some aspects of KM. This fact reaffirms the importance of KM for SDO, and in particular, the importance of KM in SPI. Mainly, the subjects of interest about KM in the SPRM are: 1) the encoding of knowledge, 2) the use of knowledge repositories, and 3) the organizational training. These topics of interest are located, in terms of (Buono & Poulfelt, 2005), in a first-generation KM. In this type of KM, knowledge is considered as a possession or something that can be captured and stored in repositories of knowledge-based technology. On the contrary, in the second-generation KM, knowledge is considered a complex phenomenon related to socio-cultural, political and technological aspects. For such a reason, a gap is evident in the content of the analyzed SPRM as these do not take into account elements of the second-generation KM. The previous arguments encourage the formulation of three questions that serve as a source of motivation for future investigations: 1) what KM purposes and results should be incorporated into existing SPRM to have a more complete reference in the design, implementation, evaluation and improvement of processes within SDO? 2) Is it possible to incorporate these KM purposes and results as a new process within the existing SPRM? Or perhaps a reference model of KM processes for SDO is needed? 3) If the resulting reference model of KM processes could be used in an initiative for determining the levels of capability of SDO processes, what should the corresponding evaluation model of KM processes be like? The answers to these questions are highly valued in KM research and may be a significant contribution to the field since they are aligned with KM research trends identified by (Dwivedi, Venkitachalam, Sharif, AlKaraghouli, & Weerakkody, 2011). They argue that the future research in the KM field requires studies related to the unification of the various KM models that exist today in the literature, and the understanding of the determinants of the evolution of KM in organizations. Also, studies are deemed relevant to the effectiveness of the KM and the necessary organizational and technological support to achieve it. In summary, this study constitutes an important reference for research and practice as it represents a synthesis of the KM subjects included in the SPRM, and helps SDO to identify the fundamentals and the existing options for implementing KM initiatives. Moreover, this study helps researchers to identify trends and subjects to develop new research projects about the inclusion of the different "varieties" of KM in the SPRM, or to develop a reference model of KM processes for SDO.

ACKNOWLEDGEMENTS The authors express their gratitude to COLCIENCIAS by its support through “Generación del Bicentenario” program and to the Universidad del Magdalena by its support through the “Formación Avanzada para la Docencia” program. These two programs are funding doctoral studies of the first author.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.339-356 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200009

ACHIEVING MATURITY (AND MEASURING PERFORMANCE) THROUGH MODEL-BASED PROCESS IMPROVEMENT Jose Marcelo Almeida Prado Cestari Arthur Maria do Valle Edson Pinheiro de Lima Eduardo Alves Portela Santos Pontifical Catholic University of Parana, Curitiba, Parana, Brazil __________________________________________________________________ ABSTRACT This paper presents the approach adopted by a software development unit in order to achieve the maturity level 3 of CMMI-DEV and therefore obtaining better performance. Through historical research and secondary data analysis of the organization, the paper intends to answer the following research question: "Could the adoption of maturity/best practices models bring better performance results to small and medium organizations?" Data and analysis conducted show that, besides the creation of indicator’s based management, there are some quantitative performance improvements in indicators such as: Schedule Deviation Rate, Effort Deviation Rate, Percent Late Delivery, Productivity Deviation and Internal Rework Rate Keywords: performance management, CMMI, process improvement, quantitative benefits, performance indicators. _____________________________________________________________________________________ Manuscript first received/Recebido em 01/03/2012 Manuscript accepted/Aprovado em: 22/12/2012 Address for correspondence / Endereço para correspondência

Jose Marcelo Almeida Prado Cestari, Programa de Pós-graduação em Engenharia de Produção e Sistemas, PUCPR. Rua Imaculada Conceição, 1155. CEP: 80215901 - Curitiba, PR – Brasil. Doutorando em Engenharia de Produção e Sistemas (PUC-PR), mestre e bacharel em informática pela UFPR. Possui certificações PMP, Lead Auditor ISO-9001:2000, ITIL, COBIT, IBM, MCTS e ISF (ISO 27002). Email jose.cestari@pucpr.br Arthur Maria do Valle, Programa de Pós-graduação em Engenharia de Produção e Sistemas, PUCPR. ISD Brasil – Av. Cidade Jardim, 400 – 7º andar – Edifício Dacon – CEP 01454-902 – São Paulo, SP. Brasil. Doutorando em Engenharia da Produção e Sistemas, PUCPR. Mestre em Informática Aplicada (PUCPR-2002) na área de Engenharia de Software. Formado em Ciência da Computação (PUCPR-1997) e Administração de Empresas (UFPR-2000) Edson Pinheiro de Lima, Professor do Programa de Pós-graduação em Engenharia de Produção e Sistemas, PUCPR. Graduado em Engenharia Elétrica pela Universidade Tecnológica Federal do Paraná, Mestre também em Engenharia Elétrica na Universidade Estadual de Campinas, Doutor em 2001 pela Universidade Federal de Santa Catarina, na Área de Engenharia de Produção. Eduardo Alves Portela Santos, Professor do Programa de Pós-graduação em Engenharia de Produção e Sistemas, PUCPR. Graduado em Engenharia Mecânica pela Universidade Federal da Bahia, Mestre em Engenharia Mecânica e Doutor em 2003 pela Universidade Federal de Santa Catarina. Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


340 Cestari, J. M. A. P., Valle, A. M. do, Lima, E. P., Santos, E. A. P.

1. INTRODUCTION There is a lot of doubt regarding the benefits of adopting a formal approach (model based) for software development projects. Researchers and academia, which defend the use of a software engineering approach, methodology, best practices, maturity models and so on, are usually criticized by companies and professionals because of the excess of work, process bureaucracy, lack of dedication (no time) of the employees for these kinds of activities (Rocha, 2005), resistance to changes (Fetzner, 2010) and lack of evidenced measures correlating a maturity process and the achievement of performance. In that way, this is a problem that deserves to be studied and verified, since companies are always looking for better productivity, quality, efficiency, etc. People who are studying and contributing to this question are usually related to research institutes and/or practitioners around the world. Among then, it is possible to cite the Carnegie Mellon University (through one of its branches called SEI – Software Engineering Institute), the Project Management Institute (PMI), the ITSqc (IT Services Qualification Center) and others. They are releasing new models, courses, papers and best practices that help projects to achieve better results around the world, and consolidating the idea that it is a good thing to have an organized and formal process, managed in order to obtain performance (Goldenson and Gibson, 2003)(Gibson, Goldenson and Kost, 2006). The main purpose of this paper is to investigate whether process maturity brings better operations performance results. In this sense, there is a brief history of the effort to implement the CMMI Level 3 maturity level and the results (in terms of performance measurement) founded in an organization that was formally assessed as CMMI Maturity Level 3. Note that a CMMI appraisal is performed by an authorized company and auditor, which can officially assess maturity levels, according to the rules and procedures created by SEI, and registered in the SCAMPI-Standard CMMI® Appraisal Method for Process Improvement (2011). The remainder of this paper is as follows: section 2 presents the theoretical background regarding the main theme of our study. Section 3 presents the method and research protocol. Section 4 describes the organization and the organizational unit. Section 5 contains the process improvement history and approach, respectively. In section 6 the results are described and, in section 7, conclusion and future works are presented. 2. THEORETICAL BACKGROUND In general ways, performance measurement can be basically divided into two periods (Gomes, Yasin, and Lisboa, 2004): the first period (known as the “traditional measurement systems”) began around 1880, and the measures were pretty much related to accounting (e. g., operations costs) and financial control. This approach suffered criticisms because the focus was given only in the financial aspects of a company. After 1980, the second period began. The researchers realized the importance of measuring other areas (besides financial), such as quality, customer satisfaction, process and intellectual capital. A large number of performance measurement systems (PMSs) have

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been proposed. Among the most widely cited of these PMSs are: the SMART (Cross and Lynch, 1988-1989; Lynch and Cross, 1991), the performance measurement matrix (Keegan et al., 1989), the Balanced Scorecard (Kaplan and Norton, 1992), and the integrated dynamic PMS (Ghalayini et al., 1997). In order to create measurements to other than financial areas, especially because of the increasing IT aspects, some IT frameworks and models were created in the beginning of the 1990’s, and among them, there is the CMM (Capability Maturity Model) and its successor, the CMMI-DEV (Capability Maturity Model Integration for Development), focused on software/systems development. According to CMMI Product Team (2010), CMMI is a maturity model for process improvement and it is a composition of best practices that address development and maintenance activities for the product lifecycle, since its inception until its deployment and maintenance. The model was created basically because of a need from the DoD (Department of Defense – USA). The DoD was dealing with suppliers that were not providing quality (on time, and on budget) software projects and the DoD began a partnership and sponsorship with Carnegie Mellon University, located in Pittsburg. As a result of this collaboration, the Software Engineering Institute (SEI) was created in order to research and develop frameworks, models and good practices, based on the concepts of Crosby (1979), Juran (1988), Deming (1986) and Humphrey (1989). The idea was that the DoD suppliers could follow these practices and be adherent to the model, reducing the risks of poor quality of software development supplied to DoD. The following figure (Fig.1), extracted from CMMI Product Team (2010), illustrates the history of CMMI models:

Fig. 1 – History of CMMI models The SEI identified three critical dimensions that organizations typically focus on, represented by the following figure (Fig. 2) extract from CMMI Product Team (2010):

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Fig. 2 – Dimensions of a process The CMMI-DEV model is not a process, but it has a focus on the importance of having a structured process, once that the process is the item that holds everything together. “Processes allow you to align the way you do business. They allow you to address scalability and provide a way to incorporate knowledge of how to do things better. Processes allow you to leverage your resources and to achieve process maturity and analyze business trends”, (CMMI Product Team, 2010). In one of its representations (called staged), the CMMI-DEV model defines five maturity levels, as it follows: 

Level 1: Initial. Ad hoc and chaotic process. Usually the organization does not have a stable environment and the success of the projects depends on the “heroism” and competence of the employees. The organizations are hardly able to repeat the past success of projects.

Level 2: Managed. Requirements and the projects are managed. There are measurement analysis, control and planning of the activities. There is a process for managing projects, including the organization of the work products and its control. The management team has visibility about the status, and the stakeholders involved are also managed and there is a commitment established with them.

Level 3: Defined. Well understood, defined and formalized process for the organization. They are formally described and the use of patterns, procedures, tools and methods are institutionalized. Engineering processes are also enforced in this level.

Level 4: Quantitatively Managed. Some processes are chosen so they can be statistically and quantitatively controlled and managed. Special causes of variation in the process are identified and analyzed.

Level 5: Optimizing. The processes are continually improved through incremental actions and innovations. Quantitative objectives are established and reviewed for the process improvement. Focus on analysis of common causes of variation.

Each of the maturity levels above cited contains process areas (PAs) describing practices, activities and artifacts that should be addressed in order to achieve that specific maturity level. The levels are cumulative, i. e., to achieve Level 3, an

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organization must be compliant with the PAs of Level 2 and Level 3. There are a total of 22 PAs (considering all maturity levels), distributed as following:  Level 2: Requirements Management (REQM) Project Planning (PP) Project Monitoring and Control (PMC) Supplier Agreement Management (SAM) Measurement and Analysis (MA) Process and Product Quality Assurance (PPQA) Configuration Management (CM)  Level 3: Decision Analysis and Resolution (DAR) Integrated Project Management (IPM) Organizational Process Definition (OPD) Organizational Process Focus (OPF) Organizational Training (OT) Product Integration (PI) Requirements Development (RD) Risk Management (RSKM) Technical Solution (TS) Validation (VAL) Verification (VER)  Level 4: Organizational Process Performance (OPP) Quantitative Project Management (QPM)  Level 5: Organizational Performance Management (OPM) Causal Analysis and Resolution (CAR) 3. METHODOLOGY AND RESEARCH PROTOCOL The following research question was defined: “Do the adoption of maturity/best practices models bring better performance results to small and medium-sized organizations?” In order to quantitatively evaluate this question, relevant data was obtained, which allows the analysis of performance results before and after the adoption of CMMI-based best practices. For this reason a field study using secondary data was

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conducted. As a field study, this research has two phases, a) historical data collection and b) data analysis and report, and four activities, as can be seen in figure 3:

Fig. 3 – Research Methodology Since the organization had a performance measurement repository, data collection was merely the gathering of historical data and migration of it into a dataanalysis software tool. In terms of the analysis, as part of the organization´s performance measurement repository, there are measures that can also be used to measure the progress and benefits of the process improvement program. These measures were applied to legacy software development projects as well as to new projects that used the organization’s CMMI-based processes and assets. In this sense, some projectbased indicators were selected and analyzed via control charts – in terms of mean and variation improvement rates: Schedule Deviation Rate (%); Effort Deviation Rate (%); Productivity Deviation (%); %Late Delivery (%); and Internal Rework Rate (%). 4. CASE DESCRIPTION: ORGANIZATION (COMPANY) AND ORGANIZATIONAL UNIT Sofhar Gestão & Tecnologia S.A. is a Brazilian company located in Curitiba (capital city of Paraná state). Sofhar was founded in 1986 and since then it has helped its clients to achieve success in national and international markets. Sofhar is specialized in diagnosing and solving problems, seeking solutions through the application of best practices in technology and business management. Sofhar has a complete structure to meet market needs and these demands are met by providing the following offers (through services and products): Consultancy, Software Development, Infrastructure, Training and Product Sales and Licensing. An organization, for our purposes, is “an administrative structure in which people collectively manage one or more projects or work groups as a whole, share a

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senior manager, and operate under the same policies”(CMMI Product Team, 2010). In this sense, the organization is the Software Development Area, not the entire company. Software Development Area is composed by 15 people, including the area manager and those individuals directly working with software development. Together they implement the roles and processes such as EPG-Engineering Process Group, CCBControl Change Board, QA-Quality Assurance, organizational training, process improvement, and so on, according to the needs and requirement of each CMMI maturity level. The organization unit implemented a balanced PMS (as shown in Fig. 4) in order to measure its processes and results during (and after) a software development project. The measures - for projects and for the organization - were created basically according to the structure, recommendations and relevance proposed in Neely at al. (1997), and also according to the (best) practices specified in the Measurement and Analysis PA of the Level 2:  Establish and maintain measurement objectives derived from identified information needs and objectives  Specify measures to address measurement objectives  Specify how measurement data are obtained and stored.  Specify how measurement data are analyzed and communicated.  Obtain specified measurement data.  Analyze and interpret measurement data.  Manage and store measurement data, measurement specification, and analysis results.  Communicate results of measurement and analysis activities to all relevant stakeholders. Some of the performance measures created are represented in the following dashboard figure (Fig. 4):

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346 Cestari, J. M. A. P., Valle, A. M. do, Lima, E. P., Santos, E. A. P.

Fig. 4 – Project Measures Dashboard In that dashboard it is possible to see, for each indicator, the related organizational goal, the measure status and associated risk category. The status is usually represented in colors, where green stands for “ok”, yellow for “alert” and red for “critical”. In case of a “red light”, some corrective actions are expected in the project. All measures were defined and are managed according to a “measure framework”, containing, among other items: name of the measure, goal, unity (e. g., days, hours), formula, procedures for analysis, those who measure, those who collect, frequency of measurement, frequency of analyses and so on. All of these project measures are associated with a risk category (cost, deadline, quality, scope) in order to the management be able to have a general view regarding organizational risks and performance. 5. PROCESS IMPROVEMENT HISTORY AND PROGRAM APPROACH In September 2008 the software development area began a CMMI-based process improvement program in order to enhance the quality of its software projects (and products), especially to achieve more predictability and improve indicators such as SPI (Schedule Performance Index) and CPI (Cost Performance Index). The SEI partner called ISD Brasil helped Sofhar to achieve its goals, as a consultancy company in the program. As part of the program approach, the partnership with ISD brought agility to Sofhar, especially because it was agreed between both companies that effort and schedule dedicated to process definition phase (writing processes, creating templates and putting all together) should be minimized. One of Sofhar’s business goals was to achieve CMMI level 3 in about one year after the beginning of the process improvement project. In fact, the SCAMPI Class A CMMI ML3 was conducted in November, 2009 (about thirteen months after the beginning of the process improvement program).

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In order to help Sofhar with this goal, ISD proposed a new approach called “ISD CMMI PME”, where PME stands for small and medium-sized business, in Portuguese. After a (initial) SCAMPI C event (where a gap analysis was made and data about the Organizational Unit was raised) ISD took its historical information about processes (common indicators, common workflows and so on) and tailored (together with Sofhar) its set of organizational process assets considering Sofhar´s context and needs. These assets are based on ISD´s processes descriptions and templates that cover all CMMI level 3 process areas and were specially designed for micro and small organizations. After few interactions between the companies, the process definition phase was declared finished and Sofhar was ready to use its new organizational processes and assets for software development projects. Some pilot projects were conducted and, in the sequence, another number of projects were conducted using the processes. Meanwhile, ISD provided consultancy in order to verify Sofhar’s progress towards CMMI ML 3 compliance. In this sense, some events, including a preparatory SCAMPI class B, were conducted. Concerning to continuous improvement activities and culture, Sofhar´s assets have naturally evolved (organizational unit is using the sixteenth baseline of its process). In fact, Sofhar had an enormous gain of time, effort and knowledge using the processes and templates delivered by ISD. 6. RESULTS AND BENEFITS As stated before, in order to address our research question, comparisons of mean (green line in graphics from Fig. 5 to 14) and variation (distance between red lines in each segment in graphics from Fig. 5 to 14) improvement rates in the following two scenarios were performed: 

Scenario a) all completed development projects before (09 projects) and after (21 projects) CMMI-based process institutionalization and

Scenario b) .Net completed development projects before (3 projects) and after (5 projects) institutionalization of CMMI-based process in the organization, including also projects conducted after being formally assessed as CMMI Level 3.

Although the “before/after” effects are not statistically proven yet, due to small sampling, there are some measurable benefits related to these indicators. Note that each dot represents a project and projects were plotted in chronological order. In the first scenario (scenario a), there are relevant improvements of mean and variation reduction for Schedule Deviation Rate (see Fig. 5), Effort Deviation Rate (see Fig. 6); %Late Delivery (see Fig. 7); Productivity Deviation (see Fig. 8); Internal Rework Rate (see Fig 9).

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I Chart of Tx Desvio Prazo by CMMI 0

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Fig. 6 – Effort Deviation Rate for scenario a)

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Fig. 7 â&#x20AC;&#x201C; %Late Delivery for scenario a)

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Fig. 8 â&#x20AC;&#x201C; Productivity Deviation for scenario a)

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Fig. 9 â&#x20AC;&#x201C; Internal Rework Rate for scenario a) In scenario b), where only projects that used the same technology (i.e. .Net) were analyzed, and relevant mean and variation improvement were noticed for Internal Rework Rate (see Fig. 10) and Effort Deviation Rate (see Fig. 11), Schedule Deviation Rate (see Fig. 12); %Late Delivery (see Fig. 13) and Productivity Deviation (see Fig. 14).

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Fig. 14 â&#x20AC;&#x201C; Productivity Deviation for scenario b) In addition to the analysis above, it was also investigated some correlation between performance measures and the process adherence indicator, which measures the percentage of process items that were followed by the project. In this analysis, the following correlation was obtained (Fig. 15):

Scatterplot of Tx Desvio Prazo vs % Aderencia Processos 1,2

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Fig. 15 â&#x20AC;&#x201C; Effort Deviation Rate x Process Adherence correlation

Figure 15 above shows a positive correlation of 0,641 (p-value = 0,018) that means that the more adherent to the process the less projects deviate from a planned schedule.

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7. CONCLUSION, LIMITATIONS AND FUTURE WORK In summary, this paper considered the following theoretical elements and guidelines in order to achieve the research project purposes:  First measurement systems were focused basically on costs management.  After the 1980’s, measurement systems became more multidisciplinary, considering other issues in addition to financial aspects.  IT solutions became more available.  In order to address other areas besides the financial one, some quality and maturity models were created and became a reference for measuring other operational areas such as software development and software engineering. One of these models was the CMM (later evolved to CMMI).  The implementation of processes that complies with the CMMI model can give a certain level of maturity to an organization.  Maturity levels can bring better performance results to an organization. Based on the improvement rates of mean and variation of each selected measure in table 1 – where for the majority of indicators an improvement rate range of 20 to 100% was achieved – it is possible to conclude that, at least for Sofhar, a more mature process, with disciplined and managed activities, and compliant with CMMI-DEV Level 3, reveals an improvement of software development project performance results, such as quality, effort, rework, productivity and schedule. Additionally, a relevant correlation between one of the performance results and adherence to the defined processes was also obtained, which corroborates the idea of having (and following) a good process which drives you to a good performance.

Tab. 01 – improvement rates of mean and variation Apart from the quantitative benefits obtained, there are, among others, at least the following limitations in this research: 

Only one organization was studied, so it is not possible to do a generalization of benefits and results.

The number of projects assessed is not so high.

No cost measures were available.

The company didn’t measure (at that time) human factor variables.

Regarding the last issue above, although the technical aspects are necessary in order to achieve good performance, they are not sufficient to guarantee the success of some tasks (Robbins, 2005). People working with software development must receive a special attention, once behavior and human aspects affect the success of their activities

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(Hazzan and Tomayko, 2004). So, it is also important to mention that there are other variables (especially regarding to human factors) that can influence performance, and these variables must be (when possible) analyzed together with more technical issues. Unfortunately, as mentioned before, the organization didn’t have measurements or indicators regarding human factors, so it was not possible to check this kind of influence in the correlation analysis. For future work, a deeper analysis on the performance measure database (also including human factors variables) could be conducted in order to discover, quantify and prove cause-effect relationships that will be a basis to create and use process performance models to better estimate and quantitatively manage development projects as well as organizational performance. REFERENCES CMMI Product Team. (2010), “CMMI® for Development, Version 1.3”. Technical Report – Software Engineering Institute (SEI). Retrieved from http://www.sei.cmu.edu/library/abstracts/reports/10tr033.cfm Crosby, Philip B. (1979), “Quality Is Free: The Art of Making Quality Certain”. New York: McGraw-Hill. Cross, K.F. and Lynch, R.L. (1988-1989), “The SMART way to define and sustain success”, National Productivity Review, Vol. 9 No. 1, pp. 23-33. Deming, W. Edwards. (1986), “Out of the Crisis”. Cambridge, MA: MIT Center for Advanced Engineering. Fetzner, M. A. M. (2010), “Mudança, Afetividade e Resistência: uma perspectiva no âmbito individual para compreender a implementação de Sistemas de Informação nas organizações". PhD thesis. UFRGS. Ghalayini, A.M., Noble, J.S. and Crowe, T.J. (1997), “An integrated dynamic performance measurement system for improving manufacturing competitiveness”, International Journal of Production Economics, Vol. 48 No. 3, pp. 207-25. Gibson, D. L., Goldenson , D. R., Kost, K., (2006), “Performance Results of CMMI® Based Process Improvement”, Carnegie Mellon University: Software Engineering Institute. Goldenson , D. R., Gibson, D. L. (2003), “Demonstrating the Impact and Benefits of CMMI®: An Update and Preliminary Results”, Carnegie Mellon University: Software Engineering Institute. Gomes, C. F., Yasin, M. M., and Lisboa, J. V. (2004), “A literature review of manufacturing performance measures and measurement in an organizational context: a framework and direction for future research”, Journal of Manufacturing Technology Management, Vol. 15, No. 6, pp. 511-530. Hazzan, O., Tomayko, J. (2004), "Human Aspects of Software Engineering: The Case of Extreme Programming". LNCS, 2004, Volume 3092/2004, pp. 303-311. Humphrey, Watts S. (1989), “Managing the Software Process”. Reading, MA: AddisonWesley. Juran, Joseph M. (1988), “Juran on Planning for Quality”. New York: Macmillan. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 339-356

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Kaplan, R.S. and Norton, D.P. (1992), “The balanced scorecard: measures that drive performance”, Harvard Business Review, Vol. 70 No. 1, pp. 71-9. Keegan, D.P., Eiler, R.G. and Jones, C.R. (1989), “Are your performance measures obsolete?”, Management Accounting, Vol. 71, pp. 45-50. Lynch, R.L. and Cross, K.F. (1991), Measure up: The Essential Guide to Measuring Business Performance, Mandarin, London. Neely, A., Richards, H., Mills, J., Platts, K. and Bourne, M. (1997), “Designing performance measures: a structured approach”, International Journal of Operations & Production Management, Vol. 17 No. 11, pp. 1131-1152. Robbins, S. P. (2005), "Comportamento Organizacional". São Paulo: Prentice Hall. Rocha, A. R. et al. (2005), “Fatores de Sucesso e Dificuldades na Implementação de Processos de Software Utilizando o MR-MPS e o CMMI”, Pro Quality. Retrieved from http://www.cos.ufrj.br/~savio/Arquivos/W2MPSBR/rocha_et_al_2005.pdf. Standard CMMI Appraisal Method for Process Improvement (SCAMPI) A, Version 1.3 (2011): Method Definition Document. Retrieved from http://www.sei.cmu.edu/library/abstracts/reports/11hb001.cfm

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.357-376 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200010

MEASUREMENT PROCESS OF SOFTWARE DEVELOPMENT PROJECTS FOR SUPPORTING STRATEGIC BUSINESS OBJECTIVES IN SOFTWARE DEVELOPING COMPANIES Sandra Laís Pedroso Leonardo Rocha de Oliveira Pontifical Catholic University of Rio Grande do Sul - PUCRS, Porto Alegre, Rio Grande do Sul, Brazil __________________________________________________________________ ABSTRACT Software developing companies work in a competitive market and are often challenged to make business decisions with impact on competitiveness. Models accessing maturity for software development processes quality, such as CMMI and MPS-BR, comprise process measurements systems (PMS). However, these models are not necessarily suitable to support business decisions, neither to achieve strategic goals. The objective of this work is to analyze how the PMS of software development projects could support business strategies for software developing companies. Results taken from this work show that PMS results from maturity models for software processes can be suited to help evaluating operating capabilities and supporting strategic business decisions. Keywords: Measurements for Software Development Processes; Quality Assessment for Software Development Process, Strategic Management of Software Developing Companies

1.

INTRODUCTION

Software products currently play an important role in many areas of the world economy. For instance, for a company that manufactures high-tech printers, today would be easy to copy the pieces of metal, glass and plastic used to build this product. However, the software embedded for operating these printers is the key factor that differentiates them from illegal copies. Software also plays an important role for managing companies’ activities, as its effective application is a key factor for supporting strategic business decisions and improving market competitiveness. _____________________________________________________________________________________ Manuscript first received/Recebido em 22/08/2011 Manuscript accepted/Aprovado em: 07/04/2013 Address for correspondence / Endereço para correspondência

Sandra Laís Pedroso, Master of Business Administration at PUCRS, Project Manager of Software Development Projects, Interest Areas: Software Project Management, Software Process Quality, Software Process Certifying, E-mail: sandra.lais.pedroso@gmail.com Leonardo Rocha de Oliveira, Ph.D. at University of Salford, UK, Professor and Researcher at PUCRS School of Business, Interest Areas: IT Governance, IT Management, IT Process Quality, Cyber Security, Pontifícia Universidade Católica do Rio Grande do Sul (PUCRS) Faculdade de Administração, Contabilidade e Economia (FACE) Programa de Pós-Graduação em Administração (PPGAd) Av. Ipiranga, 6681 – Prédio 50 – Sala 1101 – Porto Alegre - RS - 90.619-900 Fone: (51) 33203524 Fax: (51) 3320-3624 E-mail: leo.oliveira@pucrs.br Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


358 Pedroso, S. L., Oliveira, L R. de

Professionals and companies working in the software development market are also responsible for developing applications that are capable of adding business value to the companies that hire them. Contractors of software development services return to contracting suppliers when satisfied with the value added to their business from the acquired software. Therefore, the satisfaction of customers who hire software development services relates to the development process as well as from the software's ability to improve contractorsâ&#x20AC;&#x2122; business activities. Software developing companies face challenges to remain competitive in their business market, and that depends, amongst other issues, on their commitment to satisfy customers. Software companies are also demanded for continuous improvements in their working processes to remain competitive and the adoption of established models to ensure maturity in their software development processes is seen as a way to get market recognition for the quality of their work (SOFTEX, 2012B). The adoption of models for quality certification of software processes involves the use of measurements that are not directly related to the business management of software developing companies. Maturity models such as CMMI and MPS.BR are adopted as a differentiating factor and also as facilitators to improve software process quality. These models describe software processes with established best practices and focusing on continuous improvement, aiming at operational excellence. They also have measuring practices for analyzing development processes that can work for improving flexibility and quality in the business processes of software developing companies (SEI, 2010). These models do not advocate that the measurement process should be aligned with the business objectives of the software developing company (SOFTEX, 2012a; SEI, 2010). Therefore, it is important to explore software processes measurements concerning their role for supporting strategic business objectives of software developing companies. The objective of this work is to analyze the software development measuring processes for supporting strategic business objectives in software developing companies. Given the importance of strategic business management and the adoption of certification models for software process maturity, the analysis in this work aims at showing the benefits for aligning software process measurements with business strategic objectives. To cope with this objective, this work presents in section 2 the literature review on issues as software measuring processes and management of software developing companies. Section 3 presents the methodology used to conduct the research. Section 4 shows the analysis of the results found in the research work. Section 5 presents the conclusions of this research work regarding its objectives. 2. LITERATURE REVIEW This chapter presents a literature review that guides the research work, with emphasis on issues of business strategic planning and management, organizational performance, business process management, management of software development processes and management of software developing companies. Further details on process management are presented in the following section. 2.1 Process Management The internal structure of a company and its strategies to approach the market are related to its values, mission and business objectives, which are driven by their Strategic Planning (SP). The SP of a company should clarify essential business processes, long

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and short-term objectives, as well as performance measurements for business management (Pessanha, Prochnik, 2004). The process management entails the understanding and results analysis of a company business processes, aiming to improve performance and delivering benefits for stakeholders, including customers, suppliers and shareholders (FNQ, 2009). According to the principles of excellence from the evaluation system from the Brazilian Award for Quality Management and Productivity (Prêmio de Gestão da Qualidade e Produtividade - PGQP), companies work as a sum of processes, which consume resources, subject to continuous improvement, and customer perception plays an important role for achieving competitive advantages (FNQ, 2009). Process management implies predictability of results and assists as a foundation for innovation and improvement (FNQ, 2009). Therefore, it is necessary to map and understand the business processes and customer requirements for driving improvements and delivering benefits to company’s business. Process management is also driven by repetition and resources optimization, thus considering the final customers’ perception of added value to products and/or services (Gonçalves, 2000). It also comprises a systemic view of the organization, assisting the allocation of resources to the most relevant business objectives defined by the company’s SP (Lamb, Dalla Valentina, Possomai, 2001). Some company’s business processes may produce results that are not perceived by the final customers, though they are essential for business management and strategies. It mainly occurs with service providing organizations, such as software developing companies (Pessanha, Prochnik, 2004). For those companies it is highlighted the use of the Balanced ScoreCard (BSC), as it deals with an analysis based on different perspectives that must be considered together for representing business management from a systemic viewpoint (Lamb, Dalla Valentina, Possomai, 2001). The Internal Process perspective in BSC is the one that indicates the fundamental processes and factors defined as priorities to achieve business objectives (Kaplan, 2006). Moreover, business management requires the use of measurements that are capable of tracking companies’ performance, and it also applies to software developing companies. 2.2. Strategic Management in Software Developing Companies Until the early 1990s most of the software development projects and related activities were conducted within the company and by their own employees (Rocha, 2001). From the 90s onwards, companies started becoming more complex with their internal and external working activities, and thus requiring more specialized services. This led to an increase in hiring specialized third parties for delivering services, as well as a growth of companies working as services providers (Kubota; Nogueira, 2007). Software development services have undergone a major transformation in the late twentieth century, as they have become more focused on hiring professionals with programming skills from independent software developing companies. They allow contractors to focus on their strategic business activities, thus reducing direct costs, though having to manage third parts contracts (Rocha, 2001). As of the moment the number of independent software development projects started to be hired from independent companies, there has been a growing number of software developing companies, with their own dynamics, processes and business objectives (Roselino, 2006). These transformations have led to a higher degree of specialization in software production, favoring the expansion of software developing companies (Rocha, 2001).

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According to the of Brazilian Association for Companies of Information Technology Systems and Internet (ASSESPRO) there is a great market opportunity for software services companies to work in Brazil as well as for exporting (ASSESPRO, 2008). IT now plays an important role in the country's technological development, offering both economic and social benefits (SOFTEX, 2012B; ASSESPRO, 2008). The use of IT in enterprises should be evaluated considering its impact on the corporate structure as a whole, focusing on achieving expected results in regard to the business objectives defined in the SP (Brodbeck, 2001). In spite of the opportunities thatsoftware developing companies have to grow their business, there are still management challenges that have to be faced (Petit, Janssen, Pereira 2007). Managing the growth for this type of company is a difficult task due to several factors that are specific to the sector. For instance, one of these factors is that 93.4% of the software developing companies in Brazil are micro (43.8%) and small (49.6%) sized (ABES, 2012). Another factor is that software developing companies are usually managed by professionals with a technical background, and not business experts. Business management for software developing companies requires different knowledge and skills from those offered by computer science schools (Cusumano, 2004). Furthermore, software development is an activity surrounded by uncertainties that could affect project outcomes, since the result is an intangible product that takes mostly the intellectual effort from developers with no business background. The expertise for managing human resources, business process development, quality of products, as well as the use of structured systems development models are key to the success of software developing companies (Kubota, Nogueira, 2007). 2.3. Process Management of Software Development Management for software processes requires knowledge and tools for measuring all working activities involved. In spite of the benefits that could be gained from models for certifying software processes, cost and complexity are factors that must be considered by software developing companies willing to adopt them (Wiegers, 2003). Knowledge and techniques for measuring software processes have been evolving in the software engineering domain (Pressman, 2006). According to Kubota and Nogueira (2007), to manage a software developing company requires continuously improving staff and conditions that leverage working processes performance. It is notseldom to find software developing companies considering process measurements as an additional and difficult activity. However, PMS have been adopted as a proactive approach by software developing companies willing to improve software quality from a viewpoint of development processes (Salviano et al., 2004). Maturity models have been designated as references to help identify which metrics should be collected to properly manage software development projects. For instance, the Capability Maturity Model Integration (CMMI) provides elements for software processes management (Salviano et al, 2004). Though maturity scales are well known for measuring software process quality, they are mostly based on the concepts developed by Crosby (1979), Deming (1986), Juran (1995) and Humphrey (1990), whose aim was to evaluate quality for general business processes. This research work considers only the PMS present in MPS.BR and CMMI, both used for assessing quality of software development processes. Maturity models application implies that, as far as the process maturity grows, companiesâ&#x20AC;&#x2122; policies, standards and organizational structures become more institutionalized within the whole organization. As the maturity level grows, the amount of collected data and process JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 357-376

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analysis develop a more meaningful role, thus following the approaches indicated by the different maturity models (SOFTEX, 2012a). The metrics are essential to achieve an objective and to improve communication correctness to software development personnel. Therefore, it is essential for measurements to be based on quantitative and accurate data collected from software development process (Rock, Maldonado, Weber, 2001). To implement a measurement process, it is first necessary to define what the company needs to know, and then identify the right measurements to be collected from the right processes. A common mistake is to decide for a measurement process without evaluating its actual value for the company (Rummler, Brache, 2007). Another common mistake is having professionals that lack specific expertise on process management, as it is necessary to assign responsibilities to people who know about the concepts involved in measuring, data collection, information analysis and reporting for decision support (Softex, 2012a). According to Kulpa and Johnson (2003), for a measurement process to be successful it is necessary to: 

be closely linked to the business objectives;

have a systematic and spread use to justify its cost and effort;

be well-defined to allow understanding and comparison, and;

be communicated impartially and thoughtfully.

Once defined the objectives of a PMS, it is necessary to define the management processes, covering such aspects as (Kulpa, Johnson, 2003):  

 

measurement objectives should indicate its definition, purpose and scope; metrics must be related to the company’s business objectives, goals and strategies; considering a systemic view of the software project as a whole; setting a clear and thorough definition of technical aspects for the metrics and measurements;

involving all professionals in the organization;

defining ways to use, storage and communicate results;

defining roles and responsibilities about the measurement process and metrics, and;

developing policies for safe communication and the actions to take with the metrics results.

The measurement process present in maturity models for software processes can function as the foundation for structuring a PMS with metrics for supporting business decisions at software developing companies (Johnson, 2004). The demand for measurements is associated with the maturity levels, as required for meeting the objectives of each maturity level (SOFTEX, 2012a; Sei, 2010). The continuous analysis of measurements acquired from different software projects and processes can provide information to support business decisions, corrective actions for projects and for promoting competitive advantage. Considering this whole scenario for software process management, this research work analyzes the software development measuring processes for supporting strategic business objectives in software developing

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companies, thus developing relationships between strategic business objectives and metrics from software development processes. 2.3.1. CMMI and Software Processes Measurement CMMI has a process area specifically dedicated to project metrics, which is referred to as Measurement and Analysis, and it is at level 2 (Sei, 2010). The CMMI presupposes standards applied for generating metrics that truly represent the software projects under evaluation (Sei, 2010). However, this reality is not present in some companies, especially for those applying CMMI only aiming for certification, neither as an opportunity for improving business management nor for software development process and projects (Kulpa, Johnson, 2003). All CMMI metrics are related to activities of a Process Area (PA). For instance, one could measure (Sei, 2010): 

the time taken to perform the planning task for the Project Planning PA;

if the supplying plan is delivered as planned in the Supplier Agreement Management PA;

the time taken to create the quality assurance plan in the Quality Assurance PA; and

if the costs of the company's projects are delivered as budgeted and planned in the Quantitative Project Management PA.

The Measurement and Analysis PA describes essential characteristics to determine the maturity of the measurement process in an organization. As part of the CMMI, it contemplates what should be done to achieve a maturity measurement for the software development process (Sei, 2010). The purpose of the metrics in CMMI is not to provide guidelines for project development, but for allowing results obtained from measurements to assist the project performance analysis, including comparisons among different projects. If projects results are not as expected, they allow identifying the place and cause of failures. As time goes on, the understanding of CMMI metrics and companies results allows eliminating causes of similar problems affecting projects performance, thus helping to ensure that business objectives are achieved (Mcgarry et al., 2002). 2.3.2. MPS.BR and Software Process Measurement Measurements in MPS.BR have the main goal of supporting decision making for software projects, which are based on the management of processes development, and meeting business objectives of software developing companies (SOFTEX, 2012a). Measurements in MPS.BR start at level F and go up to A, and must be aligned with business objectives and needs for strategic information of software developing companies, thus providing quantitative performance pointer for projects and working activities (SOFTEX, 2012a .) The measurement process goes through all MPS.BR maturity levels (F to A) and is represented by the 4th Process Attribute Result (RAP 4). For instance, in level F it aims to identify whether measures are planned and collected for monitoring the implementation process, and for helping making adjustments (SOFTEX, 2012a). The achievement of RAP 4 is what makes the measurement applicable, both for projects and for processes, thus generating the data required by the organization. RAP 21 is another example and it is mandatory from level E. It defines the

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measures to be collected and analyzed, thus providing a basis for understanding process behavior and allowing continuous improvement. The measuring activity requires time, effort and financial investments. It is also important to identify metrics that are associated with measurement process that are the most strategic to the organization, regardless of the reference model used (Mcgarry et al. 2002). 3. RESEARCH METHOD This work was conducted as a multiple case study of an exploratory research, since it seeks to develop a general theory to represent the phenomena under study (Tracy, 2010). According to Yin (2005), case study is an empirical investigation that seeks to understand the context of a phenomenon in a clearly defined situation. Case study research as a whole is applied for building analogies and comparisons with previously modelled phenomena of for generating new models for explaining a research problem (Campomar, 1991), thus allowing the creation of new ideas and theories that may arise from the research work. This work carried out a multiple case study developed through a qualitative and cross-sectional research. The qualitative aspect allows the in-depth analysis from the experts’ perceptions about the researched elements (Tracy, 2010; Bansal, Corley, 2011). According to Mattar (1996), this type of research offers the possibility to obtain extensive knowledge about the issue in focus, fostering understanding of concepts and peculiarities about the behavior of a phenomenon. The analysis depth and results of such research depend primarily on the researcher's effort to deepen the interviews and dig out for relevant results (Bansal, Corley, 2011). The cross-sectional characteristic indicates that the data was collected only once in each company, and at a similar time interlude. Cross-sectional surveys are especially applied in cases with limited time and resources, as well as in situations whose aim is to evaluate a research objective in a specific time frame (Collis, Hussey, 2005). The interviews in this work were conducted based on a semi-structured research instrument and carried out as focused and informal. This type of interview allows the respondent to freely make comments about situations and challenges that seem to be related to the research issues, thus focusing on the issues related to the research problem (Malhotra, 2006). In this research, the focus was the analysis of software development measuring processes for supporting strategic business objectives on software developing companies. Multiple case studies can be applied for comparing results from different companies (selected cases for study), based on a unique criteria to examine similarities and differences between the investigated cases (Tachizawa, 2002). The cases analyzed in this research were software developing companies that comply with the following selection criteria: 

having adopted models for maturity assessment to software development processes; and

being evaluated from level 2 or above with CMMI (Sei, 2010) or from level G or above in MPS.BR (SOFTEX, 2012a).

The selection of case studies was also characterized by criteria such as the companies’ role in the software developing market, willingness to contribute with

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knowledge on the research issues, allowing access to business managers and software process experts, and by the interest of respondents with the research objectives. 3.1. Structure of the Research Instrument Research instruments are used to represent and provide understanding about the reality of a well-defined research topic (Hoppen, Lapointe, Moreau, 1996). The research instrument used in this study was developed based on the recommendations indicated by Cooper and Schindler (2003) and it has types three of measurements: • Demographic Measurement: aims to collect demographic data to identify respondents’ profile as well as to set the interviewing procedures and promoting a closer relationship between the parts involved (researchers and respondents). • Classification Measurement: for gathering information about the alignment between the SP and the software process measurement, regarding the support for achieving business objectives. • Directing Measurement: analyzes the company’s profile and maturity level to analyze the attributes that might be influencing the relationship between software process performance measures and company’s endeavor for achieving business objectives. More information about the analysis carried out in this work to assess the alignment between the software development measuring processes in relation to strategic business objectives of software developing companies is presented below. 3.1.1 Contents of the Research Instrument The structure and contents of the semi structured research instrument used in this work, to analyze the software development measuring processes for supporting strategic business objectives of software developing companies, were based on the literature review. The review included issues related to the ways of assessing business processes results as to offer a deeper understanding about the use of maturity scales. As a result of the literature review, the instrument was built with three Dimensions of Analysis (DA), each one represented by Analysis Factors (AF), i.e., questions to be answered qualitatively by the respondents to show their opinion about the issues in the research instrument. The AFs and DAs in the research instrument are described as follow. DA01 - Strategic Management Dimension: aims to explore if the SP process and the deployment of the company’s strategic objectives have the requirement for establishing a business measurement process. The AFs used to represent this DA and details about its applicability are described below: • AF01 - Strategic Objectives: aim to verify how business objectives are created and their importance within the organization, and are evaluated by asking questions about: i) the existence of a formal process for its characterization; ii) if the role and responsibilities for personal are indicated; iii) if the allocation of resources for achieving objectives is tracked, and; iv) who the participants in the SP meetings for defining the business objectives are.

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• AF02 - Measuring Performance: aims to analyze how organizational performance is monitored and if it is associated with the organization's strategic objectives. It is evaluated through four questions: i) if there are measurements and targets linked to strategic objectives and how they are designed and communicated, ii) which criteria are used for measuring performance (cost, technological leadership, market leadership, business leadership, customer satisfaction, product quality, or any other criterion adopted by the company); iii) how performance measurements are used within the organization; and vi) presence of metrics for a continuous evaluation of strategic objectives on aspects such as definition, collection, analysis and communication. DA02 - Process Management Dimension: evaluates if the strategic processes are managed with metrics that are identified, prioritized, and monitored. It also aims to verify the viewpoint of the managers who participate in the SP about the importance of software processes measurement, and of the process manager about the SP. Details about the AFs used to represent this DA are the following: • AF03 - Process Planning: checks how processes are defined, prioritized, resourced and assigned to a skilled person in charge, questioning about: i) how the processes considered strategic for the organization are identified; ii) if there are efforts for processes prioritization; iii) if the processes are assigned with resources and a manager in charge; iv) how the processes are institutionalized and communicated in the company; and v) how the process are linked to the strategic business objectives. • AF04 - Process Performance Measurement: analyzes how processes performance are measured and monitored, and it considers four questions about: i) how targets for process are defined, ii) how process results are evaluated; iii) what the role and importance of processes measurements results for managing activities are; and iv) how the process results are communicated throughout the company. DA03 - Software Process Measurement Dimension: examines if it supports the setting of strategic business goals and the relationships between software processes and business metrics. The AFs present in this dimension are: • AF05 - Software Process Measurement Planning: evaluates if the process measurement is defined, prioritized, resourced and assigned to a manager (or leader), and it involves three questions about: i) the identification of responsibilities in the measurement process ii) the prioritization of the processes to be measured; and JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 357-376

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iii) approaches to support the creation of measurement processes ( such as PSM - Practical Software Measurement, GQM - Goal Question Measurement, and others). • AF06 - Software Process Performance Measurement: concerns how software process performance is monitored and it presents three questions about: i) how software processes are monitored (tools, frequency and alignment with strategic business objectives ), ii) how results are used (corrective actions, problem mitigation, contingencies and decision support); and iii) which the current problems with the process measurement are. • AF07 - Relationship Between Metrics for Business and Software Process: this factor analyzes the coverage of the relationship between strategic business objectives and software processes measurements, considering four questions about: i) by whom and how metrics is validated;

the relationship between strategic and process

ii) what the coverage of process measurements for business objectives is; iii) to whom the results are communicated; and iv) how business and process results are used as a whole within the company. These dimensions, factors and questions were put together for interviewing business and software process managers in four software developing companies. Details about the interviewing process and the results analysis are shown in the following section. 3.2. Data Collection Data collection was performed by semi-structured and in-depth interviews driven by the research instrument described in the previous sections. The interviews’ contents were recorded and fully transcribed for further analysis. As a complement for the data collection, some companies’ documents were also analyzed to help understand and confirm the answers. Process and business managers from the software developing companies selected for the interviews were firstly contacted by phone. Once they agreed with the research work, an email was sent to formalize the invitation and to set the date for interview. Along with the email, the research instrument with the questions was sent as an attached file. At the beginning of each interview, the respondents were informed about the research objectives and terms of confidentiality for respondents and companies involved in the research. Altogether, 10 interviews were carried out for understanding mostly about three company’s issues, which were: i) business management, ii) software process management; and iii) software process measurement. All interviews were conducted by the researchers with each manager individually. The researchers also conducted the transcription and reviewing of the interviews’ contents. The interviews took about one hour, with 15 minutes for the explaination about their purpose, and 45 minutes for answering the questions. Shortly after the interviews, the companies’ documents were reviewed. It was carried out with the supervision of the companies’ quality managers, and though it was not a formal interview, it allowed deepening the understanding of companies’ JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 357-376

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procedures. Documents reviewing lasted for about 1 hour and 30 minutes in each one of the 4 companies studied, involving records related to: (i) software process measurements, (ii) metrics for software processes, (iii) business performance process measurement (iv) business performance metrics; and (v) strategic planning (SP). Interviews’ contents were analyzed in-depth and the extensive experience of the researchers in the field was an advantage for analyzing results (Tracy, 2010; Bansal, Corley, 2011), as showed in the following section. 4. RESEARCH RESULTS This section presents an analysis of the results from the interviews, as well as from the companies’ documents. The studied companies are referred to in this work as A, B, C and D and the data analysis was first carried out within each company individually, comparing its documents with the interviews’ contents. Further analysis involved commonalities and complementarities among the documents and the interviewing contents from all four companies. The studied companies showed a similar profile, as they are small and medium sized, and mostly focused on doing business in Brazil. They also adopted the maturity assessment model quite recently (2 to 3 years) and all four companies worked together in an effort for developing a software factory methodology in the state of Rio Grande do Sul - Brazil). This effort was part of a group of software developing companies coordinated by a business representative entity called SOFTSUL. These companies have also joined efforts in a partnership to attract clients from abroad and to promote the MPS-BR model internationally, in a cooperative effort called UNACORP. Moreover, all companies have formal software processes and development life cycle based on the Rational Unified Process (RUP). The companies’ size was defined using the criteria developed by the Brazilian Institute of Geography and Statistics (IBGE), which considers the number of employees and owners, along with the business sector. Therefore, the companies studied in this work were indicated as service providers and categorized according to the following scale: (i) Micro: up to 9 employees, (ii) Small: 10-49 employees, (ii) Medium: 50-99 employees (iii) Large: 100 or more employees (SEBRAE, 2007). Companies’ profile is summarized in Table 1. Company

Size

Business Sector

Market

Company Age

Maturity Model

Model Adopted

A

Medium

Products + Services

National + International

16 years

MPS.BR - F

3 years

B

Small

Products + Services

National

18 years

MPS.BR - F

3 years

C

Medium

Services

National

9 years

CMMI - 3

2 years

D

Small

Products + Services

National

13 years

MPS.BR – F + CMMI -2

2 years

Table 1 – Companies’ profile. Source: authors.

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4.1

Strategic Management

Regarding the AF01 (Strategic Objectives), respondents from the four companies indicated the existence of strategic planning (SP) in their companies and of procedures for aligning business objectives with the software development process. Companies A, C and D adopted the BSC and its perspectives associated with the software process metrics. Company B is already on its way for adopting the BSC. Regarding the FA02 (Performance Measurement), the aim was to verify how organizational performance is monitored and if it is aligned with the strategic business objectives of the organization. Oliveira (2005) mentions that it is necessary a constant monitoring for process results to successfully evaluate the achievement of business strategies. Therefore, the Performance Measurement System (PMS) conception and use were reviewed in the four companies and results are summarized in Table 2. Dimensions

Analysis Factor

A

B

C

D

yes

yes

yes

Yes

AF02 – Organization PMS defined

yes

yes

yes

No

AF02 – BSC adoption

yes

ongoi ng

yes

Yes

AF02 – PMS Results Supporting Business Strategies

yes

no

no

No

AF01 – Objectives DA01 – Strategic Manageme nt

Strategic

Business

Table 2 – Companies’ results for the AF01 and AF02. Source: Interviews and document analysis. Companies A, B, C and D highlighted that results from business metrics are used in their companies and that they help to improve the speed for strategic decisionmaking. Company B pointed out that business results are used with different purposes, according to the company sector and hierarchy, thus offering benefits throughout the company. However, company D only uses results from software development activities for monitoring operational performance. Among the difficulties for accomplishing a PMS in the companies studied, it was noticed that companies A and D have struggled for maintaining the alignment with business strategies. This fact was corroborated by Attadia and Martins (2003) as common to companies in the early stages of a PMS adoption. In Company B the major difficulty was related to the fact that the software measurement process was not considered as strategic, thus facing difficulties for allocating resources for its execution. For company C the major difficulty pointed out was about linking PMS results from software projects life cycle with business results, as they are evaluated in a different time frame and purposes. The analysis of DA01 identified some red flags for companies to be aware of, such as: i) difficulties communicating goals and criteria used to define metrics (A, B),

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ii) PMS is not considered strategic and used only for operational purposes (B); and iii) PMS is used properly to help make process decisions, but it still has not been used for supporting strategic business decisions (C, D). Strengths taken from the analysis of DA01 are that the four companies have well defined business objectives that are used for supporting the design and goal present in the PMS. Therefore, the main differences are mainly related to the use of PMS results. 4.2

Software Process Management

The analysis of DA02 shows that all companies perform the planning process (AF03) based on formal and well known models for maturity assessment, which have been pointed out as suitable to excellence in process management (Rock, Maldonado, Weber, 2001). The identification of which processes are considered strategic for all four companies was carried out in the SP and based on business objectives. Though all four companies reported the BSC as a reference model for process management, company B is still implementing its practices. The other three companies are already using the BSC and considering its all four perspectives for mapping process priorities and driving the alignment between business and operational metrics (Pessanha, Prochnik, 2004). According to FNQ (2009), it is necessary for a company to be able to control its process for achieving predictability and assertiveness in results. SOFTEX (2012a) quotes that knowledge about lead times and maximum production capacity for software development are also provided by process management practices. The literature highlights the importance of alignment between strategic business objectives and software processes metrics to obtain a suitable PMS (Rummler, 2007). As part of this work it was also investigated the foundation for conceiving the software process metrics, and the four companies indicated the SP as the main reference (GOETHERT, 2001). For FA04 (Performance Measurement Processes) the four companies are adopting formal software maturity models for establishing the measurement procedures, which is compliant with the project planning PA from CMMI. Regarding the use of results obtained by the performance measurement process, there was a common issue in the four companies, which is the fact that all evaluation of results comes from the organization responsible for the software development. It means that all evaluation objectives rely on monitoring operations within the software developing company. Table 3 presents a summary of the analysis, design and use of performance measurement processes within the companies studied. Although all companies have faced difficulties implementing an organizational PMS for the strategic management dimension (DA01), only Company B reported difficulties in process management. As pointed out by respondents from company B, data collection and analysis of software processes results should be more frequent, and process measurements should be taken to SP meetings and used for supporting strategic business decisions. Furthermore, communication of results should be carried out more effectively and spread throughout the company, and not used only for project management meetings. Companies A and D stated that a challenge for the PMS is of keeping the alignment between organizational performance objectives and metrics, as it affects the definition of objectives for process measurements. This problem of disassociated objectives between business and software processes is a major challenge for companies willing to establish a PMS (Henderson, 1996). Another difficulty quoted

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by respondents from companies A and C regards the need for improving communications of processes measurements in alignment with organizational business objectives, as is it not just about spreading process results, but also about the impact on companies results and market performance (Kulpa, Johnson, 2003).

Dimensio ns

DA02 – Process Managem ent

Analysis Factor

A

B

C

D

AF03 – Process orientation

yes

yes

yes

yes

AF03 – Process priorities

yes

yes

yes

yes

AF03 – Type of Operation

Projects

Software Factory

Software Factory

Products

AF04 – PMS results

Operation capacity

Operation capacity

Operation capacity

Operation capacity

Table 3 – Comparison of comapies’ results for AFA03 e AF04. Source: Interviews and document analysis. Companies A, C and D indicated difficulties for data collection and analysis of organizational measurements. According to Goethert (2001), this is a common problem on PMS, which can produce metrics that are misinterpreted or not significant to help managing software processes (Travassos, Kalinowski, 2009). This difficulty is associated with three PMS glitches cited in the literature (WIEGERS, 2003), that are: poorly defined processes; ineffective metrics; and lack of organizational culture. Respondents from companies C and D indicated that ineffective metrics and lack of organizational culture are issues that are still to be improved in their organizations. However, respondents agree with the literature review by pointing that a culture for evaluating operational process results is an important step towards achieving a successful PMS, and aligned with strategic business objectives (Travassos, Kalinowski, 2009). Strengths related to DA02 are that company C as a software factory has a strong culture for reporting process results frequently, and it has provided a positive influence on results. In contrast, respondents from company C also commented that this is one of the organizational deficiencies related to its business PMS. Another issue that is common to the four companies is that they all have well defined and institutionalized processes that are used as guidelines for the PMS operation. Additionally, all four companies are monitoring processes results and recognizing that it could work as an important asset for the management of organizational results (Lamb, Dalla Valentina, Possomai, 2001). 4.3

Software Measurement Process

The literature review shows that the measurement process is an activity that requires resources and may be costly for companies, thus making it necessary to plan its

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implementation for adhering to companyâ&#x20AC;&#x2122;s business reality. Moreover, the successful design and implementation of process measurement can help organizationsâ&#x20AC;&#x2122; management (SEI, 2010). The processes measurement in the companies studied was based on the software process maturity models presented in this work (CMMI and MPS-BR). Companies A and B used the MPS.BR as the foundation for the AF05 (Software Process Measurement Planning). Company C was based on CMMI and D used both CMMI and MPS-BR. It was also noticed that all four companies highlighted the importance of using a well-known model for developing the design and planning for measuring activities. In addition, company B highlighted the importance of formal processes to keep knowledge in the organization, which was defined as an important company's asset. Company C also stressed the importance of using a standard, formal and institutional PMS for handling knowledge about the software factory performance. Process maturity models describe that software measurement processes must have their own objectives, thus stemming from strategic business objectives. Software measurement procedures should also be adhering to company cultural context and providing information that is helpful to business management, as well as communicated and used for supporting stakeholders decisions (SOFTEX, 2012a). The analysis showed that all four companies have process metrics built from the software development processes (standard processes), with upper and lower limits well defined. However, all respondents agreed that software processes objectives should be defined at the SP and considering business objectives, and then associated with software processes. Only Company B mentioned that adjustments to software process values are made at operational level. Regarding the AF06 (Software Process Performance Measurement), the four companies mentioned its importance to help identifying processes, to correct projects course and to mitigate problems. Company A was the only one that showed capability to use process results to support strategic business decisions. Despite of using process results only at operational level, companies B, C and D highlighted the use of process results to help getting knowledge about process capability, as proclaimed by maturity models (SOFTEX, 2012a; Sei, 2010). Company C was the only one mentioning that uses software process results to motivate people involved with the software factory. A necessary feature for efficacy with process measurements is the presence of a relationship between business objectives and information needs collected from metrics of software processes. It means that it should be possible to identify the relationship between business and process measurements and metrics (SOFTEX, 2012a; SEI, 2010). In addition, it is also necessary to ensure that software process measurements provide operational elements that could be used at tactical level (Fernandes, Teixeira, 2004). The analysis for AF07 (Relationship Between Metrics for Business and Software Process) showed that all four companies used different mechanisms for defining process measurements, though all are sourced in the business SP. To establish the relationship between business and software metrics, all four companies use artifacts from the software measurement process. For instance, company A uses an Organizational Measuring Worksheet, B uses the Organization Mapping and Definition Worksheet, D uses a Measures Specification Form, and C uses the Key Process Indicators, all as indicates by CMMI and MPS-BR. To ensure the FA07 link to all strategic objectives, the artifacts mentioned go through internal validation procedures. A summary of the analysis for DA03 is presented in Table 4.

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Dimensions

Analysis Factor FA05 Process Design

DA03 – Software Process Measurement

A

C

MPS.BR

CMMI

Learning organization; Improving processes; Market comparison; Realign Planning Allocate resources.

Motivate teams; Monitoring operations

Learning organization;

yes

yes

yes

yes

artifacts

artifacts

paper

artifacts

– MPS.BR

FA 06 – Measurement Results

FA07 – Metrics relationship FA07 Metrics Coverage

B

Decision making; Evaluate strategies; Realign Planning Allocate resources

D

MPS.BR CMMI

e

Improving processes

Table 4 – Comparison of companies’ results for AF05, AF06 and AF07. Source: Interviews and document analysis. Problems as lack of management support, difficulties to analyze metrics, data collection, and delay in implementing actions once results are obtained are some of the most frequent problems in processes measurement (Wiegers, 2003; Goethert, 2001) and they were all present in the companies analyzed. For instance, Company A showed that the most difficult issue is data collection, due to its volume and need to provide resources, such as tools and personal for collection. Company A also stated the need for greater involvement from business executives to disseminate the culture of measurement and the need for more frequent disclosure of results from projects and processes. Company B claimed that they have not been able to often review metrics results strategically, and that also need to enhance staff expertise about processes measurements and metrics. It all may be a consequence of a lack of perceived value in establishing process measurements. For company C, the time required for taking actions based on project measurements and the need to contextualize results to all projects to obtain a proper analysis are major difficulties. For instance, one of the respondents from company C stated that the time and effort required for the ability to make decisions supported by process measurements is long and it takes hard work in the organizations. It is important to notice that the four companies showed issues that require attention, such as: i) company A requires greater executive involvement to disseminate the culture of using process measurements;

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ii) company B did not consider the measurement process as strategic; iii) company C indicates a need to reassess who is responsible for process measurements design and results evaluation (from the quality officer to project managers, since they have more experience in improving software project performance); and iv ) company D is running the PMS based only on the software measurement process, and disregarding its role for an organizational context. As strengths for the DA03, the four companies stated that are using metrics results from the PMS to further understand and learn about their software development processes capabilities and company's productive capacity. This is also shown in the literature review, as one of the goals of a measurement processes is that of supporting process understanding, as the companiesâ&#x20AC;&#x2122; productive capacity is the sum of all its process capabilities (SOFTEX, 2012a; Sei, 2010). Company A shows a consistent alignment between strategy and operations, in regard to the PMS for software and operational processes. Company B currently uses the metrics only for monitoring the software factory processes, though there are initiatives planned to review the SP and adopt the BSC for strategic management. It should help to align the software processes measurement with the strategic business objectives. Company C communicates results from software processes and uses them to motivate and involve staff in process management at operational and tactical levels. Company D is aware of the need to step further from the software PMS to an organizational PMS and is currently conducting meetings to consolidate the actual apprenticeship to apply in a corporate level. The analyses carried out in the four companies helped to verify if the software process measurement is able to sustain the organizational PMS. Furthermore, based on the literature review, it was possible for the researchers to identify actual weaknesses and strengths that influence the PMS success in these companies, as shown along with the result analysis. 5. CONCLUSIONS The current scenario for companies in general demands agility, flexibility, and financially positive, technically viable and business sustainable decisions. For software developing companies these premises also apply, though there is also a challenge due to difficulties establishing process measurements that are capable of providing results to support strategic business objectives (Wiegers, 2003). The use of process measurements from software maturity models shows an opportunity to achieve the alignment between operational and strategic business processes, though it takes a long way to achieve them. This research work shows that the presence of well-defined process measurements provides knowledge that stays in the company, thus increasing its intellectual assets. The literature review shows that measurement processes based on MPS.BR (SOFTEX, 2012a) and CMMI (SEI, 2010) provide companies with a framework to establish and institutionalize a set of measurements for software development processes. Additionally, the higher the companyâ&#x20AC;&#x2122;s maturity level, the higher the number of software process measurements. However, this work showed that three of the companies studied have the same level of maturity, though they are at different levels concerning the measurement process for supporting strategic business decisions. Moreover, the company with the higher maturity level is the one using the measurement process with the least alignment with business strategies. It was also noticed that the

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company that adopted the maturity model for a longer time is the one with the best results for the alignment between software process measurements and business strategies. Therefore, the time elapsed since the adoption of a maturity model is also a factor that could affect the alignment. The literature also indicates the SP as a critical success factor for implementing a software measurement process. The SP helps to identify the measurements required to reflect business strategies, as well as to define the key process for monitoring. All four companies indicated that the SP is crucial for helping to establish the relationship between indicators and business strategies processes and operational software process. Therefore, business and processes results should be part of the SP and analyzed jointly and timely related for supporting strategic business decisions. The analysis in this research work shows that, regardless of the PMS adopted, to succeed in supporting business strategies the measurement process should meet the objectives of the process being measured. Accordingly to the analysis, the use of the BSC helps to recognize the strategic processes that could drive the identification of measurements and metrics for supporting strategic business objectives. Regarding the use of software process measurement in these companies, it was concluded that PMS results were only used for monitoring its own execution, thus generating knowledge about the companiesâ&#x20AC;&#x2122; software development capacity. This capacity has an important strategic role, as that is the main operational activity of software developing companies. It was also noticed that PMS results could be used as a motivational element, as they can be communicated to employees, as well as considered for the definitions of operational goals to be overcome. Once properly defined, aligned and monitored, PMS results can support strategic business decisions. The market reality of the studied software developing companies shows a constant need for quick decisions that may heavily influence strategic business positioning and financial results. There is also a need for an effective use of models to formalize performance measurement from software processes and to help supporting decisions in operational and strategic levels (Florac; Goerthert; Park, 1996). This work also shows that measurement systems for software processes could help organizations to manage knowledge about developing capacities and performance monitoring. However, it requires that measurement activities should gather data and provide information at various organizational levels and bring business and operations units together (SEI, 2010). Market results published by ABES (2012) showed that there is a growing number of software developing companies adopting capability maturity models and process performance measurements. Although results of this study reflects only the reality of the companies studied, and it is not possible to generalize to all other software developing companies, it shows that there is still a way to go to fully align software process measurements with business strategies. Due to the number of companies studied, it is worth highlighting that the studied cases were supported by the literature review and that allowed the conclusions shown in this work. However, results taken from this work do not represent the software developing companies from the south of Brazil or the Brazilian sector as a whole.

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Kaplan, R. S.; Norton, D. P. (2006) Alinhamento: utilizando BSC para criar sinergias corporativas . Rio de Janeiro: Elsevier. Kubota, L. C.; Nogueira, A. R. R. (2007) Impacto da Gestão nos resultados percebidos de empresas de software. ANPAD – RJ. Malhotra, N. K. (2006) Pesquisa de Marketing: uma orientação aplicada. 4ª. ed., Porto Alegre: Bookman. Mattar, F. N. (2001) Pesquisa de Marketing. São Paulo: Atlas. McGARRY, J..; Card, D.; Jones C.; Layman, B.; Clark, E.; Dean, J.; Hall, F. (2002) Practical Software Measurement. Addison-Wesley, Reading. Massachusetts. Pessanha, D.; Prochnik, V. Obstáculos à implantação do Balanced Scorecard em três empresas brasileiras. (2004) In: XXVIII Encontro Nacional de Pós-graduação e Pesquisa em Administração, 28, 2004, Curitiba. Anais... Curitiba, ANPAD. Petit, D.; Janssen, R. F. L.; Pereira.C. A.(2007) Exportação de software e serviços de Tecnologia da Informação - Conceitos Básicos. Florianópolis: SEBRAE/SC, 144p. Pressman, R. S.(2006) Engenharia de software. 6 ed. McGraw-Hill, Rocha, A. R.; Maldonado, J.C.; Weber, K.C. (2001) Qualidade de software Teoria e Prática. São Paulo: Prentice Hall. Roselino, J. E. .(2006) A indústria de software: o “modelo brasileiro” em perspectiva comparada. (Tese de Doutoramento) – Instituto de Economia, Universidade Estadual de ampinas. Campinas. Rummler, G.; Brache, A. .(2007) Melhores Desempenhos das Empresas. São Paulo: Makron, 270 p. Salviano, C. F; et al. .(2004) Towards an ISO/IEC 15504-Based Process Capability Profile Methodology for Process Improvement (PRO2PI) - Lisboan, Proceedings of SPICE 2004: The 4th International SPICE Conference on Process Assessment and Improvement - abr. SEI (Software Engineering Institute). (2010) CMMI for Development (CMMI-DEV), Version 1.3. Pittsburgh, PA: software Engineering Institute, Carnegie Mellon University. SOFTEX (2012) (Associação para Promoção da Excelência do Software Brasileiro). Guia Geral MPS de Software 2012 (MPS.BR – Melhoria de processo de software brasileiro). Disponível em: <http://www.softex.br/mpsbr/_home/default.asp>. Acesso em: 28/03/2013. 2012a. SOFTEX (2012) (Associação para Promoção da Excelência do Software Brasileiro). Software e Serviços de TI: A indústria brasileira em perspectiva – Volume 2, Observatório SOFTEX, 2012b. Tachizawa, T. (2002) Metodologia da pesquisa aplicada à administração. Rio de Janeiro: Pontal Editora. Tracy, S. J. (2010) Qualitative quality: Eight “big-tent” criteria for excellent qualitative research. Qualitative Inquiry, V. 16, p. 837–851 Travassos, G. H.; Kalinowski, M.(2009) iMPS: caracterização e variação de desempenho de organizações que adotaram o modelo MPS. Campinas, SP: SOFTEX, 27 p. Wiegers, K. E. (2003) software Requirements, Second Edition, Microsoft Press. Yin, R.K. (2005) Estudo de caso: planejamento e métodos. São Paulo: Bookman.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp. 377-388 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200011

INFORMATION TECHNOLOGY AS A TECHNICAL RESOURCE FOR THE MEMORIES: MEMORIES OF UNATI-MARÍLIA IN THE VIRTUAL ENVIRONMENT Simone Borges Paiva University of São Paulo, São Paulo, São Paulo, Brazil Maria Candida Soares Del-Masso UNESP Sao Paulo State University, Marília, São Paulo, Brazil __________________________________________________________________ ABSTRACT UNATI (Open University of the Third Age), UNESP, Marília campus, has offered subsidies for the development of this work aimed at researching the existing relationships between information mediation processes and technological devices, especially computers, assuming that reading practices and textual construction in online environments could help the “third age” population to have access to these devices, thus promoting digital inclusion in this group. Mediation was presented as an interventionist action that, by introducing an intermediate element in the learning process, causes a rupture in the ways of living and personal digital inclusion processes hitherto experienced. In the context of a workshop, we found out that there is a physical relationship between subjects and technological supports and such a contact proved to be necessary, considering that handling a computer required knowledge of procedures, thus furthering a logic of use. It turned out to be necessary to develop actions that would enable the handling of a computer so as to bring about acceptance of these supports. Accordingly, activities were developed so as to articulate reminiscent processes, memories of older adults, the writing down of such memories and the creation of a blog to bring enhanced visibility to the content produced by older people. Such actions have shown that remembering, writing down and posting can reshape not only social relations but somehow significantly promote digital inclusion among older adults. Keywords: Information and Communication Technologies, UNATI, older adult, blog, Internet

_____________________________________________________________________________________ Manuscript first received/Recebido em 01/03/2012 Manuscript accepted/Aprovado em: 22/12/2012 Address for correspondence / Endereço para correspondência

Simone Borges Paiva Master of Science in Information Science from UNESP, Marília campus. PHd student of Information Science at the Post-Graduation Program in Information Science, School of Communication and Arts - USP, São Paulo. E-mail: sibpaiva@usp.br Maria Candida Soares Del-Masso, Faculty member at UNESP, Marília campus, Department of Special Education. Coordinator of the Central Groups of, UNATI (Open University of the Third Age) – UNESP – PROEX – Coordinator since 2004. Coordinator of UNATI – UNESP – Marília in the period of 19942010. Leader of the GEPIS (Research Group on Social Inclusion) / CNPq. E-mail: delmasso@marilia.unesp.br Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


378 Paiva, S. B., Del-Masso, M. C. S.

1. INTRODUCTION What to do with all the things you do not know how to handle?, an elderly student muses revealing her uncertainties about the various technological devices currently available and often haunting those who have never been in contact with all these new media. This article aims to discuss the issues concerning sociocultural integration of men and women aged 60 and over in the context of Information Society. Older adults experience life, the passing of time and the grasp on daily activities in a balanced, orderly, linear pace. Beauvoir (1990) argues that old age is not easily delimited due to the various perspectives comprising it, namely, the biological, chronological, social, emotional and professional aspects, among others. Following the development of the so-called Information and Communication Technologies there has been a noticeable change in our modes of perception of the world, as things do not remain unchanged for long, and the present time is characterized by the urgency of the new. A question remains for older adults: how to behave in a context of constant change? What are the skills needed to interact with technological devices? To what extent are these resources necessary in the daily lives of older people? What strategies can be undertaken so as to facilitate access and use of technological resources, specifically computers? The context of the UNATI (Open University of the Third Age), UNESP, Marília campus, has offered subsidies for the development of this work aimed at researching existing relationships between information mediation processes and technological devices, especially computers, assuming that reading practices and textual construction in on-line environments could help older adults to get hold of these devices, thus promoting digital inclusion in this group. Such an action was justifiable to the extent that men and women increasingly turn to the use of technologies in order to get updated and learn about these resources, assigning meaning to this action. The UNATI was set up in 1993 at UNESP (Universidade Estadual Paulista), based on discussions held in the Senior Project implemented by PROEX ((Dean of University Extension), with the purpose of enabling access to public universities for the aging population, thus minimizing social exclusion among them. The underlying intent was to create a cultural and educational site for knowledge expansion, besides furthering lifelong learning through social interactions and the sharing of life experiences among participants of the UNATIs as well as undergraduate and postgraduate students from the various courses held at the UNESP campus, located in the State of São Paulo. The UNATI-UNESP Central Groups, connected with PROEX, is corroborated and institutionalized by “ACT UNESP No. 191”, dated May 7, 2001, as a result of the collective work developed in the various campuses of UNESP (DEL-MASSO: 2010). Currently, this group consists of 22 groups located in 21 campi of UNESP all over the State of São Paulo. The UNATI at the College of Social Sciences and Philosophy, Marília campus, was one of the first to operate on an institutional basis. Its activities began in 1994 with the promotion of the Scientific Seminar on Universities of the Third Age; in March 1995, the first class for 40 old-age students was open for enrollments. By incorporating the problem currently facing older adults, the UNATI – UNESP – Marília Program aims to provide proper conditions for social and academic integration of older adults through

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social contact in an university environment. In this study, we refer to Vygotsky and the way he attaches a historical process to the perception of contexts, which extend through sociocultural aspects and mediation actions that turn the subjects’ development into a more complex one. We also refer to Almeida Jr and his contribution to the understanding of cultural activities in the context of Libraries and Information Science, offering subsidies for a broader perception about the symbolic exchanges ocurring between the subjects and the various informational supports. The methodological path was structured so as to articulate the theoretical reflexion and the practical activities offered to the members of the Grupo de Leitura (a reading group) of UNATI – UNESP – Marília, men and women aged 60 and over. For a year, older adults attended weekly meetings to create a blog named Conto Prosa (short story and prose), a site designed for the dissemination of writings and literary discussions collectively framed within the Oficina de Leitura (a reading workshop). For data collection, we have applied action-research, and the mediation was presented as an interventionist action that, by introducing an intermediate element in the learning process, causes disruption in actions and reorganization aimed at restoring balance in learning. In the context of the workshop, we found out that there is a physical relationship between the subjects and technological supports and, in such a relationship, we could observe that the contact proved to be necessary and physical handling enabled older adults to model the supporting tools, providing the characteristics that were most favorable to them. Such action remodels and updates men/women and reinvents the instrument, taking into account the actions undertaken, thus furthering digital inclusion in a group apparently shut out from digital media. 2.

THEORETICAL COURSE

Some questions have risen from this research: how to treat concepts of mediation in an informational environment with the purpose of implementing strategies intended for the dissemination of information to users? First of all, we must understand that in a sociocultural approach the environment is filled with information that could be related to the stimuli the subject is exposed to. Changes and actions performed by the subjects on information is directly linked to the level of development in which they find themselves. One cannot disregard environmental stimuli, or consider them a poor piece of information or one that could be rendered null. They will be reformulated when the subjects acquire the structure needed to think over the stimuli they are exposed to. As Almeida (2008a) suggests, “we understand information from the modification, the change, the reorganization, the restructuring, in short, the transformation of knowledge”. In the field of Information Science, the most recurring idea on the concept of information – the object of study for information scientists – refers to the ability of information to generate knowledge; whatever it is that generates knowledge can be considered information. However, we propose herein a different approach for treating the concept of information. In his work, Almeida describes how the concept of information should be

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380 Paiva, S. B., Del-Masso, M. C. S.

reformulated and revised within the field of Information Science. According to the author: We argue that information does not emerge as a fisnished product, it is neither anticipated nor predictable. Information represents the unknown. Therefore, it lies restless and as such it causes unrest, conflicts. Even though it is formed in the individual, it is dependent on the collective. Knowledge itself is dependent on the collective. (ALMEIDA: 2008b).

This is how we describe the sociocultural context of information, an interpretation we consider more appropriate for treating the concept of information, as it does not reject the various forms of stimuli generated and available in the environment and in the subjects. So, Giglio (2007) states that: In today's world, everything is conceptualized as information, from news headlines to the genetic code, from the color of food to the kind of sensation we experiment in our bellies when we are about to meet someone else. The most intriguing, however, is that we know that we will never know precisely what such countless information will be good for – information which we must keep a watchful eye on – unless in the very instant we need it! Yet, this trait of contemporaneity keeps a remarkable correspondence with the nature of information when thought of in relation to the creative process. Creators never know what knowledge their minds will refresh at the moment an idea is being produced, since the choices among the range of information available is partly unconscious and intuitive.

The author reinforces the nature of the present moment, the instant the event occurs, the way the knowledge of the moment is being produced and informational influences are being restored from each subject. In that very instant, information must be taken as something that organizes and reorganizes itself acquiring meaning and significance based on the knowledge individuals keep at that moment vis-à-vis their life history and sociocultural context. This historical and sociocultural context, present in the concept of information advocated by Almeida, can also be found in Vygotsky (2000) who underscores history – the historical process each individual is bound to and its action/work relations – in the redesigning of content and the constant reorganization of environment and information, a diverse background that becomes increasingly complex as its parts keep growing. To this extent, the mediation that belongs to this scenario is a mutual cooperation relationship, and those who realize the richness in this type of exchange do grow up. And how to bring these reflections to the field of Information Science? In particular, how to organize mediation activities that will assist in the process of digital inclusion? From this perspective, some indications can already be commented taking into account a more versatile, more contextualized concept of information. Information can not be taken just as the element of surprise that only happens in the subject´s routine contact with informational stimuli. On commenting about the concept of information, Almeida emphasizes that: JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 377-388

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Contrary to the concept largely accepted in the area, information is being employed as a source of conflicts, since only these enable the transformation of knowledge. Information does not clear doubts or remove uncertainties, it demands the “reconstruction” of knowledge to the extent that it destroys certainties. (ALMEIDA: 2008a).

As far as Information Science is concerned, the Sociocultural Theory introduces the perspective of active subjects, the ones responsible for the construction of their own knowledge considering their life history and the environment surrounding them, the action subjects perform in a conscious or an unconscious way, as learning and development occur in an increasing and cooperative manner. It is this active subject that should be transmuted into the user, a largely discussed figure in the literature of Information Science. The user to whom services are designed according to scientific conventions and standards, which often overlook the real needs of the target audience, limited as they are the only ones to the formalism of logic and the rational organization of knowledge. The concern with the record and the support not only limits the possibilities of user growth, but also undermines informal practices, free activities in which documental record is a secondary objective. Thus, collective action untied from compulsory results allows for the emergence of learning processes that are more creative and, above all, closer to the reality of the subjects involved in the research. We point out that the key action is the one generated by the support offered, in other words, the imbalance movement a given support causes in the subjects leading them to seek new ways and new approaches to troubleshooting and the way they act upon the world. It is important to realize that every social organization is structured under the guidance of informational content, whether verbal or non verbal, being the action of the communication media directed at these contents. There is a flow of information and a process of information disclosure, but the fruit harvested in the process does not cause the development of the environment itself, but of each individual and the group as a whole. There is often a prejudgment about older adults in the face of technologies and the perpetuation of their difficulties in dealing with new technological content, which is not entirely true. Information is the element that, once incorporated into the subject’s reality, causes some effect. If it presents a content similar to the subject’s field of knowledge, this information is incorporated and assimilated. Otherwise, it will lead the subjects to work on what stands out as different, in order to understand the differences and grasp their meaning. Thus, information that is new or unaltered adopts the same mechanism of circulation in the society and the dissemination of such information spreads through the entire process of concept building. It is this information that ensures arguments, that is tied in documents assembled by public authorities and that aids the subject s’ development. Hence the importance of developing information dissemination practices without any value assignment, providing informational content so that users are able to evaluate what is appropriate and what is not. The key is to enable and extend the means of access to varied informational content, providing the subjects a greater exposure to the new and the unaltered, thus

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improving their ability to observe reality from a critical standpoint, with a reflective stance, thereby changing the focus of the information producer. A greater amount of informational content implies that information producers come from various sources, from mass media to even a retired man living in a remote town, who one day had the courage to tell his story in a simple cordel1. The role of the information professional is exactly to expand access, giving voice to individuals, to small communities, because the outsider’s view is always loaded with historically built concepts and the inner view is different. When we turn our attention to older adults, this difference becomes even greater. The point of view of older adults is the particular viewpoint of history, the information perspective that is frequently not recorded in literature but is rich, for it carries the particularities and peculiarities of its development, region, beliefs, fears, affections, of its living history. The attitude required to aim for changes is sustained by the confidence or boldness only properly informed subjects can achieve. A currently accepted concept indicates that being informed is attaining power. And for older adults, information acquisition can be highly favorable as a mechanism to retrieve social action, since human aging brings about loss in social positions. Stimulation of older adults through information restores their autonomy and ensures the maintenance of their social status, as well as the protection of their individual rights. Regarding the importance of actions in the face of problems, and the role of information in this context, Giglio says: We feel a natural urge to start looking for information whenever we face a problem. We intuitively know that the more we know about what challenges us, the greater our chances to confront them. Studies on creative processes and troubleshooting give special emphasis to information precisely because the greater a person´s range of knowledge is, probably the more qualified he or she will be to address unforeseen situations. (GIGLIO: 2007).

The author points out the natural need every human being posesses to seek information, more specifically when facing a crisis. And the greater the amount of information, the greater the chances of solving problems. Information expands the perspectives with which subjects view reality. And there is nothing more beneficial to older adults than the possibility of regaining their view of reality with the perspective of possibilities and challenges for future constructions.

“Literatura de cordel”, or Cordel literature, is named for the way it is displayed by street vendors and at fairs in the northeast region of Brazil: hanging from a string. They are produced as inexpensive pamphlets or booklets and often illustrated with woodcuts.( www.mariabrazil.org/cordel.htm) 1

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3. METHODOLOGICAL COURSE A lot of input gives rise to academic research. This research has emerged from the observation and interaction with older adults as participants of the UNATI-UNESP, campus of Marília and as attendees of the reading workshop offered as an activity of the university extension project (Paiva & Del-Masso: 2007). For seven years, it was in this environment of reading mediation that we had the opportunity not only to be in contact with the task of information mediation, but also to come close to conflicts, fears, achievements and projects that each student carried along. In these meetings, we have not only looked into social, cultural or literary information, but also mediated “what it was”, “what it is”, “what to do” and “how to do it” through reviewing notions, breaking taboos and myths, rebuilding new concepts. Then, in one of these meetings, we heard from one of the reading workshop attendees and a UNATI student the following statement: “I was brought up with 19th century concepts, grew up in the 20th century and grow old in the 21st century, what do I do with all these things I do not know how to handle?”. All these “things I do not know how to handle” (emphasis added) refers to equipment and instruments that comprise technological and informational supports, and that, in turn, pose real challenges to a significant portion of the population. In the particular case of older adults, this is a concrete, tangible problem, and a constant cause of protests contrary to the use of so many technological gadgets. The observation of such concerns has motivated our desire of carrying out research on the relationship between older adults and all those devices they did not know how to handle. However, these devices are not completely unknown to older people, they are things that just do not belong to their personal routines, objects that their eyes, hands, ears have not learned to “read” as yet. And only a closer reading of these objects will narrow the gap between older adults and “these things I do not know how to handle” (emphasis added). Such an approach could ease the lives of those who complain when interacting in an environment full of things they just do not know how to handle, but are influencing the way the modern man relates not only with his peers but also with the surrounding environment. From this perspective, it is important to note which strategies can be more useful as aids in the process of bringing older adults closer to new reading supports, in this case, particularly computers and informational content supported by it, the Internet. The Conto Prosa blog2 – a journal in an on-line environment Proposing the switch from a textual record to an on-line collaborative environment requires strategies, considering that the group operates two information transmission formats – print text and digital content. Over a print text, linearity prevails; in a digital content, there is a fusion of multiple formats; disruption in a textual sequence and a new structuring of the support object require new forms of subject/object relationship. In the process of planning a mediation strategy through art in the Internet environment, it was necessary to choose a format capable of supporting more 2

Available at: http://contoprosa.blogspot.com.br/

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independent, open and democratic processes of creation and dissemination. A format closer to the language used in the Conto Prosa journal, charcterized by a simple, direct structure as well as a simplified language and commands. The participants of the reading workshop would be concerned with the availability of content, the attractiveness of the ways to disseminate their private messages and the fact that the environment should help and invite participants to handle, to unveil this new informational world. The tool of choice for presenting such a simplified usage structure was the blog, a journal written on-line with updating policies defined by its users. The choice of this tool has fulfilled the goals of the research since it is a handy tool with a structure that is simple to be explained and understood, easy to read and grasp, thus meeting the objectives proposed for this research, without leaving aside the usage needs of the participants. Therefore, we sought for an approach loaded with meaning and relevance to the community which we dealt with. To create the blog, it was not enough to teach the procedures for the toolâ&#x20AC;&#x2122;s proper functioning. The experience with the group proved it to be necessary to bring content and support closer to its realities. As for the text discussions, the process was pretty much the same. The creative elements that emerged in the reading workshop resulted from a continuous connection between the subjects and the book support. There is the need of bringing the participant closer to the author´s universe and to the ideas presented by him ; that is, an immersion in a context often different from the context in which they currently are. This interaction gives rise to discussions, creations. We thus state that it is not only about reading stories, the subjects involved are also capable of writing them. It can be no different as far as computers and the Internet are concerned. First of all, the individual must be able to handle the machine, since computers are nothing more than an extension of human abilities enclosed in a case. It is therefore necessary to allow participants to become familiar with the world of computers and the Internet reading and reading anew on a constant basis, in this way leading them to realize what their possibilities, their resources, their reach are. Finally, it is about working with whatever is particular to them, reflecting on it and finding out which creative possibilities will arise in the migration from off-line to on-line universe. Once in the blog, they should manipulate it so as to give it features that are close to the group, dealing with content so that the subjectsâ&#x20AC;&#x2122; values and references are revealed and registered through the texts. The blog content comprised texts produced for the journal which were revised through another participative process, reading again but this time with virtual eyes. Various viewpoints on the same object, the text and its multiple forms of dissemination. So as to guarantee familiarity with the support offered, in order to promote digital inclusion, we proposed the creation of a workshop extended to the UNATI students that took part in the reading workshop so that they could get acquainted with this new proposal. The following structure was set out for the development of the activities in the workshop:

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Figure 1: Job structure for the publishing of Conto Prosa blog

Weekly meetings – Weekly meetings ensured smaller intervals of work and a better interaction between the participants and the workshop.

Text reading and discussion – Texts were used to clarify doubts about the terms used on the Internet, the development of computers and the current stage of the Internet. The moments of text discussion were carried out in the first meetings of the reading workshop, featuring more theoretical traits.

Group dynamics – Group dynamics were used as recreational activities to explain concepts and carried out in the first meetings. Group dynamics were created based on the attendees’ needs.

Computer usage – Participants had contact with computers starting from the 4th meeting. UNATI provided three computers for students usage to create the blog. To carry out the activities, students were divided into groups and each group was assigned a computer and a set of activities.

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4. FINAL CONSIDERATIONS Scientific research is a path to be followed and, as such, it reveals several aspects related to each subject’s maturation process. Soon research focus was shifted since, beyond practical, quantifiable results, a collaborative creation of a research project was sought after. Supportting tools play a dominant role in the subject´s learning and development processes. This is why activities should excel at perceiving the support as an actioninstigating instrument. It is not only a means, it acts upon knowledge construction processes. In developing digital inclusion initiatives, one must not take into account only the product, as it is ephemeral, and what guarantees its transience is precisely the possibility of reinvention operated by the subjects. One must therefore excel at actions that, by introducing flexible structures, allow the emergence of more creative learning processes, and above all closer to the reality of the subjects involved in the research. There is a need to reflect on the relationships between information and personal empowerment3; we must therefore promote digital inclusion initiatives that enable older people to act so as to restore their autonomy, undertaking the maintenance of their social status, ensuring protection for their personal and social rights. Mediation was presented throughout this work as an action that, by introducing an intermediate element in a stimulus-response relation, causes disruption and generates a reorganization that tends to a state of equilibrium. Looking at a person's life, from their historical horizon, has allowed our study to understand the importance of the time factor in each subject´s maturation process. Thus, the research focus was not only the practical, quantifiable results, but the collaborative creation of a research project aimed at registering the historical path of a collective activity with new challenges posed to this group. In the context of the reading workshop, we have found out that there has been a physical relationship between the subjects, the supports, the contents and other society members. In the process of focusing on the subject/support, we realised that physical contact was necessary. Usage has allowed the subjects to mold the support, giving it characteristics that are favorable to them. This situation is described by Vygotsky (2000) when dealing with the importance of work done by men/women in handling instruments. Work in this context does not refer only to what provides for a living, but to an action that remodels and updates people who reinvent an instrument while working with it. One must remember that support plays a dominant role in the process of subject’s learning and development process. Therefore, activities should excel at perceiving the support as an action-instigating instrument. We have noticed that, in group activities, 3

Personal empowerment enables individuals with increased autonomy and freedom.

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supporting tools served initially as action magnets. However, as activities developed, support was diverted from action so that new behaviors and actions could be experienced, thus revealing the subjects´ preferences. We found out that, regardless of the support functionality, the relevance between its usage and the subject´s way of living would guide the choice. It is the subjects who indicate what their needs are and how they will or will not use a given informational support, whether intended for reading or for similar activities. We believe that cultural or information dissemination activities should be devised in order to meet the needs of individuals and groups. The difference between them is that, in the second case, one must acknowledge each subject’s particular universe and then conceive it in the group context. Group environments already provide the structure of needed instability for the Zone of Proximal Development, as quoted by Vygotsky (2000), to occur. But group activities provide a greater degree of poor adjustment. External signs are of different orders in a group activity. The book, the text, the personal opinion, the opinion of others, the agreement or disagreement, the reactions, the memories, ultimately the stimuli are generated by different sources, sometimes reinforcing initial standpoint, sometimes dismantling an entire rational order. Information professionals’ main concern in the development of products and services should not be focused on the final product, since we deal with the idea that individuals build their knowledge from a sociocultural process full of stimuli. The documentary record does not portray all the informational and cognizant chain in which subjects build their histories; the result registered there was only a topical reference. Therefore, we believe that activities of cultural action should not be treated as informational products, but as actions that enhance a subject´s development. We must remember not to focus on the product, as it is ephemeral, and what guarantees its transience is precisely the possibility of reinvention operated by the subjects. We must also remember that it is through work that individuals renew their knowledge and the action of creation and recreation is constantly made possible through action, unveiling a new world of possibilities mediated by varied informational means.

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REFERENCES Almeida Junior , O. F.( 2008) Mediação da Informação: ampliando o conceito de disseminação. In: VALENTIN, M. (Org). Gestão da Informação e do conhecimento. São Paulo: Polis & Cultura Acadêmica, Beauvoir, S. (1970). A velhice. São Paulo: Difel. Bosi, E. (1998). Memória e sociedade: lembranças de velhos. São Paulo: Companhia das Letras, Giglio, Z. G.(2007) A criatividade e os caminhos: em busca do mapa no processo de envelhecimento. In: Bruns, M. A. de T & Del-Masso, M.C.S. Envelhecimento humano: diferentes perspectivas. Campinas, SP: Editora Alínea Paiva, S.B & Del-Masso, M. C. S. Envelhecimento humano: leitura e memória. In: Bruns, M. A. de T & Del-Masso, M.C.S. Envelhecimento humano: diferentes perspectivas. Campinas, SP: Editora Alínea, 2007. p.53-72. Thiollent, M.(1988) Metodologia da pesquisa-ação. São Paulo: Cortez. Vygotsky, L. S. (2000 ). A formação social da mente: o desenvolvimento dos processos psicológicos superiores. São Paulo: Martins Fontes.

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JISTEM - Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol. 10, No. 2, May/Aug., 2013 pp.389-406 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200012

INTEGRACIÓN DE LOS ALGORITMOS DE MINERÍA DE DATOS 1R, PRISM E ID3 A POSTGRESQL Yadira Robles Aranda Anthony R. Sotolongo Universidad de las Ciencias Informáticas, Ciudad de la Habana, Cuba __________________________________________________________________ ABSTRACT In this research, data mining and decision tree techniques were analyzed as well as the induction of rules to integrate their many algorithms into the database managing system (DBMS), PostgreSQL, due to the defficiencies of the free use tools avaialable. A mechanism to optimize the performance of the implemented algorithms was proposed with the purpose of taking advantage of the PostgreSQL. By means of an experiment, it was proven that the time response and results obtained are improved when the algorithms are integrated into the managing system. Keywords : data mining, database managing system, PostgreSQL, decision trees, induction of rules.

RESUMEN En la presente investigación se analizaron las técnicas de minería de datos de árboles de decisión y de reglas de inducción para integrar varios de sus algoritmos al sistema gestor de base de datos (SGBD) PostgreSQL, buscando suplir las deficiencias de las herramientas libres existentes. También se propuso un mecanismo para optimizar el rendimiento de los algoritmos implementados con el objetivo de aprovechar las ventajas de PostgreSQL y se comprobó, mediante un experimento, que al utilizar los algoritmos integrados al gestor, los tiempos de respuestas y los resultados obtenidos son superiores. Palabras claves: Minería de datos, sistema gestor de bases de datos, PostgreSQL, árboles de decisión, reglas de inducción.

____________________________________________________________________________________________ Manuscript first received/Recebido em 18/09/2012 Manuscript accepted/Aprovado em: 23/04/2013 Address for correspondence / Endereço para correspondência Yadira Robles Aranda, Msc, Profesor Asistente Dpto de Ingeniería de Software, Universidad de las Ciencias Informáticas, Cuba, carretera San Antonio de los Baños km 1 ½, reparto Lourdes, Boyeros, Ciudad de la Habana. Email: yrobles@uci.cu Anthony R. Sotolongo, Msc, Profesor Asistente. Dpto de PostgreSQL, Universidad de las Ciencias Informáticas, Cuba, carretera San Antonio de los Baños km 1 ½, reparto Lourdes, Boyeros, Ciudad de la Habana. E-mail: asotolongo@uci.cu Published by/ Publicado por: TECSI FEA USP – 2013 All rights reserved.


390 Aranda, Y. R., Sotolongo, A. R.

1. INTRODUCCIÓN La minería de datos es una técnica que nos permite obtener patrones o modelos a partir de los datos recopilados. Esta técnica se aplica en todo tipo de entornos como, por ejemplo, en la rama biológica, aplicaciones educacionales y financieras, procesos industriales, policiales y políticos. Dentro de la minería de datos existen diversas técnicas, entre las cuales se encuentran la de inducción de reglas y árboles de decisión, que según diversos estudios realizados, se encuentran entre las más utilizadas. (Moreno, 2007) (Heughes Escobar, 2007) Existen numerosas herramientas independientes del sistema gestor de bases de datos que permiten aplicar esas técnicas a grandes volúmenes de datos, sin embargo, la mayoría de estas herramientas son propietarias y no están al alcance de las organizaciones cubanas por ser altamente costosas. Otras herramientas como WEKA o YALE RapidMiner tienen licencia GPL, pero cuando existe una gran cantidad de datos a analizar, el proceso se vuelve engorroso y lento (Soto Jaramillo, 2009). Además, se debe garantizar la seguridad de los datos pues la información viaja a través de la red. Para solucionar estos problemas, en la actualidad, algunas empresas como Microsoft y Oracle han desarrollado módulos dentro de sus sistemas gestores de bases de datos que incluyen las técnicas de minería de datos, lo que les permite agilizar los tiempos de respuesta ya que no sería necesario transformar “datos sin formato” en “información procesable” (preparación de los datos) o importación o vinculación con la herramienta encargada de hacer el análisis. De esa forma, se evita tener que contar con personal preparado en otras herramientas de análisis de datos y se proporciona a los analistas de datos un acceso directo pero controlado, lo que acelera la productividad sin poner en riesgo la seguridad de los datos. Sin embargo, a pesar de estas ventajas, estos softwares tienen el inconveniente de ser propietarios. Actualmente Cuba está inmersa en migrar a software de código abierto buscando garantizar la seguridad nacional y lograr su independencia tecnológica. Una de las tareas para lograr este objetivo es la migración a la tecnología de bases de datos PostgreSQL por ser el SGBD de código abierto más avanzado del mundo ya que soporta la gran mayoría de las transacciones SQL, control concurrente, ofrece modernas características como consultas complejas, disparadores, vistas, integridad transaccional y permite agregar extensiones de tipo de datos, funciones, operadores y lenguajes procedurales. (Vázquez Ortíz & Castillo Martínez, 2011) (The PostgreSQL Global Development Group, 2011). Sin embargo, este sistema no ha integrado estas técnicas de minería de datos. Por ese motivo, es necesario lograr la independencia del sistema gestor de base de datos PostgreSQL para analizar los datos mediante las técnicas de minería de datos, reglas de inducción y árboles de decisión. De ahí que se plantee como objetivo, en la presente investigación, integrar algoritmos de las técnicas de minería de datos, reglas de inducción y árboles de decisión al sistema gestor de bases de datos PostgreSQL.

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2. DESARROLLO Minería de datos El descubrimiento de conocimiento en bases de datos (KDD, por sus siglas en inglés: Knowledge Discovery from Databases) se ha desarrollado en los últimos años como un proceso que consta de una secuencia iterativa de etapas o fases, que son: preparación de los datos (selección y transformación), minería de datos, evaluación, interpretación y toma de decisiones. Una de las fases más importantes dentro de este proceso es la minería de datos, que integra técnicas de análisis de datos y extracción de modelos (U. Fayyad, 1996). La minería de datos se basa en varias disciplinas, entre ellas la estadística, las bases de datos, el aprendizaje automático y otras que dependen del negocio al cual se aplica el proceso o del tipo de aplicación. En los últimos años, muchos investigadores se han profundizado en este tema y han dado distintos conceptos sobre la minería de datos, de entre los cuales el proporcionado por Fayyad (*), “la minería de datos es un proceso no trivial de identificación válida, novedosa, potencialmente útil y entendible de patrones comprensibles que se encuentran ocultos en los datos” (U. Fayyad, 1996). Técnicas de minería de datos Las técnicas de minería de datos constituyen un enfoque conceptual y, habitualmente, son implementadas por varios algoritmos (Molina López & García Herrero). Estas pueden clasificarse, según su utilidad, en técnicas de clasificación, de predicción, de asociación o de agrupamiento (clustering).  Las técnicas de predicción permiten obtener pronósticos de comportamientos futuros a partir de los datos recopilados, de ahí que se apliquen frecuentemente. Estas técnicas resultan útiles, por ejemplo, en aplicaciones para predecir el parte meteorológico o en la toma de decisiones por parte de un cliente en determinadas circunstancias.  Las técnicas de agrupamiento concentran datos dentro de un número de clases preestablecidas o no, partiendo de criterios de distancia o similitud, de manera que las clases sean similares entre sí y distintas de las otras clases (Rodríguez Suárez, 2009). Su utilización ha proporcionado significativos resultados en lo que respecta a los clasificadores o reconocedores de patrones, como en el modelado de sistemas.  Las técnicas de reglas de asociación permiten establecer las posibles relaciones o correlaciones entre distintas acciones o sucesos aparentemente independientes; pudiendo reconocer como la ocurrencia de un suceso o acción puede inducir o generar la aparición de otros (Molina López & García Herrero). 

Las técnicas de clasificación definen unas series de clases, en que se pueden agrupar los diferentes casos. Dentro de este grupo se encuentran las técnicas de árboles de decisión y reglas de inducción.

(*)El Dr. Usama Fayyad fue el vicepresidente ejecutivo de Yahoo y creó el grupo DMX dentro de Microsoft, dedicado a la minería de datos. Actualmente es CEO de Opens Insights. Realizó varios tutoriales sobre Minería de Datos, así como algoritmos y técnicas para el desarrollo de los negocios y business intelligence. Es editor en jefe de la revista sobre minería de datos llamada: Data mining and

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Knowledge Discovery, publicada por Kluwer Academic Publishers. Participó en la programación de KDD-94 y KDD-95 (conferencia internacional de minería de datos y descubrimiento de conocimiento).

Árboles de decisión Un árbol de decisión es un conjunto de condiciones organizadas en una estructura jerárquica, de tal manera que permite determinar la decisión final que se debe tomar siguiendo las condiciones que se cumplen desde la raíz del árbol hasta alguna de sus hojas. Los árboles de decisión se utilizan desde hace siglos, y son especialmente apropiados para expresar procedimientos médicos, legales, comerciales, estratégicos, matemáticos, lógicos, entre otros (Solarte Martínez G. R., 2009). Estos se caracterizan por la sencillez de su representación y de su forma de actuar, además de la fácil interpretación, dado que pueden ser expresados en forma de reglas de decisión. Una de las grandes ventajas de los árboles de decisión es que, en su forma más general, las opciones posibles a partir de una determinada condición son excluyentes. Esto permite analizar una situación y siguiendo el árbol de decisión apropiadamente, llegar a una sola acción o decisión a tomar. Entre los algoritmos de árboles de decisión se encuentran el ID3 (Induction of Decision Trees) y el C4.5 desarrollados por JR Quinlan, siendo que el ID3 es considerado un clásico de los algoritmos de aprendizaje automático. Inducción de Reglas Las reglas permiten expresar disyunciones de manera más fácil que los árboles y tienden a preferirse con respecto a los árboles por tender a representar “pedazos” de conocimiento relativamente independientes. Las técnicas de Inducción de Reglas permiten generar y contrastar árboles de decisión, o reglas y patrones a partir de los datos de entrada. La información de entrada será un conjunto de casos en que se ha asociado una clasificación o evaluación a un conjunto de variables o atributos (Omar Ruiz, 2008). Como ventajas de las reglas de inducción podemos citar las representaciones de hipótesis más “comprensibles” para el ser humano y el formalismo más popular de representación del conocimiento. Entre los algoritmos, que implementan las técnicas reglas de clasificación se encuentran:  Algoritmo 1R  Algoritmo PRISM Herramientas para aplicar técnicas de minería de datos Para la aplicación de las técnicas de minería de datos existen diversas herramientas; algunas son independientes del sistema gestor de bases de datos y otras son nativas de un gestor de bases de datos específico.

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Herramientas nativas del gestor En los últimos años, empresas como ORACLE y SQL Server han incorporado algunos algoritmos o técnicas para el análisis de datos, buscando facilitar el proceso de descubrimiento de conocimiento para la toma de decisiones. SQL Server Data Mining: es una herramienta que contiene las características necesarias para crear complejas soluciones de minería de datos, ya que permite:  Aplicar soluciones de minería de datos utilizando Microsoft Excel.  Entender cómo, cuándo y dónde aplicar los algoritmos que se incluyen en el servidor de SQL.  Realizar la extracción de datos de procesamiento analítico en línea (OLAP).  Utilizar SQL Server Management Studio para acceder y proteger los objetos de minería de datos.  Utilizar SQL Server Business Intelligence Development Studio para crear y gestionar proyectos de minería de datos (MacLennan, Tang, & Crivat, 2009). Entre las ventajas de la minería de datos de Microsoft podemos citar la integración estrecha con la plataforma de base de datos de clase mundial SQL Server, ya que aprovecha el desempeño, la seguridad y las características de optimización de SQL Server; la extensibilidad, ya que se puede extender la minería de datos de Microsoft para implementar algoritmos que no vienen incluidos en el producto. Los algoritmos implementados por Microsoft son: 

Árboles de decisión.

Bayes naive.

Clústeres.

Redes neuronales.

Serie temporal.

Regresión lineal.

Clústeres de secuencia.

Asociación.

Oracle Data Mining: permite que las empresas desarrollen aplicaciones de inteligencia de negocio avanzadas que exploten las bases de datos corporativas, descubran nuevos conocimientos e integren esa información en aplicaciones comerciales (Haberstroh, 2008). Oracle Data Mining incorpora las siguientes funcionalidades de minería de datos para realizar clasificaciones, agrupamiento, predicciones y asociaciones. 

Agrupamiento (k-means, O-Cluster).

Árboles de decisión.

Atributo relevante.

 Característica de selección.  Clasificador bayesiano (naive bayes).  Máquinas de soporte vectorial (support vector machines).

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 Modelos lineales generalizados  Reglas de asociación (APRIORI). Todas las funciones de los modelos son accesibles a través de una API basada en Java. El carácter nativo de la solución es un plus fuerte, en tanto que las implementaciones de cada una de las etapas del proceso se encuentran incluidas en el motor. Herramientas independientes del gestor Entre las herramientas libres más utilizadas para la minería de datos se encuentran Weka (Waikato Environment for Knowledge Analysis) es una herramienta visual de distribución libre para el análisis y la extracción de conocimiento a partir de datos (V.Ramesh, 2011) Las principales ventajas de la herramienta son:  Es multiplataforma.  Contiene una extensa colección de técnicas para preprocesamiento y modelado de datos.  Es fácil de usar, gracias a su interfaz gráfica.  Soporta varias tareas de minería de datos, especialmente preprocesamiento, agrupamiento, clasificación, regresión, visualización y selección.  Permite combinar varios algoritmos basados en técnicas de minería de datos, para obtener mejores resultados en el descubrimiento de conocimiento.  Es capaz de mostrar los datos en varios tipos de gráficos con el objetivo de proporcionar una mejor comprensión y un mejor análisis. YALE RapidMiner La herramienta fue desarrollada en Java, en 2001, por el departamento de inteligencia artificial en la universidad de Dortmund. Es multiplataforma, es un software de código abierto GNU y con licencia GPL. La última versión, incluye características como las de implicar nuevos formatos de entrada de datos con operadores para Microsoft Excel y SPSS. Desde la perspectiva de la visualización, YALE ofrece representaciones de datos en dispersión en 2D y 3D; representaciones de datos en formato SOM (Self Organizing Map); coordenadas paralelas y grandes posibilidades de transformar las visualizaciones de los datos. De forma general, se puede decir que las herramientas de minería de datos de ORACLE y SQL Server son herramientas muy potentes, y que una de sus mayores fortalezas radica en la integración con el sistema gestor de base de datos. Sin embargo, ambas son herramientas propietarias y muy costosas para las empresas cubanas. Por otra parte, las herramientas como Weka y YALE Rapid Miner son herramientas libres, pero que tienen la desventaja de ser un proceso engorroso, puesto que requiere tiempo para la preparación, la vinculación de los datos con la herramienta, extendiendo así el tiempo de respuesta de los análisis.

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3. RESULTADOS Implementación del Algoritmo 1R El algoritmo 1R, propuesto por Robert C. Holte en 1993, es un clasificador muy sencillo, que únicamente utiliza un atributo para la clasificación. A pesar de que el autor lo cataloga como “Program 1R is ordinary in most respects.” sus resultados pueden ser muy buenos en comparación con algoritmos mucho más complejos y su rendimiento promedio está por debajo de los de C4.5 en solo 5,7 puntos porcentuales de aciertos de clasificación según los estudios realizados por el autor del algoritmo (HOLTE, 1993).

Figura 1- Pseudocódigo del algoritmo 1R

La implementación del algoritmo 1R se realizó utilizando el pseudocódigo mostrado en la figura 1. Esta función solo permite trabajar con tablas que tengan atributos nominales y en las que no debe haber atributos con valores desconocidos para obtener el resultado deseado. La función toma como entrada el nombre de la tabla y la clase sobre la cual se va a realizar el análisis y devuelve como resultado un conjunto de reglas para los atributos con la menor cantidad de errores. Implementación del algoritmo PRISM El algoritmo PRISM es un algoritmo de cubrimiento sencillo que asume que no hay ruido en los datos. Su objetivo es crear reglas perfectas que maximicen la relación p/t, siendo p la cantidad de ejemplos positivos cubiertos por la regla y t la cantidad de ejemplos cubiertos por la regla. (Chesñevar, 2009) Este algoritmo tiene la característica de eliminar los ejemplos que va cubriendo por las reglas conformadas, por lo cual las reglas deben mostrarse e interpretarse en el orden que se van cubriendo.

Figura 2: Pseudocódigo del algoritmo PRISM

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La implementación del algoritmo PRISM se realizó utilizando el pseudocódigo de la figura 2. Esta función solo permite atributos nominales y, para obtener el resultado deseado, no puede haber atributos con valores desconocidos.. La función toma como entrada el nombre de la tabla y la clase sobre la cual se va a realizar el análisis y devuelve como resultado un conjunto de reglas que se deben interpretar en el orden en que aparecen como lo estipula el algoritmo. Implementación del algoritmo ID3 El ID3, propuesto por J. R Quinlan en 1986, es un algoritmo simple y, a la vez potente, que permite elaborar un árbol de decisión como un método para aproximar una función objetivo de valores discretos, que es resistente al ruido en los datos y que es capaz de hallar o aprender de una disyunción de expresiones. Para construir el árbol, el algoritmo utiliza el análisis de la entropía, la teoría de la información (basada en la entropía) y la ganancia de información.

Figura 3 - Pseudocódigo del algoritmo ID3

La implementación de algoritmo ID3 se realizó utilizando el pseudocódigo de la figura 3. Esta función sólo permite trabajar con tablas que tengan atributos nominales y, para obtener el resultado deseado, no puede haber atributos con valores desconocidos. La función toma como entrada el nombre de la tabla y la clase sobre la cual se va a realizar el análisis y devuelve como resultado un conjunto de reglas derivadas del árbol de decisión. Mecanismo para optimizar el rendimiento de los algoritmos implementados. Generalmente las tablas sobre las que se realizan análisis de minería de datos cuentan con un gran volumen de información, lo que puede retrasar el resultado de dicho estudio. Una de las opciones que brinda PostgreSQL para mejorar el rendimiento en estos casos es el particionado de tabla, que permite obtener un mejor desempeño a la hora de consultar dichas tablas. El particionado de tablas es una técnica que consiste en descomponer una enorme tabla (padre) en un conjunto de tablas hijas. Esta técnica reduce la cantidad de lecturas físicas a la base de datos cuando se ejecutan las consultas. En PostgreSQL los tipos de particionado existentes son por rango y por lista (The PostgreSQL Global Development Group, 2011).

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 Particionado por rango: se crean particiones mediantes rangos definidos en base a cualquier columna que no se solape entre los rangos de valores asignados a diferentes tablas hijas.  Particionado por lista: se crean particiones por valores. En la presente investigación se implementa una función que permite realizar el particionado de la tabla según los valores de la clase (particionado por lista). Lo cual permite agilizar la búsqueda a la hora de clasificar. La función tiene como parámetro de entrada la tabla que se desea particionar y el nombre de la clase, creándose tantas particiones como valores tenga la clase. Las tablas padres creadas por la función tendrán como nombre la concatenación de máster más el antiguo nombre de la tabla y las tablas hijas tendrán como nombre la concatenación del antiguo nombre de la tabla más el valor de la clase por la cual se creó la partición. Integración de los algoritmos al SGBD PostgreSQL. A partir de la versión 9.1, PostgreSQL brinda facilidades para que los usuarios puedan crear, cargar, actualizar y administrar extensiones utilizando el objeto de base de datos EXTENSION (PostgreSQL, 2011). Entre las ventajas de esta nueva funcionalidad, se encuentra que, en lugar de ejecutar un script SQL para cargar objetos que estén “separados” en su base de datos, se tendrá la extensión como un paquete que contendrá todos los objetos definidos en ella, lo que trae gran beneficio al actualizarla o eliminarla, ya que, por ejemplo, se pueden eliminar todos los objetos utilizando el comando DROP EXTENSION sin necesidad de especificar cada uno de lo objetos definidos dentro de la extensión. Además de eso, se cuenta con un repositorio para obtener extensiones y contribuir con ellas (http://pgxn.org/). La integración de los algoritmos implementados con el SGBD se va a realizar mediante la creación de una extensión por las ventajas que PostgreSQL brinda para su creación. Creación de la extensión minería de datos Para crear la extensión, se deben crear dos archivos. En el primero se definen las características de la extensión ; en el segundo, los objetos SQL que se desean agregar. Estos deben ubicarse en el directorio de la instalación “C:\Archivos de programa\PostgreSQL\9.1\share\extension” En el archivo “mineria_datos.control” creado para agregar la extensión en que se cargaron las funciones de los algoritmos implementados se definieron los siguientes parámetros:     

comment: una breve descripción sobre el contenido de la extensión creada. Encoding: el tipo de codificación utilizado. default_version: la versión de la extension. relocatable: si se puede. schema: el esquema en que se almacenarán los objetos creados por la extensión.

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Figura 4 - Archivo que contiene las características de la extensión

Una vez que se haya definido el archivo “mineria_datos.control”, se especifica el archivo que contendrá el código de las funciones desarrolladas “mineria_datos-1.0.sql”

Figura 5 - Archivo que contiene el código y los objetos definidos en la extensión

Trabajo con la extensión de minería de datos. Para que los usuarios puedan utilizar la extensión de minería de datos, simplemente deben ejecutar el comando “CREATE EXTENSION mineria_datos” que cargará la extensión como se puede apreciar en la imagen 6.

Figura 6 - La extensión "mineria_datos" creada

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Para consultar las funciones agregadas por la extensión, se debe consultar, en el esquema pg_catalogo, la carpeta de funciones como se muestra en la figura 7.

Figura 7 - Funciones de la extensión "mineria_datos" ubicada en el esquema pg_catalogo

La extensión de minería de datos creada puede ser usada a partir de la versión 9.1 de PostgreSQL. Evaluación de los algoritmos implementados. Para validar los algoritmos, se diseñó un experimento definido por Roberto Hernández Sampieri 1 como "un estudio de investigación en el que se manipulan deliberadamente una o más variables independientes (supuestas causas) para analizar las consecuencias que la manipulación tiene sobre una o más variables dependientes (supuestos efectos), dentro de una situación de control para el investigador" (Martínez Valenzuela, 2007). En este caso, se definieron como variables independientes la cantidad de registros y la herramienta utilizada para aplicar la minería de datos. Como variables dependientes se identificaron el tiempo de respuesta y el resultado de los algoritmos. Para una mejor comprensión del diseño del experimento, se resume la definición operacional en las tablas 1 y 2.

1Dr

Roberto Hernández Sampieri Director del Centro de Investigación de la Universidad de Celaya y profesor en el Instituto Politécnico Nacional

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Tabla 1- Operacionalización de las variables independientes

Variable

Tipo de variable

Operacionalización

Categorías

cantidad registros

de Independiente

Cantidad de filas que posee la tabla que será analizada.

-

100002

-

500010

-

1000020

Herramienta

Particionado

Independiente

Independiente

Herramienta - Weka utilizada para aplicar - PostgreSQL( la minería de datos Algoritmos integrados SGBD ) Si la tabla a la que se van a aplicar los algoritmos de minería de datos está o no particionada

-

al

Particionado

-

No particionado

Tabla 2 - Operacionalización de las variables dependientes

Variable

Unidad de medida

Tiempo de respuesta

Intervalo de tiempo (segundos)

Resultados del algoritmo

Grado de acuerdo (sí o no)

Aplicación del experimento Para el entorno del experimento se seleccionó una computadora Haier con Procesador Intel Celeron 2000 MHz, una memoria RAM de 1024 MB y un disco duro de 120 Gb. Además se cuenta con el servidor de PostgreSQL 9.1, la herramienta PgAdminIII y Weka 3.6.7. Esta última fue seleccionada para la comparación, ya que, según el estudio realizado en el artículo “Herramientas de Minería de Datos” publicado en la revista RCCI, es la herramienta libre más conocida y más utilizada. Relación de la variable cantidad de registros con el tiempo de resultado. En este primer caso se va a realizar un estudio de cómo se comporta el tiempo de respuesta en las herramientas Weka y el gestor PostgreSQL cuando se manipula la variable cantidad de registros para cada uno de los algoritmos estudiados.

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Los tiempos de respuestas de Weka se van a medir desde el momento en que se establece la consulta para cargar los datos de la BD hasta el momento en que la herramienta brinda el resultado del algoritmo. Tabla 3 - Resultado de la manipulación de la variable cantidad de registros para el algoritmo 1R

cantidad de registros

Weka (1R)

PostgreSQL(1R)

100002

11,13

1,5

500010

17,24

8,18

1000020

---

16,43

En la tabla número 3 se puede observar que a medida que se fue incrementando la cantidad de registros los tiempos de análisis para el algoritmo 1R aumentaron y, en el caso de la herramienta Weka, los tiempos de respuestas resultaron superiores con respecto al análisis realizado mediante los algoritmos integrados al SGBD PostgreSQL. Para la categoría o nivel de 1000020 registros, los análisis no se pudieron efectuar con la herramienta Weka ya que esta retornó error debido a la gran cantidad de datos. Para una mayor comprensión de la información de la tabla 3, se representa la gráfica de la figura 8.

Figura 8 - Resultados de la variable cantidad de registros para el 1R

En la tabla 4 se puede apreciar que, del mismo modo que ocurrió con el algoritmo PRISM, a medida que se aumentaron la cantidad de filas, los tiempos de análisis se incrementaron. Para el caso de la categoría o nivel 500010 registros, la herramienta Weka tardó 3600 segundos ejecutando sin mostrar el resultado y, en el caso de 1000020, ocurrió error.

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Tabla 4 - Resultado de la manipulación de la variable cantidad de registros para el algoritmo PRISM

cantidad de registro

Weka(PRISM) PostgreSQL(PRISM)

100002

11,33

10,1

500010

3600

94,7

1000020

---

219,45

La figura 9 presenta los resultados del análisis realizado anteriormente.

Figura 9 - Resultados de la variable cantidad de registros para el PRISM

La la tabla 5 deja evidente, al igual que las tablas anteriores, la relación directamente proporcional entre la cantidad de registros y el tiempo de análisis del algoritmo ID3, resaltando los tiempos de la solución propuesta en la investigación que son menores. En la figura 10 se puede observar el gráfico de los resultados del análisis realizado en la tabla 5. Tabla 5: Resultado de la manipulación de la variable cantidad de registros para el algoritmo ID3

Cantidad de registro

Weka (ID3)

PostgreSQL(ID3)

100002

7,42

2,58

500010

23,78

14,36

1000020

---

41,19

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Figura 10 - Resultados de la variable cantidad de registros para el ID3

Relación de la variable cantidad de registros con las respuestas de los algoritmos. En el caso número 2 se analiza el comportamiento de la variable resultado de los algoritmos al manipular la cantidad de registros que serán analizados . Tabla 6 - Resultados de la relación entre la cantidad de registros y los resultados para el algoritmo 1R

Cantidad de registro

Weka (1R)

PostgreSQL(1R)

100002

Si

Si

500010

Si

Si

1 000020

No

Si

Tabla 7 - Resultados de la relación entre la cantidad de registros y los resultados para el algoritmo PRISM

Cantidad de registro

Weka(PRISM)

PostgreSQL(PRISM)

100002

Si

Si

500010

No

Si

1000020

No

Si

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Tabla 8 - Resultados de la relación entre la cantidad de registros y los resultados para el algoritmo ID3

Cantidad de registro

Weka (ID3)

PostgreSQL(ID3)

100002

Si

Si

500010

Si

Si

1000020

No

Si

Al analizar los resultados de las tablas 6, 7 y 8 se puede concluir que a medida que se incrementó la cantidad de registros se dificultó el análisis de los datos por medio de la herramienta Weka. Validación del mecanismo de particionado Para validar que el particionado de tabla propuesto mejora el rendimiento de los algoritmos, se crearán particiones en la tabla prueba_d, que cuenta con 8000160 registros.

Figura 11- Particionado de la tabla prueba_c

Como resultado del particionado, se obtienen 3 tablas masterprueba_d que es la tabla padre, prueba_dsi que contiene todos los registros que su case tiene valor “si” y prueba_dno los registros con valores “no”. Al aplicar el algoritmo 1R integrado al SGBD PostgreSQL sin crear particiones, el tiempo de respuesta es de 174,184 segundos y tras haber particionado la tabla, es de 149,98 segundo (véase el anexo 5). La figura 12 muestra cómo el análisis en la tabla particionada por el valor de la clase es menor que en la tabla normal, lo que demuestra que el mecanismo de particionado de datos agiliza el resultado del algoritmo 1R.

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Figura 12 - Comparación de los resultados de los análisis en tablas particionada y sin particionar

4. CONCLUSIONES Los resultados obtenidos en esta investigación permiten afirmar que: las técnicas de minería de datos árboles de decisión y reglas de inducción permiten obtener, como resultado final, reglas que, por sus características, son unas de las formas de representar que más se han divulgado y unas de las técnicas que las personas comprenden con mayor facilidad. Además se pudo evidenciar que las herramientas libres existentes de minería de datos tienen el inconveniente de ser independientes del SGBD, razón por la cual se implementaron tres algoritmos de técnicas de clasificación y se integraron al SGBD PostgreSQL a través de la creación de una extensión, lo que contribuye a la soberanía tecnológica del país y a que el gestor sea más competitivo. Asimismo, se desarrolló una función que permite aprovechar uno de los mecanismos de optimización del gestor para mejorar los resultados de respuesta de los algoritmos implementados. Los algoritmos implementados fueron validados por medio de un diseño de experimento que permitió observar que los tiempos de análisis de los algoritmos integrados al SGBD son menores que los resultados de la herramienta Weka. 5. RECOMENDACIONES Se deben integrar otros algoritmos de minería de datos al SGBD PostgreSQL de la técnica de Reglas de Asociación, ya que esta es tan descriptiva como las utilizadas en la investigación, además de figurar entre las más utilizadas. REFERENCIA BIBLIOGRÁFICA Chesñevar, C. I. (2009). datamining y aprendizaje automatizado. obtenido de http://cs.uns.edu.ar/~cic/dm2009/downloads/transparencias/05_dm%20(learning_rules). pdf

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Haberstroh, R. (2008). Oracle ® data mining tutorial for Oracle Data Mining 11g Release 1, Oracle. Heughes Escobar, V. (2007). Minería web de uso y perfiles de usuario: aplicaciones con lógica difusa. tesis de doctorado, Universidad de Granada. Holte, R. C. (1993). Very simple classification rules perform well on most commonly used datasets, Machine Learning, 11, 63-91, Kluwer Academic Publishers, Boston Maclennan, J., Tang, Z., & Crivat, B. (2009). Data mining with Microsoft SQL server 2008. Wiley Publishing, Inc., Indianapolis, Indiana. Martínez Valenzuela, V. Et al. (octubre de 2007). Diseño experimental. Universidad Autonoma de Baja California, obtenido de http://www.slideshare.net/hayimemaishte/diseo-experimental Molina López, J. M., & García Herrero, J. Técnicas de análisis de datos. Universidad Carlos III. Madrid. 4-5 Moreno, G. (octubre de 2007). Recuperado el enero de 2012, http://gamoreno.wordpress.com/2007/10/03/tecnicas-mas-usadas-en-la-mineria-dedatos/

de

Omar Ruiz, S. B. , Bauz. Sergio, Jimenez, Maria (2009). Aplicación de minería de datos para detección de patrones en investigaciones biotecnológicas. ESPOL, Ecuador http://www.dspace.espol.edu.ec/handle/123456789/4719 PostgreSQL. (12 de septiembre de 2011), The PostgreSQL Global Development Group obtenido de http://www.postgresql.org/about/press/presskit91/es/ Rodríguez Suárez, Yuniet; Díaz Amador, Anolandy. (2011) Herramientas de minería de datos. Revista Cubana de Ciencias Informáticas, [S.l.], v. 3, n. 3-4, oct.. ISSN 22271899. Disponible en: http://rcci.uci.cu/index.php/rcci/article/view/78 . Solarte Martínez, G. R. (2009). técnicas de clasificación y análisis de representación del conocimiento para problemas de diagnóstico. recuperado el diciembre de 2011, de http://www.utp.edu.co/php/revistas/scientiaettechnica/docsftp/222025177-182.pdf Soto Jaramillo, C. M. (2009). Incorporación de técnicas multivariantes en un sistema gestor de bases de datos. Universidad Nacional de Colombia http://www.bdigital.unal.edu.co/895/1/71335481_2009.pdf The PostgreSQL global development group. (2011). PostgreSQL 9.1.0 documentation. U Fayyad, G. P.-S. (1996). data mining and knowledge discovery in databases: an overview, communications of acm. obtenido de http://dl.acm.org/citation.cfm?id=240464 V.Ramesh, P. P. (agosto de 2011). Performance analysis of data mining techniques for placement chance prediction. recuperado el diciembre de 2011, de http://www.ijser.org/researchpaper%5cperformance-analysis-of-data-miningtechniques-for-placement-chance-prediction.pdf Vazquez Ortíz, Y., Mesa Reyes, Y., & Castillo Martínez, g. (2012). Comunidad técnica cubana de PostgreSQL: Arma para la migración del país a tecnologías de bases de datos de código. Uciencia.

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JISTEM Revista de Gestão da Tecnologia e Sistemas de Informação Journal of Information Systems and Technology Management Vol. 10, No. 2, 2013, p.407-455 ISSN online: 1807-1775 DOI: 10.4301/S1807-17752013000200013

RESULTADOS DO 10º CONTECSI – CONGRESSO INTERNACIONAL DE GESTÃO DA TECNOLOGIA e SISTEMAS DE INFORMAÇÃO OUTCOMES OF THE 10th CONTECSI – INTERNATIONAL CONFERENCE ON INFORMATION SYSTEMS AND TECHNOLOGY MANAGEMENT Edson Luiz Riccio University of Sao Paulo, São Paulo, São Paulo, Brazil Marici Cristine G. Sakata TECSI FEA USP, University of Sao Paulo, São Paulo, São Paulo, Brazil Nelma Terezinha Zubek Valente Universidade Estadual de Ponta Grossa, Ponta Grossa, Parana, Brazil Ligia Capobianco TECSI FEA USP, University of Sao Paulo, São Paulo, Brazil

ABSTRACT In this document, we aim to describe statistics, data and the importance of the 10th CONTECSI – International Conference on Information Systems and Technology Management, which took place at the University of São Paulo, during the dates of June 12th to 14th,organized by TECSI/EAC/FEA/USP. This report presents the statistics of the 10th CONTECSI, Goals and Objectives, Program, Plenary Sessions, Doctoral Consortium, Parallel Sessions, Honorable Mentions and Committees. We would like to point out the huge importance of the financial aid given by CAPES, CNPq and FAPESP, as well as the support of FEA USP, ANPAD, AIS, ISACA, Université Paris Quest Nanterre La Defense, Universidade do Porto, Rutgers School/USA, São Paulo Convention Bureau and CCINT-FEA-USP. Keywords: CONTECSI, Conference, Information Systems, Technology, University of São Paulo, Management

____________________________________________________________________________________ Edson Luiz Riccio, Professor Livre Docente da FEA USP, diretor do TECSI/FEA/USP e coordenador do 10º CONTECSI. Av. Prof. Luciano Gualberto, 908 FEA 3 São Paulo / SP / 05508-900 / E-mail: elriccio@usp.br Marici Gramacho Sakata, Mestre e Doutora em Ciência da Comunicação pela ECA USP. Pesquisadora do TECSI/FEA/USP / E-mail:mcsakata@usp.br Nelma Terezinha Zubek Valente, Mestre em Controladoria e Contabilidade pela FEA USP e Doutoranda em Ciência da Informação pela ECA USP. Pesquisadora do TECSI/FEA/USP. Professora da UEPG, Universidade Estadual de Ponta Grossa, Paraná, Brasil / E-mail: nzubek@usp.br Ligia Capobianco, pesquisadora do TECSI FEA USP, Universidade de São Paulo, São Paulo, Brasil / Email: ligiacapobianco@gmail.com ISSN online: 1807-1775 Publicado por/Published by: TECSI FEA USP – 2013


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RESUMO Procuramos relatar neste documento as estatísticas, os dados e a importância do 10º CONTECSI – International Conference on Information Systems and Technology Management - Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação, realizado nos dias 12, 13 e 14 de junho de 2013 pelo TECSI/EAC/FEA/USP na Universidade de São Paulo. Este relatório apresenta: Estatísticas do 10º CONTECSI, Justificativas e Objetivos, Programa, Sessões Plenárias, Consórcio Doutoral e Master Colloquium, Sessões paralelas de apresentação de trabalhos, Menção Honrosa e Comitês. Salientamos a grande importância do auxílio financeiro recebido da CAPES, FAPESP e FEA USP e o apoio da ANPAD, AIS, ISACA, UNIVOVE Université Paris Quest Nanterre La Defense, Universidade do Porto, Rutgers School/USA, São Paulo Convention Bureau, e CCINT-FEA-USP. Palavras-Chave: CONTECSI, Congresso Internacional, Gestão de Tecnologia, Sistemas de Informação, Administração

ESTATÍSTICAS DO 10º CONTECSI: Tabela comparativa – 1º, 2º, 3º, 4º, 5º, 6º, 7º, 8º, 9º e 10º CONTECSI

Trabalhos Recebidos Total de Trabalhos Aceitos - Em Sessão Paralela, Fórum de Pesquisa, Consórcio Doutoral e Comunicações Participantes Sessões Paralelas/Forum Estados Brasileiros Representados Países Representados

1º 100 90

2º 146 129

3º 210 177

4º 310 219

5º 315 246

6º 265 199

7º 370 233

8º 331 185

9º 10º 354 350 256* 238*

130 24 11 8

170 29 13 7

232 42 17 15

274 42 17 15

309 42 16 13

360 47 20 12

350 47 19 14

360 44 18 10

380 361 47 49 22 17 18 15

* Nesta edição, foram aceitos trabalhos para Master Colloquium e Sessão de Posters

Palestrantes Internacionais Apoio de Agência de Fomento Apoio de Instituições e Associações Profissionais

10º

2

5

19 (*)

4

7

10 (**)

5 (***)

9 (****)

7 (+)

10 (++)

0

BNDE S CNPQ

BNDES CAPES

6

4

5

CAPES CAPES FAPESP FAPESP

CAPES CNPq

CAPES FAPESP

CAPES CAPES CAPES CNPq CNPq FAPESP FAPESP FAPESP 6

7

7

8

7

7

7

* Apoio/Parceria da UNINOVE (*) Inclui palestrantes do evento conjunto internacional 11th World Continuous Auditing Conference. (**) Inclui palestrantes do evento conjunto internacional 18th World Symposium of Continuous Auditing Systems on Financial Institutions. (***) Inclui palestrantes do evento conjunto internacional 20th World Symposium of Continuous Auditing Systems on Financial Institutions. (****) Inclui palestrantes do evento conjunto internacional 22th World Symposium of Continuous Auditing Systems on Financial Institutions.

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(+) Inclui palestrantes do evento conjunto internacional 25th World Symposium of Continuous Auditing and Reporting Systems Symposium (++) Inclui palestrantes do evento conjunto internacional 27th World Symposium of Continuous Auditing and Reporting Systems Symposium

Authors by origin and research topic - Autores por origem e temática

A) JUSTIFICATIVAS E OBJETIVOS

O 10º CONTECSI International Conference on Information Systems and Technology Management dá continuidade a um dos primeiros eventos desta área,

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focados na Gestão da Tecnologia e Sistemas de Informação sob uma visão multidisciplinar. O CONTECSI tem reunido, com sucesso, acadêmicos e profissionais envolvidos com a temática de gestão da tecnologia e sistemas de informação para discussão do estado da arte deste campo. O 10º CONTECSI contou com a presença de palestrantes de renome, tendo, nesta edição, um total de 238 trabalhos apresentados em 49 sessões paralelas em que se discutiram os efeitos da Tecnologia e dos Sistemas de Informação na Sociedade e nas Organizações. Seu principal objetivo foi promover o relacionamento entre as diversas comunidades envolvidas: a que produz, a que implementa, a que utiliza, a que regulamenta e a que pesquisa o tema em questão. A presença de renomados palestrantes e pesquisadores nacionais e internacionais permitiu uma integração entre a comunidade acadêmica e profissional, ampliando o interesse na pesquisa, no compartilhamento de informações atualizadas e das práticas utilizadas. O Congresso foi aberto pelo diretor da Faculdade de Economia, Administração e Contabilidade - FEA-USP, Prof. Dr. Reinaldo Guerreiro. Os detalhes sobre o desenvolvimento do evento cujas atividades aconteceram nas instalações da FEA 1 e FEA 5 localizadas na FEA-USP, Cidade Universitária, Campus da Capital, São Paulo/SP, podem ser acompanhadas por meio do Programa do evento apresentado a seguir. PROGRAM | PROGRAMA

WEDNESDAY JUNE 12TH |QUARTA-FEIRA 12 DE JUNHO 8h– 17h

Registration at FEA 1 Hall | Credenciamento - FEA 1 Congregation Hall | Sala da Congregação

9h– 9h45

Opening Ceremony | Cerimônia de Abertura Welcoming Addresses – Saudações de Boas Vindas Prof. Dr. Grandino Rodas Prof. Dr. Reinaldo Guerreiro Prof. Dr. Edson Luiz Riccio Banda da 2a. Divisão de Exército, Regência Tenente Gedolim AUDITORIUM FEA 5 | AUDITÓRIO FEA 5 Master of Ceremony – Mestre de Cerimonia – Sr. Renato Campaña

9h45–11h15

Keynote Speaker: Niels Bjørn-Andersen, Ph.D. Copenhagen Business School, Denmark, AIS – Association for Information Systems Representative “Using IT for Creating the 21st Century Organization: The Case of Ambient Organizations” Chair: Prof. Dr. Nicolau Reinhard FEA USP

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AUDITORIUM FEA 5 | AUDITÓRIO FEA 5

11h15–11h30

Coffee Break - FEA 1 1st. Floor | 1º piso ICTs in Government: what’s next? From x-Government to helpful Government: A joint side event of the 13th European Conference on eGovernment and the 10th International Conference on Information Systems and Technology Management

11h30– 13h

Panelists COMO, ITALY: Gianluca Misuraca, European Commission, JRC-IPTS, Seville, Spain, Antonio Cordella, London School of Economics, London, UK Mirko Vitar, University of Ljubljana, Slovenia SAO PAULO: Marijn Janssen, Delft University of Technology, The Netherlands, Edson Luiz Riccio, University of Sao Paulo, João Batista Ferri de Oliveira, Ministério do Planejamento, Orçamento e Gestão Chair: Walter Castelnovo, University of Insubria, Italy, Edson Luiz Riccio, USP.

13h– 14h

Lunch - FEA 1 – 1st Floor | Almoço – FEA 1 – 1º piso

14h– 16h

Parallel sessions, research forum | Sessões Paralelas, Fórum de Pesquisa ROOMS FEA 1 | SALAS FEA 1 • SESSION 1A – KMG - Knowledge Management and Business - PP Intelligence ROOM|SALA 1 • Chair|Moderator: Maria Ludovina Ap. Quintans • SESSION 1B - SOC Social Issues in IS and IT PP - PS ROOM|SALA 2 • Chair|Moderator: Paulo Henrique Mansur • SESSION 1C – ITM Information Technology Management RF ROOM|SALA 3 • Chair|Moderator Janilson Antonio Suzart • SESSION 1D – ISM Information Systems Management RF ROOM|SALA 4 • Chair|Moderator: Gilberto Perez • SESSION 1E – ESD Engineering and Software Development PP ROOM|SALA5 • Chair|Moderator: Denis Lima e Alves SESSION 1F – E-GOV E-governance and Public Policies PP ROOM|SALA6 • Chair|Moderator: Nildes Raimunda Pitombo Leite • SESSION 1G – HEA IS and IT in HealthCare RF ROOM|SALA 6 • Chair|Moderator: Alexandre Stürmer Wolf

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• SESSION 1H – AIS Accounting and Enterprise Information Systems PP ROOM|SALA 7 • Chair|Moderator Adriano Dinomar Barp

16h–16h15

16h15–18h15

Coffee Break - FEA 1 1st. Floor | 1º piso

THE ACTIONS OF “ILHA DA CIÊNCIA” LABORATORY AS A VECTOR OF SCIENTIFIC AND ITINERANT EDUCATION POPULARIZATION IN THE STATE OF MARANHÃO AS AÇÕES DO LABORATÓRIO ILHA DA CIÊNCIA COMO VETOR DE POPULARIZAÇÃO CIENTÍFICA E EDUCAÇÃO ITINERANTE NO ESTADO DO MARANHÃO

Antonio José Silva Oliveira, Vice Reitor da UFMA, Ana Maria Nélo, Professora UFMA, Carlos Cesar Costa, ROOM|SALA 7 • SESSION 2A – KMG Knowledge Management and Business Intelligence RF ROOM|SALA 1 • Chair|Moderador: Enock Godoy de Souza • SESSION 2B – EDU IS and IT Education and Curriculum Development RF ROOM|SALA 2 • Chair|Moderador: André Grützmann • SESSION 2C – ITM Information Technology Management PP ROOM|SALA 3 • Chair|Moderador: Simone Borges Paiva • SESSION 2D – ISM Information Systems Management PP ROOM|SALA 4 • Chair|Moderador: Emerson Antonio Maccari • SESSION 2E – ESD Engineering and Software Development PP ROOM|SALA 5 • Chair|Moderador: Janilson Antonio da Silva Suzart • SESSION 2F – ICT Information and Communication Technology – Information Science PP ROOM|SALA 6 • Chair|Moderador: Vinícius Costa da Silva Zonatto • SESSION 2G – PAINEL/POSTER - POSTER Session ROOM|SALA 7 • Chair|Moderador: Daielly Melina Nassif Mantovani • SESSION 2H – AIS Accounting and Enterprise Information Systems PP ROOM|SALA 8 • Chair|Moderador: Antonio Jose Balloni • SESSION 2I ISM-ENG Information Systems Management PP ROOM|SALA 9

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THURSDAY JUNE 13TH | QUINTA-FEIRA 13 DE JUNHO 9h–10h15

Painel – E GOVERNMENT Keynote Speaker: Prof Marijn Janssen, PhD, Delft University of Technology, The Netherlands Chair: José Antonio Gomes de Pinho, NPGA-Escola de Administração UFBA

10h15–10h30

Coffee Break FEA 1 – 1st Floor | 1º Andar Book release – Congregation Hall Sala da Congregação FROM 10H30 TO 18H30 THE 27th WCARS WILL BE HELD AT THE AUDITORIUM, SEE PROGRAM BELOW. DAS 10H30 AS 18H30, O 27th WCARS OCORRERÁ SIMULTANEAMENTE NO AUDITÓRIO, VEJA ABAIXO A PROGRAMAÇÃO

11h–12h

PUBLISHING YOUR RESEARCH PAPER Prof Marijn Janssen Prof Niels Bjørn-Andersen Prof Donald O Case Congregation Hall | Sala da Congregação

12h–13h

Luncheon FEA 1 - 1st Floor | Almoço FEA 1 - 1º Andar

13h–15h15

Parallel Sessions, Research Forum | Sessões Paralelas, Fórum de Pesquisa ROOMS FEA 1 | SALAS FEA 1 • SESSION 3A – KMG Knowledge Management and Business Intelligence PP ROOM|SALA 1 • Chair|Moderator: Carla Zandavalli • SESSION 3B – EDU IS and IT Education and Curriculum Development ROOM|SALA 2 • Chair|Moderator: Cristian Baú Dal Magro • SESSION 3C – ITM Information Technology Management RF ROOM|SALA 3 • Chair|Moderator: José Alfredo Ferreira Costa • SESSION 3D – ISM Information Systems Management PP ROOM|SALA 4 • Chair|Moderator: Marilu Nunez Palomino • SESSION 3E – ESD Engineering and Software Development RF

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ROOM|SALA 5 • Chair|Moderator: Maria Jose Carvalho de Souza Domingues • SESSION 3F – AIS Accounting and Enterprise Information Systems PP ROOM|SALA 6 • Chair|Moderator: Douglas de Lima Feitosa • SESSION 3G – ISM Information Systems Management RF ROOM|SALA 7 • Chair|Moderator: Osmarina Pedro Garcia Garcia • SESSION 3H – ITM Information Technology Management ROOM|SALA 8 • Chair|Moderator: Oscar Bombonatti Filho

15h15–15h30 15h30–18h

Coffee Break - FEA 1 1st. Floor | 1º piso

Parallel Sessions, Research Forum | Sessões Paralelas, Fórum de Pesquisa ROOMS FEA 1 | SALAS FEA 1 • SESSION 4A – HEA IS and IT in HealthCare PP ROOM|SALA 1 • Chair|Moderador: Gilson Ludmer • SESSION 4B – EDU IS and IT Education and Curriculum Development PP ROOM|SALA 2 • Chair|Moderator: Mehran Misaghi • SESSION 4C – ITM Information Technology Management PP ROOM|SALA3 • Chair|Moderator: Cristiane Drebes Pedron • SESSION 4D – ISM Information Systems Management RF ROOM|SALA 4 • Chair|Moderator: Paula Guadanhim Generoso • SESSION 4E – ISM-ENG Information Systems Management PP ROOM|SALA 5 • Chair|Moderator: Joshua O. Imoniana e Rina Zavier Pereira • SESSION 4F – E-GOV E-governance and Public Policies ROOM|SALA6 • Chair|Moderator: Fernando Zaidan • SESSION 4G – XBRL XBRL and Enterprise Onthology ROOM|SALA 7 • Chair|Moderator: Luís Felipe de Souza Salomão • SESSION 4H – AIS Accounting and Enterprise Information Systems RF ROOM|SALA 8 • Chair|Moderator: Adriano Dinomar Barp

19h–22h

OFFICIAL DINNER | JANTAR DE CONFRATERNIZAÇÃO Forneria Canto da Mata

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MASTER COLLOQUIUM AND DOCTORAL CONSORTIUM THURSDAY JUNE 13TH | QUINTA-FEIRA 13 DE JUNHO Congregation Hall | Sala da Congregação DOCTORAL CONSORTIUM - INFORMAÇÃO CONTÁBIL NA PERSPECTIVA DA CIÊNCIA DA INFORMAÇÃO: ATRIBUTOS DE QUALIDADE A PARTIR DOS ESTUDOS DE USUÁRIOS 9h–10h15

Nelma T Zubek Valente DOCTORAL CONSORTIUM - AVALIANDO A PERCEPÇÃO DE DESEMPENHO DA COLABORAÇÃO EM FUNÇÃO DOS PAPÉIS EXERCIDOS PELO CONSUMIDOR Kumiko Oshio Kissimoto

10h15–10h30

Coffee Break FEA 1 – 1st Floor | 1º Andar

10h30–11h

Book release - Lançamento • Coletanea Luso-Brasileira Vol 3 – Francisco Severo, Armando Malheiro • Handbook of Research on ICTs for Human-Centered Healthcare and Social Care Services – George Leal Jamil

11h–12h

PUBLISHING YOUR RESEARCH PAPER Prof Marijn Janssen, TU Delft Prof Niels Bjørn-Andersen, CBS, Prof Donald O Case, Univ Kentucky Congregation Hall | Sala da Congregação

12h–13h

Luncheon FEA 1 - 1st Floor | Almoço - FEA 1 - 1 º Andar DOCTORAL CONSORTIUM O (MDAOC) MODELO DESENVOLVIMENTISTA DE AVALIAÇÃO E ORIENTAÇÃO DE CARREIRA DE SUPER, APLICADO À TRANSFERÊNCIA DO CONHECIMENTO TÁCITO NA LINHA SUCESSÓRIA DE EMPRESAS FAMILIARES Leandro de Oliveira Ferreira

13h–15h15

DOCTORAL CONSORTIUM - A PRESENÇA SOCIAL NO E-LEARNING: DIAGNÓSTICO ON-LINE DO PERFIL DO ESTUDANTE Euro Marques Júnior MASTER COLLOQUIUM - AVALIAÇÃO SOBRE A INTERAÇÃO ENTRE PÚBLICO E ORGANIZAÇÕES PÚBLICAS EM REDES SOCIAIS ACESSADAS POR DISPOSITIVOS MÓVEIS Camila Mariane Costa Silva

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27th WCARS - WORLD CONTINUOUS AUDITING AND REPORTING SYSTEMS SYMPOSIUM THURSDAY JUNE 13TH | QUINTA-FEIRA 13 DE JUNHO

10h15-10h30

Welcome Coffee

FEA 1 - 1st Floor | FEA 1 - 1 º Andar

AUDITORIUM FEA 5 | AUDITÓRIO FEA 5

10h30-10h45

OPENNING CEREMONY | Abertura do 27th World Continuous Auditing and Reporting Systems Symposium Prof. Dr. Miklos Vasarhelyi, Director – Rutgers Accounting Research Center & Continuous Prof. Dr. Edson Luiz Riccio – Professor da FEA da Universidade de São Paulo

10h45- 11h45

The Audit Data Standard and Learnings from XBRL Palestrante: Prof. Dr. Michael Alles, Department of Accounting & Information Systems, Rutgers Business School Debatedor: Prof. Dr. Miklos Vasarhelyi, Director – Rutgers Accounting Research Center & Continuous Moderador: Prof. Dr. Edson Luiz Riccio – Professor da FEA da Universidade de São Paulo

11h45-12h45

Text Analytics for the External Audit Palestrante: Kevin Moffitt, Department of Accounting & Information Systems, Rutgers Business School Debatedor: Prof. Dr. Miklos Vasarhelyi, Director – Rutgers Accounting Research Center & Continuous

12h45-13h45

Lunch FEA 1 - 1st Floor | Almoço FEA 1 - 1 º Andar

13h45-14h45

XBRL IMPLEMENTATION IN BRAZIL Palestrantes: Prof. Dr. Edson Luiz Riccio, FEA USP/Coordenador do Comitê Técnico XBRL Brasil (CFC), Dr. Paulo Caetano da Silva, Universidade de Salvador- Member of XBRL Certification Board e Banco Central do Brasil, Profa. Cecilia GeronPraesum/FEA USP, Liv Apneseth Watson, Executive Advisor at WebFilings, LLP

14h45-15h30

Monitoramento Contínuo com foco em Prevenção a Fraudes Palestrante: Ivo Cairrão – Diretor Presidente na Iaudit Assessoria Empresarial e membro fundador da ACFE Brasil – Association of Certified Fraud Examiners

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15h30-15h45

Coffee Break FEA 1 – 1st Floor | 1º Andar

15h45-16h30

Projeto de Integração para Análise Eletrônica de Notas Fiscais Palestrante: Cristiano Borges – Gerente Debatedor: Gustavo Galegale – Diretor do ISACA

16h30-17h30

da

PWC

Painel: Estudos de Caso de Implantação de Auditoria Contínua Painelistas: Ana Paula Tomé - Gerente de Compliance da Spinelli S/A CVMC Luis Pires – Gerente de Auditoria da Camargo Corrêa Moderador: Cristiano Borges – Gerente da PWC

17h30-17h45 19h-20h30

ENCERRAMENTO Coordenadores do Evento JANTAR DE ENCERRAMENTO - Transfer FEA/USP sairá às 18h30

FRIDAY JUNE 14TH | SEXTA-FEIRA 14 DE JUNHO 9h–10h30

INFORMATION SCIENCE PANEL "Quero saber, mas não quero saber":

Information Avoidance and Related Phenomena in an Age of Ubiquitous Information International Speakers: Donald Owen Case Chair: Profa Dra. Sueli Mara Soares Pinto Ferreira, Diretora do SIBI – Sistema Integrado de Bibliotecas - USP Debatedora Prof. Dra. Nanci Oddone, Universidade Federal do Estado do Rio de Janeiro (UNIRIO) Membro da Mesa: Prof. Dr. Armando Malheiro, Univ. Porto, Portugal AUDITORIUM FEA 5 | AUDITÓRIO FEA 5

10h30–10h45

Coffee break

FEA 1 - 1st Floor | FEA 1 - 1º Andar

10h45–12h

INFORMATION BEHAVIOUR IN INFORMATION AGE Prof. Dr. Armando Malheiro, Univ. Porto, Portugal Prof. Dr. Donald O Case, Univ. Kentucky, USA Prof. Dr. Luc Quoniam, Univ. Paris 8, France AUDITORIUM FEA 5 | AUDITÓRIO FEA 5

12h–13h

Luncheon FEA 1 - 1st Floor | Almoço - FEA 1 – 1º Andar

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13h–15h

Parallel sessions, research forum | Sessões Paralelas, Fórum de Pesquisa ROOMS FEA 1 | SALAS FEA 1 SESSION 5A – INV IS and IT Innovation and Change RF ROOM|SALA 1 • Chair|Moderator: Gilberto Perez SESSION 5B – NET Virtual Communities and Social Networks PP ROOM|SALA 2 • Chair|Moderator Rogerio Salles Loureiro SESSION 5C – ITM Information Technology Management RF ROOM|SALA 3 • Chair|Moderator Kumiko Oshio Kissimoto SESSION 5D – INT Internet PP ROOM|SALA 4 • Chair|Moderator : Márcio de La Cruz Lui SESSION 5E – ESD Engineering and Software Development ROOM|SALA 5 • Chair|Moderator: Carlos Eugênio Palma da Purificação SESSION 5F – COMM Communication papers ROOM|SALA 6 • Chair|Moderator : Nelma Zubek SESSION 5G – ICT Information and Communication Technology – Information Science RF ROOM|SALA 7 • Chair|Moderator: Antonio Carlos dos Santos SESSION 5H – AIS Accounting and Enterprise Information Systems PP ROOM|SALA 8 • Chair|Moderator : Adolfo Alberto Vanti

15h–15h15

Coffee break FEA 1 - 1st Floor | FEA 1 – 1ºAndar

15h15–17h

Parallel sessions, research forum|Sessões Paralelas, Fórum de Pesquisa ROOMS FEA 1 | SALAS FEA 1 SESSION 6A – INV IS and IT Innovation and Change PP ROOM|SALA 1 • Chair|Moderator: Alexandre Cappellozza SESSION 6B – KMG Knowledge Management and Business Intelligence PP ROOM|SALA 2 • Chair|Moderator Alair Helena Ferreira SESSION 6C – ITM Information Technology Management ROOM|SALA 3 • Chair|Moderator Carla de Almeida Martins Basso SESSION 6D – ISM Information Systems Management PP ROOM|SALA 4 • Chair|Moderator: Leandro Patah SESSION 6E – AUD Systems Auditing and IT Governance PP ROOM|SALA 5 • Chair|Moderator Jose Dutra de Oliveira Neto

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Resultados do 10º. CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 419 /Congresso Internacional de Gestão da Tecnologia de Informação e Sistemas de Informação

SESSION 6F – COMM Communication papers ROOM|SALA 6 • Chair|Moderator: Adicineia Aparecida de Oliveira SESSION 6G – E-COM E-business and E-commerce ROOM|SALA 7 • Chair|Moderator:Carlos Eduardo Lourenço SESSION 6H – AIS Accounting and Enterprise Information Systems RF ROOM|SALA 8 • Chair|Moderator:Anatália Saraiva Martins Ramos

17h-18h

BEST

PAPER

AWARD

&

CLOSING

CEREMONY

|

MELHORES TRABALHOS DO 10º CONTECSI E ENCERRAMENTO LANÇAMENTO E APRESENTAÇÃO DO OBSERVATÓRIO USP CONTECSI Musical Performance - Apresentação Musical AUDITORIUM FEA 5 | AUDITÓRIO FEA 5

B) SESSÕES PLENÁRIAS

USING IT FOR CREATING THE 21STCENTURY ORGANIZATION: THE CASE OF AMBIENT ORGANIZATIONS Niels Bjorn - Andersen IT and telecommunication have influenced organizations for the last 50 years through automation, reengineering of business processes, outsourcing, and the use of interorganizational systems for partnering with other organizations to deliver more and more value to customers. This tendency has accelerated in the last few years, and will dramatically change organizational structures and entire industries. The near future promises unlimited IT processing power, data storage capacity and communication bandwidth for the individual making it more effective to create new organizational forms due to the dramatic reduction in transaction costs of sourcing rather than producing oneself. The balance between what the company will choose to produce itself will change in direction of buying much more. The presentation will provide a taxonomy for looking at different sourcing arrangements from shared service centers and company owned profit centers over different types of outsourcing (on-shore, near shore, off-shore) to cloud computing and crowd sourcing. Based on this, it will be demonstrated how all organizational activities in principle may be sourced from others, and it will be illustrated how innovative firms are utilizing these new innovative sourcing arrangements creating what we have termed ‘Ambient Organizations’. This

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will create exciting new possibilities for IT professionals to contribute to this key strategic development. ICTS IN GOVERNMENT: WHAT’S NEXT? Panelists: In Como: Gianluca Misuraca, European Commission, JRC-IPTS, Seville, Spain Antonio Cordella, London School of Economics, London, UK Mirko Vitar, University of Ljubljana, Slovenia In Sao Paulo: Edson Luiz Riccio, University of Sao Paulo, Brazil Marijn Janssen, Delft University of Technology, The Netherlands Chair: Walter Castelnovo, University of Insubria, Italy During the past decade, huge investments have been made worldwide with the aim of improving government through the use of ICTs. This has been done under a plethora of different headings that have been invariably claimed to refer either to something completely new for government or to something that would add a further value to government. Thus, during the years we saw many projects, reports, papers and discussions on electronic government, transformational government, mobile government connected government, collaborative government, networked government, ubiquitous government, smart government, open government, and on still other x-gov concepts as well. Whether all these efforts to improve government through the use of ICT really succeeded in realizing their promises is still an open question, one that is attracting a growing interest as shown by the discussions on the so-called egovernment paradox and performance paradox. Indeed, rephrasing President Obama’s words, the question to ask today is not how much innovative or technologically up to date Government is, but “whether it works - whether it helps families find jobs at a decent wage, care they can afford, a retirement that is dignified. Where the answer is yes, we intend to move forward. Where the answer is no, programs will end.” (President Obama Inaugural Address, 20th January 2009) Based on a critical appraisal of what has been done in the past, the aim of the panel is to discuss from different point of views how ICTs can contribute to make government really helpful, beyond the technological hype. The panel is conceived as an open forum to which all the participants can contribute by sharing ideas, reflections and experiences. For this reason, based on their knowledge the panelists will be asked to suggest what they think are the topics that more deserve a critical reflection and to give to the participants some insights on them. Participants will then be given the opportunity to discuss the panelists’ suggestions by joining a virtual community hosted by the University of Insubria. The discussion among the members of the community will be open until the end of June. After that the content of the discussion will be made available to the general public.

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Resultados do 10º. CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 421 /Congresso Internacional de Gestão da Tecnologia de Informação e Sistemas de Informação

THE CHANGING BOUNDARIES OF GOVERNMENT: THE IMPACT OF TECHNOLOGY ON PUBLIC GOVERNANCE Prof. Dr. Marijn Janssen Faculty of Technology, Policy and management, Delft University of Technology, Netherlands Antoni van Leeuwenhoek-professor of ICT & Governance Program director SEPAM (www.tbm.tudelft.nl/sepam) One of the central problems governments face is the need to respond to societal demands, but that they cannot respond quickly. Society expects that government take care of their well-being and for example ensure that meat and other food is not polluted, hospitals perform their operations at a high level, tax payers money is spend well, fraud is detected, imported goods are checked and so on. Almost every major societal issue today is a technology issue at its core and information is key. Due to the technologies like social media, semantic technologies the traditional relationship between the government and its constituents are changing. Government can make use of technologies to introduce new infrastructures and to collect more information for ensuring that businesses are compliant with regulations. They use new technologies for tracking and rely on the information found in the systems of citizens and businesses who act as sensors for detecting anomalies. At the same time governments are opening data and citizens use social media to discuss societal challenges. They can provide input and even make recommendations for improvement. This results in a change in the traditional boundaries between the government and the public. Activities which were traditionally conducted by the government are now conducted by the public. Governments act as orchestrators using platforms to coordinate the activities with the many stakeholders. Using examples the changing of the traditional boundaries will be illustrated. The impact of technology on public governance and the redefining of tasks will be discussed to increase the understanding of the changing role of government. “QUERO SABER, MAS NÃO QUERO SABER”: INFORMATION AVOIDANCE AND RELATED PHENOMENA IN AN AGE OF UBIQUITOUS INFORMATION by Donald O. Case, Professor, College of Communication and Information, U. of Kentucky “Men, by nature, desire to know,” said Aristotle. Much of social research, and perhaps all of information systems research, assumes that people actively seek information to address particular questions. Yet we know that people may avoid information if paying attention to it might cause mental discomfort. Many psychological concepts are relevant to the decision not to learn, acknowledge, or act upon, uncomfortable facts: repression, denial, avoidance, distraction, escape, selective exposure, cognitive consistency, coping, terror management, uncertainty management, and uncertainty navigation, to name the more prominent labels. How do each of these

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concepts relate to a decision, or tendency, not to seek information? What are the implications for humans looking for information to make choices in their daily lives? This presentation discusses the history of thinking about avoidance, mainly in the discipline of psychology, but also in communication, information science, healthcare, management, political science and the arts. The relevance of avoidance to studies of Human Information Behavior is explained, that is, how it fits with other topics and practices investigated by information scientists. A special emphasis is given to research in medicine and public health, where many studies show that avoiding threatening information is a common way of coping. The presentation concludes with some practical advice for our own lives—how each of us can become more aware of our tendency to escape unpleasant realities, and instead use feedback to improve our knowledge and performance.

SESSÃO PLENÁRIA EM CIÊNCIA DA INFORMAÇÃO COMPORTAMENTO INFORMACIONAL NA ERA DA INFORMAÇÃO Armando Malheiro da Silva , Universidade do Porto, Portugal Na sequência do que tem sido habitual nas Sessões Plenárias dedicadas à Ciência da Informação foi escolhido um tema específico para a sessão da presente edição do CONTECSI. Tema esse que começou de forma pioneira no primeiro quartel do séc. XX com os chamados Estudos de Utilizadores centrados nas novas bibliotecas especializadas e universitárias que começaram a surgir, em especial no universo angloamericano e, só mais tarde, seria cunhado o termo e o conceito de Comportamento Informacional, que é considerado, no âmbito da Ciência da Informação, trans e interdisciplinar que se ensina e desenvolve na Universidade do Porto, uma das suas áreas constitutivas essenciais, a par da Produção e da Organização e Representação da Informação. Em sentido amplo, há quem aplique o conceito em causa ao ciclo infocomunicacional completo desde a gênese dos fluxos informacionais até seu uso e reprodução, incluindo as áreas da produção e da organização da informação no bojo do comportamento da informação, mas há uma acepção mais restrita que usamos e que se cinge mais especificamente às práticas de busca e de seleção, uso e transformação da informação buscada e mediada pelos sistemas de informação (em lato e estrito senso). Nesta sessão pretende-se apresentar uma discussão sobre estas nuances semânticas do conceito operatório e mostrar como os estudos de comportamento informacional serão cada vez mais estratégicos e essenciais na Era da Informação em que estamos por forma a compreendermos melhor perfil, necessidades complexas, contextos e objetivos dos utilizadores de informação agindo individual e em grupos, nomeadamente na infoesfera.

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Resultados do 10º. CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 423 /Congresso Internacional de Gestão da Tecnologia de Informação e Sistemas de Informação

PUBLISHING YOUR RESEARCH PAPER Publicar artigos é a principal forma de mostrar os resultados de uma pesquisa para a comunidade acadêmica e científica. Neste painel, organizado pelo CONTECSI, pesquisadores de renome compartilham suas experiências com os participantes do CONTECSI, principalmente mestrandos e doutorandos dos programas de pósgraduação dos diversos Estados Brasileiros e demais paises presentes. No 10th CONTECSI, os painelistas convidados foram: Marijn Janssen Marijn Janssen is associate editor of Government Information Quarterly. GIQ is one of the leading international journals at the intersection of policy, information technology, government, and the public. In particular, GIQ focuses on how policies affect government information flows and the availability of government information; the use of technology to create and provide innovative government services; the impact of information technology on the relationship between the governed and those governing; and the increasing significance of information policies and information technology in relation to democratic practices. Niels Bjørn-Andersen Copenhagen Business School, Professor of Information Sysyems Department of IT Management, http://www.cbs.dk/staff/nba. Niels Bjørn-Andersen was professor at CBS since 1987, focusing on the aspect of organizational / managerial technology, not on the technology aspect itself. He is generally recognized as the founder of the sociotechnical research in IT in Denmark. He received the highest academic award, the AIS Major Award of the Association of Information Systems, a global organization formed by more than 5,000 teachers who work with information systems, including IT Management. This award was given only to five Europeans since its creation in 1999, and two of them are dead. He has published 22 books, more than 60 refereed journal articles and book chapters and over 150 other publications. He won more than 30 major research grants, including a € 5.9 million project on trade facilitation of EU and a DKK 40 million in total for "development of ERP-systems' (including a DKK 12,9 concession Højteknologifonden). For most of these grants, he was project leader. Donald Owen Case School of Information Science and Library - Communicarions and Information Studies - University of Kentucky, Donald O. Case holds a Ph.D. in Communication Research from Stanford University (1984) and MLS from Syracuse University (1977). He held the position of Professor at the University of Kentucky College of Communication and Information Studies since 1994, between 1983 and 1994 Case was a faculty member at the University of California, Los Angeles. During 1989 he received a Fulbright grant to teach at the New University of Lisbon, Portugal. His research

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interests include the behavior of information, social computing and information policy. The first edition of the book, looking for information: A Research Study on Information Seeking, needs and behavior (2002) was given the "Best Book of the Year", Award of the American Society for Science, Information Technology. A POPULARIZAÇÃO DE CIÊNCIA E O PAPEL DOS SISTEMAS DE INFORMAÇÕES Profa. Ana Maria Nélo Prof. Antonio José Silva Oliveira O trabalho de Popularização de Ciência na área de Negócios foi integrado ao Laboratório Ilha da Ciência que tem função de laboratorio e “Casa de Ciência Interativa” bem como realizar “Mostras de Ciências” com outros laboratórios que trabalham com Educação Ambiental e Sustentabilidade. Esses laboratorios realizam experimentos e apresentam a Ciência em Praças Públicas, Estacionamento de Shopping, nas cidades do estado do Maranhão, Feiras de Ciências Nacionais e Internacionais. Nossos objetivos são: retirar a Universidade dos “Muros ou Fronteiras Acadêmicas” e ensinar a Ciência numa linguagem de cotidiano para o grande público; incentivar os jovens para o estudo de Ciência; identificar lacunas na Educação. A Popularização de Ciência na área de Negócios encontra-se em fase embrionária, ainda estamos preocupados com o repasse das informações técnicas para aqueles jovens que escolheram Cursos como Economia, Administração e Ciência Contábeis casualmente e não por um esforço educativo ou atrativo. Denota-se assim uma grande lacuna de educação financeira em nosso país. Diante deste contexto, faz-se necessário transferir este know-how de conhecimento para aqueles que não têm acesso ao ensino formal, bem como atrair jovens para áreas econômicas e financeiras e promover o desenvolvimento sistemas de informação e sustentabilidade. Apesar da tradição da Popularização/Difusão de Ciência ter como um dos Líderes um dos fundadores desta Instituição: FEA/USP – Prof. José Reis, constatamos que todo este esforço para informar e comunicar a Ciência, ainda não atingiu níveis desejados, visto que sua concepção se restringe as áreas de Exatas, Biológicas e Educação.

C) DOCTORAL CONSORTIUM E MASTERS COLLOQUIUM Relatório sobre Consórcio Doutoral e Masters Colloquium – 10º. Contecsi por George Leal Jamil, Coordenador Como parte integrante das atividades do 10º. Contecsi, foram realizados o Consórcio Doutoral e o Masters Colloquium em 13/06/2013, eventos dedicados a promover o auxílio às pesquisas em nível de doutoramento e mestrado dos inscritos, através de jornadas de bancas simuladas, que analisam e aconselham os trabalhos expostos. JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 407-455

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Resultados do 10º. CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 425 /Congresso Internacional de Gestão da Tecnologia de Informação e Sistemas de Informação

Pelo Consórcio Doutoral apresentaram-se os seguintes participantes, com os seguintes trabalhos: Nelma T Zubek Valente: “INFORMAÇÃO CONTÁBIL NA PERSPECTIVA DA CIÊNCIA DA INFORMAÇÃO: ATRIBUTOS DE QUALIDADE A PARTIR DOS ESTUDOS DE USUÁRIOS” Kumiko Oshio Kissimoto: “AVALIANDO A PERCEPÇÃO DE DESEMPENHO DA COLABORAÇÃO EM FUNÇÃO DOS PAPÉIS EXERCIDOS PELO CONSUMIDOR” Leandro de Oliveira Ferreira: “O (MDAOC) - MODELO DESENVOLVIMENTISTA DE AVALIAÇÃO E ORIENTAÇÃO DE CARREIRA DE SUPER, APLICADO À TRANFERÊNCIA DO CONHECIMENTO TÁCITO NA LINHA SUCESSÓRIA DE EMPRESAS FAMILIARES” Euro Marques Júnior: “A PRESENÇA SOCIAL NO E-LEARNING: DIAGNÓSTICO ON-LINE DO PERFIL DO ESTUDANTE” No Masters Colloquium foi realizada a apresentação de Camila Mariane Costa Silva, com o trabalho “AVALIAÇÃO SOBRE A INTERAÇÃO ENTRE PÚBLICO E ORGANIZAÇÕES PÚBLICAS EM REDES SOCIAIS ACESSADAS POR DISPOSITIVOS MÓVEIS”. A banca contou com a participação dos professores Armando Barreiros Malheiro da Silva, da Faculdade de Letras da Universidade do Porto; Adicinéia Oliveira, da Universidade Federal de Sergipe; César Augusto Biancolino, da Universidade Nove de Julho e Luc Quoniam, professor titular da Université Du Sud Toulon Var. Ambos os eventos foram coordenados, novamente, pelo professor George Leal Jamil, da Universidade Fumec, também integrante dos comitês organizador, científico e de apoio do 10º. Contecsi. Também participou das discussões o coordenador geral do Congresso, Prof. Edson Luiz Riccio, que foi o propositor de ambas as atividades quando da concepção das propostas originais para o Contecsi, nivelando-o aos grandes eventos acadêmicos e científicos mundiais. Ao final da jornada de quase um dia de apresentações e debates, houve alcance dos objetivos tanto do Consórcio quanto do Colloquium no sentido de contribuir significativamente, por meio dos exames, arguições e opiniões por parte banca, para o ajuste, refinamento e evoluções dos trabalhos, em seus vários estágios atuais. Desta forma mestrandos e doutorandos tiveram suas perspectivas ampliadas na conclusão e nas repercussões pós-defesa. Assim, mantém-se o retrospecto significativo de que, em cinco anos de Consórcio e dois de Colloquim, ampliou-se o número de conclusões de trabalhos de Mestrado e Doutorado no Brasil e no exterior, pelos que deles participaram, promovendo adicionalmente os excelentes resultados do Contecsi. D) 27º WORLD CONTINUOUS AUDITING AND REPORTING SYSTEMS SYMPOSIUM O 27º. Simpósio Mundial de Auditoria Contínua de Sistemas reuniu em torno de 100 pessoas no Auditório da FEA/USP, no dia 13/06/2013 e trouxe para discussão assuntos de interesses acadêmicos e profissionais, tais como: padrões de dados para

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Riccio, E.l., Sakata, M. C., Valente, N. T. Z., Capobianco, L.

implementação do XBRL, análises de dados eletrônicos para auditoria externa, monitoramento contínuo com foco em prevenção a fraudes e diversos estudos de casos reais de auditoria contínua. O Simpósio contou com a participação de palestrantes experientes no âmbito acadêmico e profissional. Como destaques, tivemos a presença dos professores Michael Alles, Kevin Moffitt e Miklos Vasarhelyi da Rutgers University. Também tivemos a participação de representante da ACFE Brasil – Association of Certified Fraud Examiners. Foram também apresentados casos práticos de implementação de Auditoria Contínua em empresas brasileiras, as quais ganharam maior eficiência e produtividade em seus processos de auditoria. Durante as apresentações percebemos grande interesse dos participantes sobre os assuntos abordados, visto que tivemos várias questões advindas do público formado por profissionais e estudantes interessados nos temas apresentados. Como considerações finais, vimos que os métodos desenvolvidos para auditoria contínua estão evoluindo e atualmente é fato que as empresas já contam com processos de auditoria contínua implantados e com resultados favoráveis para o ambiente corporativo. Outro fato importante é que as técnicas de auditoria e monitoramento contínuo estão sendo usados de forma contundente para auxiliar nas atividades de prevenção a fraudes nas organizações.

PAINÉIS DO 27º WORLD CONTINUOUS AUDITING AND REPORTING SYSTEMS SYMPOSIUM RETHINKING THE PRACTICE AND VALUE ADDED OF EXTERNAL AUDITS: THE AICPA’S AUDIT DATA STANDARDS (ADS) INITIATIVE Michael Alles Miklos Vasarhelyi The American Institute of Certified Public Accountants (AICPA) has issued an exposure draft on the Audit Data Standard (ADS), which is a proposal describing the set of essential data that would be extracted from an audit client’s IT system and made available to auditors in a standardized format of either flat files or in XBRL-GL, which marks the first time that audit practice has explicitly utilized XBRL GL. The object of ADS is to reduce the obstacles to obtain data for audit purposes. The exposure draft focuses on the technical aspects of ADS but discusses neither the best way in which such a standard should be created, nor what its implications will be on the broader practice of auditing. This paper first discusses how the ADS taxonomy is created and what it encompasses. Then, using Elliot’s (1998) model of the information value chain, it analyzes both the implications of ADS for the evolution of audit practice and the role of auditors relative to other third party analysts of business data. It concludes that ADS has the potential to be a disruptive innovation (Christensen, 1997) in auditing.

THE STATE OF CONTINUOUS AUDIT AND ITS RESEARCH NEEDS Miklos A. Vasarhelyi

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Resultados do 10º. CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 427 /Congresso Internacional de Gestão da Tecnologia de Informação e Sistemas de Informação

Professor, Accounting & Information Systems This presents a short discussion of the evolution of continuous audit in the last 25 years, standards, adoption, and other related considerations. Based these it sets up an agenda for CA/CM research for the future. Vasarhelyi, the KPMG Peat Marwick Professor of Accounting Information Systems, speaks six languages; has teaches in Brazil, France, Monaco, China, United States and other places. He has done extensive government and business consulting work throughout China, Europe, South America, and the United States. Prof Vasarhelyi is considered the “Godfather of Continuous Auditing” and works with the AICPA on many digital accounting issues such as continuous monitoring, XBRL, and the common data standard. Having written over 20 books and 200 journal articles, Vasarhelyi has an extensive research portfolio in a variety of topics, including expert systems, the Internet, ecommerce, intelligent agents, and accounting systems. Many large international organizations including AT&T, Chase Bank, Eli Lilly, GE, Johnson & Johnson, Metlife, CA Technologies, P&G, Itau Unibanco and Volvo, among others have engaged Vasarhelyi to partner / advise and/or teach executive programs. Prof. Vasarhelyi has directed over 40 dissertations and at Rutgers works mainly with PhD students.

27th WCARS - WORLD CONTINUOUS AUDITING AND REPORTING SYSTEMS SYMPOSIUM AUDITORIUM FEA 5 | AUDITÓRIO FEA 5

Thursday June 13th | Quinta-Feira 13 de Junho 10h15-10h30

Welcome Coffee

FEA 1 - 1st Floor | FEA 1 - 1 º Andar

FEA 5 Auditorium 10h30 às 10h45

10h45 às 11h45

OPENNING CEREMONY | Abertura do 27th World Continuous Auditing and Reporting Systems Symposium Prof. Dr. Miklos Vasarhelyi, Director – Rutgers Accounting Research Center & Continuous Prof. Dr. Edson Luiz Riccio – Professor da FEA da Universidade de São Paulo The Audit Data Standard and Learnings from XBRL Palestrante: Prof. Dr. Michael Alles, Department of Accounting & Information Systems, Rutgers Business School Debatedor: Prof. Dr. Miklos Vasarhelyi, Director – Rutgers Accounting Research Center & Continuous Moderador: Prof. Dr. Edson Luiz Riccio – Professor da FEA da

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Universidade de São Paulo

11h45 às 12h45

Text Analytics for the External Audit Palestrante: Kevin Moffitt, Department of Accounting & Information Systems, Rutgers Business School Debatedor: Prof. Dr. Miklos Vasarhelyi, Director – Rutgers Accounting Research Center & Continuous

12h45 às 13h45

Lunch FEA 1 - 1st Floor | Almoço FEA 1 - 1 º Andar

13h45 às 14h45

XBRL IMPLEMENTATION IN BRAZIL Palestrantes: Prof. Dr. Edson Luiz Riccio, FEA USP/Coordenador do Comitê Técnico XBRL Brasil (CFC), Dr. Paulo Caetano da Silva, Universidade de Salvador- Member of XBRL Certification Board e Banco Central do Brasil, Profa. Cecilia Geron-Praesum/FEA USP, Liv Apneseth Watson, Executive Advisor at WebFilings, LLP

14h45 às 15h30

15h30 às 15h45 15h45 às 16h30

16h30 às 17h30

Monitoramento Contínuo com foco em Prevenção à Fraudes Palestrante: Ivo Cairrão – Diretor Presidente na Iaudit Assessoria Empresarial e membro fundador da ACFE Brasil – Association of Certified Fraud Examiners

Coffee Break FEA 1 – 1st Floor | 1º Andar Projeto de Integração para Análise Eletrônica de Notas Fiscais Palestrante: Cristiano Borges – Gerente da PWC Debatedor: Gustavo Galegale – Diretor do ISACA Painel: Estudos de Caso de Implantação de Auditoria Contínua Painelistas: Ana Paula Tomé - Gerente de Compliance da Spinelli S/A CVMC Luis Pires – Gerente de Auditoria da Camargo Corrêa Moderador: Cristiano Borges – Gerente da PWC

17h30 às 17h45

ENCERRAMENTO Coordenadores do Evento

17h30 às 17h45

ENCERRAMENTO Coordenadores do Evento

19h00 às 20h30

JANTAR DE ENCERRAMENTO - Transfer FEA/USP sairá às 18h30

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E) SESSÕES PARALELAS DE APRESENTAÇÃO DE TRABALHOS Para embasar o relatório relativo aos resultados das sessões de apresentação de trabalhos, a coordenação do CONTECSI solicitou que todos os moderadores de sessões preenchessem um formulário referente ao andamento da sessão comentando sobre a atualidade dos temas, a interação entre os presentes, os questionamentos levantados, comentários adicionais e demais questões relevantes sobre o desenvolvimento e resultado de cada sessão. A comissão organizadora do 10º CONTECSI agrupou os 238 trabalhos aprovados pela comissão avaliadora do congresso em 49 sessões de acordo com a área temática. Em alguns casos, houve necessidade de subdividir uma mesma área temática em duas ou mais sessões em razão da grande quantidade de trabalhos relacionados a um mesmo tema ou assunto. Por suas valiosas contribuições para o andamento das sessões paralelas de apresentação dos trabalhos cujos registros e comentários foram fundamentais para a elaboração deste relatório, a coordenação do CONTECSI agradece a todos os moderadores das sessões a seguir elencados: Maria Ludovina Ap. Quintans, Paulo Henrique Mansur, Janilson Antonio Suzart, Gilberto Perez, Denis Lima e Alves, Nildes Raimunda Pitombo Leite, Alexandre Stürmer Wolf, Adriano Dinomar Barp, André Grützmann, Simone Borges Paiva, Emerson Antonio Maccari, Vinícius Costa da Silva Zonatto, Antonio Jose Balloni, Carla Zandavalli, Cristian Baú Dal Magro, José Alfredo Ferreira Costa, Marilu Nunez Palomino, Maria Jose Carvalho de Souza Domingues, Douglas de Lima Feitosa, Osmarina Pedro Garcia Garcia, Oscar Bombonatti Filho, Gilson Ludmer, Mehran Misaghi, Cristiane Drebes Pedron, Paula Guadanhim Generoso, Joshua O. Imoniana, Rina Zavier Pereira, Fernando Hadad Zaidan, Luís Felipe de Souza Salomão, Rogerio Salles Loureiro , Kumiko Oshio Kissimoto, Márcio de La Cruz Lui, Carlos Eugênio Palma da Purificação, Nelma Zubek, Antonio Carlos dos Santos, Adolfo Alberto Vanti, Alexandre Cappellozza, Alair Helena Ferreira, Carla de Almeida Martins Basso, Leandro Patah, Jose Dutra de Oliveira Neto, Adicineia Aparecida de Oliveira, Carlos Eduardo Lourenço, Anatália Saraiva Martins Ramos. SESSÕES PARALELAS Apresentam-se a seguir, ordenados por data de ocorrência, os principais destaques e comentários a respeito das sessões paralelas de apresentação de trabalhos, registrados pelos moderadores das sessões, onde ocorreram as apresentações dos referidos trabalhos: 12 JUNE | 12 DE JUNHO (WEDNESDAY | QUARTA-FEIRA) Na sessão 1(A), cujo tema central foi KMG - Knowledge Management and Business Intelligence, e moderação de Maria Ludovina A. Quintans, foram apresentados os trabalhos: SCIENTIFIC LITERATURE INDICATORS OF LESSONS LEARNED IN PROJECT MANAGEMENT: A BIBLIOMETRIC STUDY, de Cláudia Hofart Guzzo e Emerson Antonio Maccari, FORMAL COMPETITIVE INTELLIGENCE INFRASTRUCTURE OF COMPANIES LOCATED IN BRAZIL: A CASE STUDY, de

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Hugo Martinelli Watanuki e Renato De Oliveira Moraes, SEMANTIC PORTALS AS A SUPPORT FOR KNOWLEDGE MANAGEMENT IN ORGANIZATIONS de Debora Cabral Nazario, Cristiane Woszezenki, Denilson Sell, Fernando Ostuni Gauthier e Mario Antônio Ribeiro Dantas; WEB TECHNOLOGIES AND THE INNOVATION PROCESS: WHICH TECHNOLOGIES ARE PREFERRED TO SUPPORT INNOVATION? de Andre Grutzmann e André Luiz Zambalde. De acordo com a moderadora, os temas discutidos foram atuais e abrangeram temas como a quantidade de trabalhos bibliométricos, relatos e trabalhos acadêmicos para a pesquisa, inteligência competitiva e BI, gerenciamento de conhecimento através de portais semânticos e as tecnologias de inovação para a web. Na sessão 1(B), que teve como tema SOC-PS Social Issues in IS and IT, moderada por Paulo Henrique Garcia Mansur, apresentaram-se os seguintes trabalhos: INFORMATION TECHNOLOGY AS A TECHNICAL RESOURCE FOR THE MEMORIES: MEMORIES OF UNATI-MARÍLIA IN THE VIRTUAL ENVIRONMENT de Simone Borges Paiva e Maria Candida Soares Del-Masso, PRACTICES IN VIRTUAL MOBILITY TO SUPPORT THE CHALLENGE OF SUSTAINABLE MOBILITY de Ismael Eggers, Luís Felipe Machado do Nascimento, Henrique Mello Rodrigues de Freitas e Cristina Dai Prá Martens, DETERMINANTS OF INFORMATION AND COMMUNICATION TECHNOLOGIES (ICT) ADOPTION FROM MANUFACTURING INDUSTRIES AT THE FIRM LEVEL IN ARGENTINA de María Verónica Alderete, Carola Jones e Hernán Morero; H2B-MPS: WORKFLOWS INSTRUCTIONS FOR HUMAN RESOURCE MANAGEMENT TO BE ACCORDING TO MR-MPS-SW FOCUSED ON INCREASE THE SOFTWARE QUALITY de Flávio Eduardo Aoki Horita, Everton Gomede, Rodolfo Miranda de Barros; CYBER GUIDEDOG – HELP SYSTEM TO THE DISPLACEMENT VISUALLY IMPAIRED PEOPLE de Felipe Santos Oliveira Barros, Felipe dos Santos Pinheiro e Claudia Ferlin. Segundo o moderador da sessão, houve um bom nível de discussão com questionamentos pertinentes aos temas apresentados e a temática discutida foi bastante atual. A sessão 1(C), moderada pelo Janilson Antonio da Silva Suzart, com o tema ITM Information Technology Management, teve os seguintes trabalhos apresentados: TECHNOLOGY CONTRIBUTING TO FIGHT THE SMOKING HABIT THROUGH THE USE OF MOBILE APPLICATIONS, de Pedro Paulo de Oliveira Reis e Enock Godoy De Souza; SKILLS DEVELOPMENT FOR PROJECT MANAGERS: A CASE STUDY OF INFORMATION TECHNOLOGY IN BRAZILIAN BANKING SECTOR de Sirlei De Almeida Pereira, BUSINESS NETWORK IN TELECOM COMPANIES: THE ALGAR CASE de Patricia Viveiros De Castro Krakauer, Jaércio Alex Silva Barbosa e Rita De Cácia Rodrigues De Oliveira Knop e ACCOUNTING INFORMATION TECHNOLOGY AND ITS INFLUENCE AT WORK OF PERSONAL ACCOUNTING PROFESSIONALS IN THE SENHOR DO BONFIM/BA de Alyne Christina Gomes e Raimundo Nonato Lima Filho. Segundo o moderador, foram discutidos os tópicos: a efetividade das inovações tecnológicas, as competências requeridas pelos profissionais de TI e a influência da TI para outros profissionais, como, por exemplo, contadores e administradores. A sessão 1(D), moderada pelo Prof. Gilberto Perez, com o tema ISM Information Systems Management, teve os seguintes trabalhos apresentados: IMPACTS IN ORGANIZATIONS AND THEIR INFORMATION SYSTEMS DUE TO CONVERGENCE OF BRAZILIAN ACCOUNTING STANDARDS TO

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INTERNATIONAL FINANCIAL REPORTING STANDARD (IFRS) de Gilberto Perez, Camila Olo Terra, Fabiana Célia Monteiro e Roberta De Oliveira Morelli, FORMS OF ASSESSING THE VALUE PROVIDED BY ERP SYSTEMS: A CONCEPTUAL APPROACH de Gleison Lopes Fonsecae Ildeberto Aparecido Rodello, OPERATIONAL RISK MANAGEMENT: A CASE STUDY IN A COMPANY CREDIT CARD ADMINISTRATOR de Maikel Uziel Radünz e Vinicius Costa da Silva Zonatto. Segundo o moderador, as principais questões discutidas foram relacionadas à metodologia, aos resultados e à continuidade das pesquisas apresentadas. Os temas abordados foram considerados atuais e, por esse motivo, geraram o interesse dos participantes e apresentadores. O moderador também afirmou que as apresentações foram muito pontuais. A sessão 1(E), moderada pelo Prof Denis Lima e Alves, com o tema ESD Engineering and Software Development, apresentaram-se os trabalhos: DEVELOPMENT OF INTEGRATED SYSTEMS OF MANAGEMENT TO MICRO AND SMALL BUSINESSES USING METHODOLOGIES OF AGILE PROCESSES de Marcos Antônio Da Silva e Paloma Maira Oliveira e PERCEPTION OF PROJECT MANAGERS ON PRACTICES OF KNOWLEDGE MANAGEMENT IN SOFTWARE DEVELOPMENT ORGANIZATIONS PROJECTS: EXPERIENCES IN PERNAMBUCO STATE de Alixandre Thiago Ferreira de Santana, José Claudemir Pacheco Júnior, Petrônio Araújo De Medeiros e Hermano Perreli de Moura. Segundo o moderador, houve muitos presentes e as discussões giraram em torno de particularidades de um dos trabalhos. A sessão 1(F) com tema E-GOV - E-governance and Public Policies teve como moderadora a Profa. Nildes Raimunda Pitombo Leite. Os trabalhos apresentados foram: RANKING OF LOCAL LEGISLATIVE IN ACCOUNTABILITY CONSTRUCTION: A STUDY FROM THE ELECTRONICS PORTALS OF SANTA CATARINA’S MUNICIPALITIES de FABIANO MAURY RAUPP, JOSÉ ANTÔNIO GOMES DE PINHO, REVISITING ACTOR-NETWORK THEORY: A STUDY OF THE IMPLEMENTATION OF ELECTRONIC JUDICIAL PROCESS, IN THE JUDICIARY BRAZILIAN de Ramses Henrique Martinez, AN EMPIRICAL INVESTIGATION OF IT GOVERNANCE PRACTICE IN A FEDERAL PUBLIC ORGANIZATION de Luis Hernan Contreras Pinochet, Patricia Miyumi Matsuda, Nathalie Britto Ferreira e Sidinei Da Silva Aguiar, ELECTRONIC GOVERNANCE PRACTICES IN MUNICIPALITIES OF SOUTHERN BRAZIL: AN ANALYSIS PERSPECTIVE OF THE LEGITIMATE THEORY de Geovanne Dias de Moura, Vanderlei Gollo e Paulo Roberto Da Cunha, Segundo a moderadora, o nível das discussões foi compatível com a complexidade e a sinergia da sessão. As principais questões levantadas envolveram temas como: desafios, oportunidades para o canal de comunicação para a sociedade, atribuições vislumbradas para a sociedade e diretrizes e práticas para a transparência e participação da sociedade. A sessão 1(G) com a temática HEA - IS and IT in HealthCare e a moderação de Alexandre Sturmer Wolf teve a apresentação dos seguintes trabalhos. Segundo o moderador, INFORMATION SYSTEMS MANAGEMENT AND TECHNOLOGIES IN CZECH HOSPITALS de Klara Antlova, Antonio J. Balloni, STRATEGIC MANAGEMENT IN SLOVAK MEDICAL INSTITUTIONS de Vincent Šoltés, Antonio Jose Balloni, Beáta Gavurová e Viera Pavličková. Segundo o moderador, os trabalhos do professor Balloni foram muito interessantes e geraram discussões proveitosas. Os

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presentes levantaram possibilidades de aplicações do trabalho em hospitais de suas próprias regiões. A sessão 1(H) com o tema AIS - Accounting and Enterprise Information Systems teve a coordenação do Prof. Adriano Dinomar Barp e contou com a apresentação dos seguintes trabalhos: APPLICATION OF NEWCOMB-BENFORD LAW IN ACCOUNTING AUDIT: A BIBLIOMETRIC ANALYSIS IN THE PERIOD FROM 1988 TO 2011 de José Isidio de Freitas Costa, Silvana Karina de Melo Travassos e Josenildo dos Santos, ROLE OF INTERNAL AUDITING IN MANAGERIAL PRACTICE IN ORGANIZATIONS de Juarez Pinto, Anisio Cândido Pereira e Joshua Onome Imoniana, COMMITMENT TO THE GOALS OF PARTICIPATORY BUDGETING: A STUDY IN A MEDIUM SIZED FAMILY BUSINESS de Rosemar José Hall, Maike Bauler Theis e Carlos E. Facin Lavarda, RELATIONSHIP BETWEEN THE DISCLOSURE OF EXECUTIVE COMPENSATION INFORMATION AND CORPORATE GOVERNANCE de Francisco Carlos Fernandes, Geovanne Dias Moura, Juliana Eliza Benetti e Cosmo Rogério Oliveira, BEHAVIOR OF THE STOCK VALUE AFTER DIVIDENDS AND INTEREST ON CAPITAL DISTRIBUTION de Sheila Jeane Schulz, Elisandra Henn Diel e Jorge Ribeiro de Toledo Filho, IDENTIFICATION OF A SPECIFIC COMMITTEE OF RISK MANAGEMENT IN COMPANIES LISTED ON THE NEW MARKET OF BM&FBOVESPA de Francisco Carlos Fernandes, Luciane Dagostini, Leossania Manfroi e Daniela Vieira Mecking. Segundo o moderador, as discussões tiveram um nível elavado. As principais questões levantadas foram: com relação ao COSO, o porquê das empresas serem ou não obrigadas a apresentar as demonstrações; particularidades da auditoria voltada ao risco; os listados no setor de materiais básicos e as finalidades e aplicações dos trabalhos para a contabilidade. Também foram levantadas questões acerca dos períodos de maior produção científica sobre os assuntos abordados, explicações sobre a contabilidade forense, pontos fortes e fracos da governança corporativa e, por fim, o nível de subordinação da auditoria interna em relação a presidentes e diretores de empresas. A sessão 2(A), sobre KMG Knowledge Management and Business Intelligence, teve como moderador o Prof. Enock Godoy de Souza. Os trabalhos apresentados foram: DECISION MAKING BASED ON THE DATA AND FACTS ANALYSIS: A OBSERVATIONAL STUDY IN THE LIGHT OF THE FILM ‘TWELVE ANGRY MAN de Iraides Gonçalves Do Amaral e Nildes Raimunda Pitombo Leite, KNOWLEDGE MANAGEMENT: ANALYSIS OF STRATEGIES FOR A MODEL DECISION-MAKING de Oscar Dalfovo e Jucele Grando, KNOWLEDGE MANAGEMENT APPLICATION IN PRACTICES OF SOFTWARE DEVELOPMENT PROCESS: PROPOSAL TO USE IN IT COMPANY de Ernane De Jesus Torres e Fernando Hadad Zaidan, INFLUENCE OF SKILLS AND MATURITY IN PROJECT MANAGEMENT FROM MATRIX TEAMS AND MANAGERS IN CORPORATE RESULTS - A CASE STUDY IN A MANUFACTORING INDUSTRY de Gislaine Cristina Dos Santos Teixeira, Daniel Simonsen e Emerson Antonio Maccari, PROCESS MODELING AND MONITORING USING SELF-ORGANIZING MAPS de Guilherme Gellis Gomes e Jose Alfredo Ferreira Costa, EQUIVALENCE OF GROUPS WITH LATENT VARIABLES: AN APPLICATION OF STRUCTURAL EQUATION MODELING IN THE EVALUATION OF THE INFLUENCE OF GENDER ON CUSTOMER SATISFACTION IN MOBILE COMMUNICATION de Gutembergue Soares Silva, André Pedro Fernandes Neto, Teófilo Camara Mattozo e José Alfredo Ferreira Costa. Segundo o moderador, foram

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levantadas questões acerca de diferentes e conflitantes visões sobre gestão do conhecimento. Também foram discutidas as aplicações de redes neurais para mapeamento de processos industriais. A sessão 2(B), sobre EDU - IS and IT Education and Curriculum Development, moderada pelo Prof. André Grutzmann teve a apresentação dos seguintes trabalhos: STUDY OF THE FEASIBILITY AND RESOURCES OF OFFERING EXTENSION COURSES IN THE E-LEARNING MODALITY de ALEXANDRE STÜRMER WOLF e Márcia Jussara Hepp Rehfeldt, TEACHING INFORMATION TECHNOLOGY IN BUSINESS ADMINISTRATION COLLEGE COURSE - A LOOK TO THE GAINS AND RISKS INVOLVED IN USING TECHNOLOGY IN EDUCATION de ROBERTO SANCHES PADULA, SUSTAINABILITY AND ENVIRONMENTAL RESPONSIBILITY INTO THE CONTEXT OF COMPUTERS TECHNOLOGY TEACHING de Rosângela Lopes Lima, Izabela Andrade Barcellos, Guilherme Da Silva Alves Gonçalves, Liliane Da Costa Jacobs Lames, Vilma Geni Slomski, Edilei Rodrigues De Lames e José Carlos Marion. Segundo o moderador, os participantes demonstraram grande interesse pelo tema “EAD e tecnologias” e sua evolução, embora tenha se constatado que os trabalhos ainda se encontram bastante empíricos. Isso destacou a necessidade de estudos mais aprofundados e replicação dos estudos atuais para se comparar resultados. Um maior rigor metodológico e preocupação com amostras estatísticamente mais significativas podem auxiliar na consolidação da temática. Outro aspecto destacado foi a influência da infraestrutura de T.I. nos resultados obtidos pela EAD, tecnologias e desenvolvimento de currículos. Na sessão 2(C), dedicada ao tema ITM Information Technology Management, a moderação foi feita pela Profa. Simone Borges Paiva e contou com os seguintes trabalhos: A STRATEGY FOR REPLICATION TECHNIQUES APPLIED TO PROJECT MANAGEMENT OF INFORMATION TECHNOLOGY de CÁSSIO CHAGAS MONTENEGRO DUARTE, CÉSAR AUGUSTO BIANCOLINO e EMERSON ANTONIO MACCARI, THE STRATEGIC PORTFOLIO MANAGEMENT ADOPTION OF INFORMATION TECHNOLOGY PROJECTS IN THE PUBLIC SECTOR: THE CASE OF A BRAZILIAN JUDICIARY ORGANIZATION de Nelson Fernando Ponce De Leon e César Augusto Biancolino, PROTOTYPE OF A MONITORING SYSTEM FOR THE ACQUISITION AND STORAGE OF OPERATING CONDITIONS IN A COMPUTER AND COMMUNICATIONS WORKSPACE de Mario Barcelo-Valenzuela, Luis Carlos Martinez-Castro, F. Alfonso Aguilar-Valenzuela e Alonso Perez-Soltero. Segundo a moderadora, o nível de discussões foi muito bom. Moderadora e participantes debateram sobre temas como: a possibilidade real de replicação de projetos, a impossibilidade de implantação de políticas de gestão de projetos no contexto da gestão pública, a necessidade de tecnologias com baixo custo. Na sessão 2(D) cujo tema foi ISM - Information Systems Management, a moderação ficou a cargo do Prof. Emerson Antonio Maccari para coordenar as apresentações dos seguintes trabalhos: THE USE OF INFORMATION TECHNOLOGIES IN SMALL HOTELS:A MULTICASE STUDY de TAKESHY TACHIZAWA, HAMILTON POZO e GETULIO AKABANE, UNDERSTANDING ORGANIZATIONAL MEMORY FROM THE INTEGRATED MANAGEMENT SYSTEMS (ERP) de Gilberto Perez, Isabel Ramos, EVALUATION OF INFORMATION SYSTEMS: A PROPOSED MODEL FOR THE EVALUATION OF ERP IN RETAIL TRADE

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COMPANIES de IVO PEDRO GONZALEZ JUNIOR de Sergio Hage Fialho, MANAGEMENT INFORMATION SYSTEMS IN MULTINATIONAL COMPANIES: A CASE STUDY ABOUT THE ERP AND BI GLOBAL IMPLEMENTATION de Adriana Silva De Oliveira e Edson Luiz Riccio. Segundo o moderador, as discussões foram muito importantes para realçar os principais aspectos dos trabalhos apresentados. Na sessão 2(E) cujo tema foi ESD - Engineering and Software Development, a moderação ficou a cargo do Prof. Janilson Antonio da Silva Suzart para coordenar as apresentações dos seguintes trabalhos: ARTIFICIAL FISH SWARM ALGORITHM APPLIED TO THE TRAVELING SALEMAN PROBLEM de Allan Kardec Lopes, Gina M. B. De Oliveira, Lais C. R. Da Silva Lopes e Paulo H. G. Mansur, AN IT TOOL BASED ON DIGITAL IMAGE PROCESSING FOR QUALITY CONTROL IN INDUSTRY OF EGGS FOR CONSUMPTION de Cristiane De Fátima Dos Santos, Deivid Do Vale Nascimento e Paulo Henrique Garcia Mansur, BACKLOG – SIMULATOR OF SUPPLY CHAIN de Bruno Nunes Machado, Julio Cesar Batista Pires e Júnio César De Lima, ANALYSIS OF IT PROCESSES IN A HEALTH INSTITUTION FOR CONTINUOUS IMPROVEMENT: A CASE STUDY de Karina Aparecida Da Cruz Pinto, Maria Ludovina Aparecida Quintans, A HYBRID MODEL FOR PREDICTING THE BEHAVIOR OF STOCK MARKET de Manoel Marcondes Junior, Sofiane Labidi e Pedro Brandao Neto. De acordo com o moderador, as discussões giraram em torno dos temas: avaliação e comparações do modelo AFSA, ferramenta de TI aplicada à indústria, aplicativos para a área logística e a evolução de TI no setor hospitalar. Na sessão 2(F), cujo tema foi ICT – PP Information and Communication Technology, a moderação ficou a cargo do Prof. Vinícius Costa da Silva Zonatto para coordenar as apresentações dos seguintes trabalhos: CONCEPTUAL MIGRATION AND METHODOLOGICAL PATHOLOGY. ANALYSIS OF THE INCORPORATION OF THE CONCEPT RHIZOME IN THE STUDIES OF INFORMATION SYSTEMS de Fernando Skackauskas Dias, INVESTIGATING THE PUBLICATIONS ON ELECTRONIC TRANSPARENCY IN NATIONAL JOURNALS de Fabiano Maury Raupp e Robson Zuccolotto, HIERARCHICAL GRAPH TECHNIQUES APPLIED TO DATABASE VISUALIZATION de Daniel Mário Lima, Jose Fernando Rodrigues Jr e Agma Juci Machado Traina, LA FORMACIÓN DE LOS BIBLIOTECARIOS EN LA SOCIEDAD DE LA INFORMACIÓN: UN ANÁLISIS DE LOS PROYECTOS PEDAGÓGICOS DE LOS CURSOS DE BIBLIOTECOLOGÍA DE BRASIL Y MÉXICO de Marielle Barros De Moraes e Ariel Sanchez Espinoza, COMPARING THREE DIFFERENT TECHNIQUES TO RETRIEVE DOCUMENTS USING MULTIWORDS EXPRESSIONS de Edson Marchetti Da Silva E Renato Rocha Souza. Na sessão 2(G), foram apresentados os seguintes painéis: THE ACTIONS OF “ILHA DA CIÊNCIA” LABORATORY AS A VECTOR OF SCIENTIFIC AND ITINERANT EDUCATION POPULARIZATION IN THE STATE OF MARANHÃO de Antonio José Silva Oliveira, Ana Maria Nélo E Carlos Cesar Costa, GREEN FRIENDS APP 1.0: MODALIDADE DE APLICATIVO EM REDE SOCIAL PARA PROMOÇÃO DE SUSTENTABILIDADE de Marcus Venicius Branco De Souza, Jefferson Biajone, Diego Klapper Paulino, Guilherme Augusto Calhares, Lizeu Da Silva Junior E Sabrina Vieira, GERENCIAMENTO DE SERVIÇOS: UMA ANÁLISE COMPARATIVA ENTRE FERRAMENTAS LIVRES PARA AUXILIAR A ADOÇÃO DA ITIL® de Helem Chaves De Lima E Leopoldo Melo Junior, PROJETO AUTODRIVE de Kleber Moreti De Camargo E Rodrigo Diniz, ALINHAMENTO DA GESTÃO DE PROCESSOS DE JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 407-455

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NEGÓCIO COM TECNOLOGIA DA INFORMAÇÃO: UM ESTUDO DE CASO EXPLORATÓRIO EM UMA EMPRESA DE SERVIÇOS de Paulo César Rondon Da Cruz E Claudia Aparecida de Mattos. Na sessão 2(H) cujo tema foi AIS PP - Accounting and Enterprise Information Systems, a moderação ficou a cargo do Prof. Antonio José Balloni para coordenar as apresentações dos seguintes trabalhos: SOLVENCY ANALYSIS OF COMPANIES IN INFORMATION TECHNOLOGY SECTOR LISTED BM&FBOVESPA de Itzhak David Simão Kaveski, Leandro Politelo, Nayane Thais Krespi E Nelson Hein, CHANGES IN CONTROLLING WITH THE PROCESS OF CONVERGENCE TO THE INTERNATIONAL ACCOUNTING STANDARDS de Ilse Maria Beuren E Andréia Carpes Dani, INFLUENCE OF DEBT, CAPITAL STRUCTURE, SIZE AND GROWTH MANAGEMENT LEVEL RESULTS OF COMPANIES LISTED ON BM&FBOVESPA de Lara Fabiana Dallabona, Adriano Dinomar Barp E Roberto Carlos Klann, EVALUATION OF THE IMPACT THE SKILLS OF ACCOUNTANTS AFTER BRAZILIAN PROJECT SPED de Napoleão Verardi Galegale e Gisleise Nogueira Aguiar, DATA MINING THE IDENTIFICATION OF THE CHARACTERISTICS OF THE BOARD OF THAT VALUE THE CORPORATE PERFORMANCE de Fernanda Kreuzberg, Franciele Beck, Moacir Manoel Rodrigues Júnior E Nelson Hein e ERP SYSTEMS INFLUENCE OVER SMES’ MANAGEMENT ACCOUNTING PRACTICES IN BRAZIL: A CASE STUDY de Denis Lima e Alves. De acordo com o moderador, a platéia foi bastante participativa em todas as apresentações.

13 JUNE / 13 DE JUNHO (THURSDAY / QUINTA-FEIRA) A sessão 3(A), com o tema KMG PP Knowledge Management and Business Intelligence, teve como moderadora a Profa. Carla Zandavalli e contou com a apresentação dos trabalhos: USE OF COMPETITIVE INTELLIGENCE IN THE INTEGRATED MANAGEMENT OF INFORMATION TECHNOLOGY AS ABUSINESS INTELLIGENCE IN FEDERAL INSTITUTE OF EDUCATION, SCIENCE AND TECHNOLOGY de Paula Guadanhim Generoso, Norberto Tamborlin e Oscar Dalfovo; THE STUDY OF INFOMETRIC LAWS APPLIED ON A KNOWLEDGE CONVERSION MODEL de Alcir Mario Trainotti Filho, Cintia Ghisi e Mehran Misaghi; KNOWLEDGE MANAGEMENT ON THE IMPLEMENTATION OF A CRM PROJECT IN A SUBSIDIARY COMPANY: A CASE STUDY de Pedro Rodrigues, Cristiane Drebes Pedron e Mírian Oliveira; LEARNING GAINS AND KNOWLEDGE TRANSFER IN APL - LOCAL PRODUCTIVE ARRANGEMENT: THE APLA CASE de Dalila Alves Corrêa, Sanete Irani De Andrade, Odair Ferraz Filho, Rogério Salles Loureiro e Leandro Ferreira De Oliveira; MULTIVARIATE DATA VISUALIZATION USING KOHONEN MAPS AND DERIVED METHODS de Leonardo Enzo Brito Da Silva e Jose Alfredo Ferreira Costa. A sessão 3(B), com o tema EDU PP IS and IT Education and Curriculum Development , teve como moderador o Prof. Cristian Baú Dal Magro e contou com a apresentação dos trabalho: METHODOLOGY FOR THE CONSTRUCTION OF METCREM MULTIMEDIA EDUCATION RESOURCES de Gonzalo Joya Santana e Orlando

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Cristancho; INTERACTIONAL AND MOTIVATIONAL STRATEGIES APPLIED TO A DISCIPLINE OF ETHICS SET UP AS A BLENDED COURSE de Jose Dutra De Oliveira Neto e Marcia Lygia Ribeiro de Souza Casarin; EVASION IN DISTANCE EDUCATION COURSES OFFERED BY AN ORGANIZATION OF BRAZILIAN ARMY: ACTIONS TO REDUCE de Luis Felipe de Souza Salomão e Ricardo Hisao Watanabe; USE OF CLOUD COMPUTING IN EDUCATION INFORMATION SYSTEMS de Cristina Linares, Alexandre Costa, Edson Luiz Riccio e Marici Gramacho Sakata; FACTORS THAT MOTIVATE UNDERGRADUATE STUDENTS TO THE MISUSE READY MADE ASSIGNMENTS DOWLOADED FROM THE INTERNET: THE CASE OF FEIYPP, CULIACAN, SINALOA, MEXICO de Nelma T. Zubek Valente, Diva Brecailo Abib, Rosalinda Gámez Gastélum e Lupita González. Segundo o moderador, o nível das discussões foi alto, com inúmeras contribuições relevantes a todos os temas. Foram levantadas questões sobre o uso do sistema em nuvem para o ensino no curso de contabilidade. Também foram questionados fatores motivadores da cópia de trabalhos da internet, dentre outros assuntos relevantes. Na sessão 3(C), cujo tema foi ITM RF Information Technology Management, os moderadores foram o Prof. José Alfredo F. Costa e o Prof. Márcio Aurélio Ribeiro Moreira. Foram apresentados os seguintes trabalhos: APPLICABILITY OF ITIL AND COBIT FRAMEWORKS THROUGH A CASE STUDY de Marcio Aurelio Ribeiro Moreira e Iara Agostinho dos Santos Silva; IMPLEMENTATION OF THE PROJECT MANAGEMENT OFFICE OF THE DEPARTMENT OF INFORMATION TECHNOLOGY OF THE COURT OF JUSTICE OF THE STATE OF SÃO PAULO de Nayara Almeida Vieira e Luciane Meneguin Ortega; A DECISION-MAKING TOOL FOR ASSESSING TO CLOUD COMPUTING MIGRATION de Marcelo Morais De Melo e Eric Alberto de Mello Fagoto; PROFESSIONAL CAREER PLAN LINKED TO THE QUALITY OF THE PROCESS OF SOFTWARE DEVELOPMENT COMPANIES IN THE INFORMATION TECHNOLOGY de Edilaine Rodrigues Soares, Fernando Hadad Zaidan e George Leal Jamil; PUBLIC SYSTEM OF BOOKKEEPING - SPED AND REFLEXES IN THE EVERYDAY LIFE OF ENTERPRISES AND OF THE COUNTERS OF THE MUNICIPALITY OF ERECHIM/RS de Sandra Regina Toledo Santos, Mirna Muraro e Franciane Zis. Segundo os moderadores, todos os artigos geraram bons debates acerca dos temas apresentados. A sessão 3(D), moderada pela Profa. Marilu Nuñez Palomino, com o tema ISM PP Information Systems Management contou com a apresentação dos trabalhos: INFORMATION SYSTEM OF HEALTH INFRASTRUCTURE IN METROPOLITAN AREAS OF MEXICO REGIONAL CENTER de Marcela Virginia Santana Juárez, Giovanna Santana Castañeda, Elsa Mireya Rosales Estrada e Noel Bonfilio Pineda Jaimes; A INTELIGÊNCIA COLABORATIVA COMO FERRAMENTA PARA GESTÃO DE REDES E ANÁLISE DE PATENTES EMDENGUE: UM ESTUDO DE CASO APLICADO À SAÚDE PÚBLICA de Jorge Lima de Magalhães e Luc Quoniam; THE IMPORTANCE OF INFORMATION TECHNOLOGY AS A TOOL FOR THE PROCESS OF HOSPITAL MANAGEMENT IN PRIVATE SECTOR: A CASE STUDY IN A HOSPITAL IN ORGANIZATION FAIR SANTANA (BA) de Claudiene Maria Silva, Ivo Pedro Gonzalez Junior e Leidiane Moreira Penha; PERFORMANCE INDICATORS OF PROJECTS USING VIRTUAL TEAMS: THE CASE OF A CONSULTING FIRM de Durval Mescua Vargas Neto e Leandro Alves Patah. Segundo a moderadora, o nível de discussão foi amplo, principalmente devido a presença de pesquisadores internacionais.

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Existiu uma forte ênfase na importância de utilizar bases de dados disponíveis nos sites web para criar informações sobre um determinado contexto social e na área da educação. A temática da pesquisa mais salientada foi a utilização dos sistemas de informação multidisciplinares. A sessão 3(E), com o tema ESD RF Engineering and Software Development, foi moderada pela Profa. Maria José C. De S. Domingues e contou com a apresentação dos trabalhos: SOFTWARE VALIDATION AND TEST METHODS USING MODULAR PETRI NETS de August Baumgartner Neto, José Reinaldo Silva e Marcos Ribeiro Pereira Barretto; DATA ADMINISTRATION: HOW SHOULD THE QUALITY OF A SYSTEM DATA MODEL BE EVALUATED? de Ricardo Luiz Barros Leite Campos; APPLYING THE ATAM ON THE ARCHITECTURAL EVOLUTION OF AN ENTERPRISE SYSTEM de Thiago da Cruz Santos; ANALYSIS OF BI – BUSINESS INTELLIGENCE - TOOLS: A COMPARATIVE STUDY BETWEEN THE PROGRAMS QLIKVIEW AND MICROSTRATEGY de Tiago Moura Soeiro, João Gabriel Nascimento De Araújo e Aldemar de Araújo Santos; ROUGH SETS THEORY: AN APPLICATION IN SELECTING STOCKS FOR INVESTMENT AT STOCK EXCHANGE FROM SÃO PAULO de Paulo Henrique Kaupa e Renato José Sassi. Segundo a moderadora, todos os trabalhos apresentados foram bastante comentados e questionados pela platéia. No primeiro trabalho apresentado, foi sugerido o teste com outros sistemas. O trabalho seguinte foi bem comentado no sentido de compartilhamento do modelo proposto e outro trabalho resgatou a aplicação de sistemas de Business Intelligence. Destacou-se a importância da interação das diferentes áreas no desenvolvimento e avaliação de sistemas. Na sessão 3(F), com o tema AIS PP - Accounting and Enterprise Information Systems , que teve como moderador o Prof. Douglas de Lima Feitosa e contou com a apresentação dos trabalhos: ACCOUNTING INFORMATION SECURITY: PROCEDURES FOR THE PREPARATION OF A SECURITY POLICY BASED ON ISO 27001 AND ISO 27002 de Icaro Valente Mattes e Sérgio Murilo Petri; SCIENTIFIC PRODUCTION ANALYSIS ABOUT BUDGET ON THE BRAZILIAN PERIODIC’S QUALIS CAPES de Euda Harbs, Vanderlei dos Santos e Paulo Roberto da Cunha; THE IMPACT IN PUBLIC DIGITAL BOOKKEEPING SYSTEM (SPED) IN ACCOUNTING: A PERCEPTION OF PROFESSIONALS THAT ACT IN BUSINESS ACCOUNTING SERVICES de Vinicius Costa da Silva Zonatto, Genice Maribel Meyer e Cesar Augusto Bay; AN ESSAY ABOUT ACCOUNTING SCIENCE AND ITS NATURE, BASIS FOR JUDGMENT de Marcos Reinaldo Severino Peters e Andrea Galvão Rodrigues. O moderador relatou que as discussões ocorreram em bom nível, abordando aspectos teóricos e metodológicos. As discussões abordaram os aspectos da tecnologia no contexto da contabilidade, e foram mencionadas ainda algumas considerações acerca de dificuldade de acesso aos dados no meio contábil. As temáticas estavam relacionadas à discussões atuais. Na sessão 3(G), com o tema ISM RF - Information Systems Management, que teve como moderadora a Profa. Osmarina Pedro Garcia Garcia e contou com a apresentação dos trabalhos: CO-OPERATIVES AND SOCIAL MEDIA: MAPPING OF MINAS GERAIS CO-OPERATIVES de Alexandre Gatti Lages e Aleixina Maria Lopes Andalécio; THE STRATEGIC POSSIBILITIES OF THE DIGITAL AGE: EMPIRICAL EVIDENCES FROM FIRMS STRATEGICALLY MODIFIED BY IT de Luiz Fernando Albertin Bono Milan e Pedro Luiz Albertin Bono Milan; IT GOVERNANCE IN

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PROJECT OF IMPLEMENTATION OF MANAGEMENT INFORMATION SYSTEMS: A STUDY ON THE PERCEPTION OF MANAGERS AND CONSULTANTS de Paulo César Ribeiro Quintairos, Edson Aparecida de Araújo, Rosângela Locatelli e Luiz Carlos Fraga e Silva Junior; AUDIT SYSTEM: SHOWING ACCOUNTING ADVICE OFFICE'S POINTS OF AUDIT OF SYSTEMS de Osmarina Pedro Garcia Garcia, Leticia Mara Rocha, Elias Garcia e Udo Strassburg; IMPACTS OF TECHNOLOGIZATION AND GLOBALIZATION IN THE MAN-WORK RELATIONSHIP de Lina Eiko Nakata. A moderadora relatou que a discussão foi de nível elevado, uma vez que os trabalhos apresentados levantaram questões relevantes para a sociedade inclusive acadêmica, o que facilitou o debate e incentivou a participação dos presentes. A sessão foi em tempo correto e contou com relevante contribuição de todos os participantes. Na sessão 3(H), cujo tema foi ITM-PP Information Technology Management, a moderação foi realizada pelo Prof. Oscar Bombonatti Filho, e ocorreram as apresentações dos seguintes trabalhos: THE IMPORTANCE OF THE LEARNING CYCLE IN THE PROCESS OF OPEN INNOVATION IN A MULTINATIONAL COMPANY de Kumiko Oshio Kissimoto, Renato de Oliveira Moraes e Fernando José Barbin Laurindo; TPM IN THE DIGITAL ERA - THE EVOLUTION OF TPM AND THE USE OF INFORMATION TECHNOLOGY de Fernando José Barbin Laurindo e Renato Gioielii Basso; AN APPROACH TO TRAINING TEAMS FOR DEVELOPING ACCESSIBLE WEB APPLICATIONS de Thiago Jabur Bittar, Renata Pontin De Mattos Fortes, Leandro Agostini Do Amaral e Luanna Lopes Lobato. Segundo o moderador, o primeiro artigo, “THE IMPORTANCE OF THE LEARNING CYCLE IN THE PROCESS OF OPEN INNOVATION IN A MULTINATIONAL COMPANY”, gerou um bom nível de discussão e, como envolve SW, o tema foi bastante atual (estado da arte do tema). O uso de um SW específico (Citespace) chamou a atenção. O tema é recente e permite continuidade. O segundo artigo, “TPM IN THE DIGITAL ERA THE EVOLUTION OF TPM AND THE USE OF INFORMATION TECHNOLOGY”, foi considerado interessante, pois uma metodologia antiga foi discutida em relação a sua agregação à TIC. O terceiro artigo, “AN APPROACH TO TRAINING TEAMS FOR DEVELOPING ACCESSIBLE WEB APPLICATIONS” abordou o tema da acessibilidade e, por esse motivo, envolve preconceitos e torna sua discussão complexa. O tema permite muito mais pesquisas relacionadas. O moderador também comentou a elevada audiência, pontualidade, grande quantidade de perguntas levantadas, temas extremamente atuais e totalmente voltados à área da tecnologia. A sessão 4(A) com o tema HEA PP - IS and IT in HealthCare, teve como moderador o Prof Gilson Ludmer, e a apresentação dos artigos: IMPACT OF THE AUTHORITY STRUCTURE AND ACCOUNTING INFORMATION SYSTEM ON PHYSICIANS`DECISIONS IN HOSPITALS de Ilse Maria Beuren, Cristian Baú Dal Magro, Daniela Di Domenico e Dirceu Rodrigues Dias; USE OF MANAGEMENT CONTROL SYSTEMS IN DECISION MAKING PROCESS IN HOSPITALS: A COMPARISON BETWEEN MANAGERS RESPONSIBLE FOR THE ADMINISTRATION AND THE MEDICAL STAFF de Ilse Maria Beuren, Cristian Baú Dal Magro e Dirceu Rodrigues Dias; ANALYSIS OF HEALTHCARE COST ASSISTANCE OF A BRAZILIAN INSURANCE COMPANY de Marcelo Coelho de Sá, José Alfredo Ferreira Costa, Mariana Rodrigues Almeida e Elias Antonio Borges de Abreu; AN EVALUATION OF HOSPITAL INFORMATION SYSTEMS IN THE

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BRAZILIAN STATE OF SANTA CATARINA de Clarissa Carneiro Mussi, Antonio José Balloni, Rafael Faraco Luiz Cordioli, Luiz Alberto Cordioli, Ademar Dutra e Christine Pereira; INTEGRATED MANAGEMENT OF MEDICAL AUDIT AND INFORMATION SYSTEMS: A CASE STUDY IN A MEDICAL COOPERATIVE WORK de Márly Ludmer e Gilson Ludmer. Segundo o moderador, o nível das discussões foi elevado, os temas muito atuais e relevantes para as áreas de auditoria, saúde e sistemas de informação. Na sessão 4(B), com o tema EDU PP - IS and IT Education and Curriculum Development, o moderador foi o Prof. Mehran Misaghi para a apresentação dos trabalhos: SOCIAL MEDIA: THE USE OF FACEBOOK AS A TOOL TO SUPPORT LEARNING IN HIGHER EDUCATION de Cristian Tadeu Von Der Hayde, Camila da Silva Schmitt e Maria Jose Carvalho de Souza Domingues; INFORMATION AND COMMUNICATION TECHNOLOGIES IN THE CLASSROOM: AN ANALYSIS OF THE HIGH SCHOOL GRADUATES de Maria José C. S. Domingues, Luiz Henrique Silva, Fabiano de Oliveira; FORMATIVE AND CUSTOM DEBRIEFING IN BUSINESS SIMULATION, de Anderson de Andrade Santos, José Dutra de Oliveira Neto e Ralf Landim Reith; THE DEVELOPMENT OF CURRICULA IN EDUCATIONAL INSTITUTIONS FROM COUNTRIES IN SOUTH AMERICA: A COMPARATIVE STUDY IN LIGHT OF THE OVERALL CURRICULUM PROPOSED BY THE UNCTAD / ISAR, de Rodrigo Paiva Souza e Marilu Nunez Palomino e THE PROFILE OF COURSE INTERMEDIATE ACCOUNTING IN THE NORTH AMERICAN UNIVERSITIES, de Jose Alonso Borba, Victor Sturdze, Tádzio Castro Borba e Carolina Aguiar da Rosa. Segundo o moderador, na primeira apresentação, sobre o uso de mídias sociais no processo de aprendizagem, foi muito promissor. Houve comentários e elogios. Também foram questionados o nível de maturidade dos alunos que participaram da pesquisa e a melhor forma de aproveitar as informações. Na apresentação sobre o uso de ferramentas tecnológicas na sala de aula, foi ressaltado que é importante preparar o corpo docente para proder aproveitar e canalizar da melhor forma essas tecnologias, a fim de aumentar o nível de aprendizado. Na terceira apresentação, foi discutido o conceito de Debriefing, pouco conhecido e muito importante. É um conceito visado para o jogo de negócios, que pretende aproximar o professor de seus alunos. Na quarta apresentação, foi apresentada uma visão sobre currículo global para a contabilidade e um comparativo entre o currículo tradicional crítico e pós-crítico. Houve comentários a respeito da dificuldade de adoção de um currículo global. Na quinta e última apresentação, a importância de disciplina de contabilidade intermediária foi discutida. Na sessão 4(C), com o tema ITM PP - Information Technology Management, a moderação foi realizada pela Profa. Cristiane Drebes Pedron, que coordenou a apresentação dos trabalhos: CONTINUOUS INVESTIMENTS IN TI BY BRAZILIAN BANKING INDUSTRY: OPERATIONAL COSTS REDUCTION STRATEGY AND OBTAINING COMPETITIVE ADVANTAGE de Oscar Bombonatti Filho, Marcos Antonio Gaspar; THE INFLUENCE OF CLOUD COMPUTING IN BUSINESS MODELING OF SMALL AND MEDIUM-SIZED ENTERPRISES (SMES) de Carlos Mamori Kono, Leonel Cezar Rodrigues e Luiz Carlos Fraga e Silva Junior; THE APLICATION OF ANALYTIC HIERARCHIC PROCESS-AHP METHOD IN DECISION-MAKING TOWARDS THE ADOPTION OF CLOUD COMPUTING de Adriane Araújo de Oliveira, José Alfredo Ferreira Costa, Manoel Veras de Sousa Neto;

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SCRUM IN PROJECTS USING FIXED TERM de Jaqueline Aparecida Jorge Papini e Allan Kardec Silva Soares; DEFINING MARKET INTELLIGENCE CONCEPT BASED ON ITS COMPLEMENTARITY TO COMPETITIVE INTELLIGENCE: THEORETICAL STUDY IN AN ENTREPRENEURIAL SECTOR de George Leal Jamil. Segundo a moderadora, o artigo sobre TI no setor bancário foi exploratório e utilizou dados secundários, o que abriu oportunidade para discussão e idéias de trabalhos futuros. O artigo sobre computação em nuvem em PMEs suscitou muitas perguntas. Alguns especialistas na platéia trouxeram explicações complementares e experiências de empresas. A apresentação seguinte, também sobre computação em nuvem, permitiu a continuidade da discussão anterior. A apresentação sobre SCRUM também esteve relacionada ao assunto anterior. A sessão 4(D), cujo tema foi ISM RF - Information Systems Management, teve como moderadora a Profa. Paula Guadanhim Generoso e contou com a apresentação dos trabalhos: MANAGEMENT INFORMATION SYSTEMS APPLIED TO LOGISTICS. MANAGEMENT APPROACH de Naiara Simone Valadão Silva, Pamela Ferreira Alves Andrelo e Alessandro Marco Rosini; THE PDCA AS A TOOL TO SUPPORT THE IMPLEMENTATION OF STRATEGIC PLANNING IN ORGANIZATIONS de Carla Zandavalli, Marta Inês Caldart de Mello e Ana Clara Medina Menezes de Souza; TECHNOLOGY MANAGEMENT AS A TOOL FOR CONTINUOUS CONSULTING IN FRANCHISES de Maria Carolina Conejero e Antonio Carlos Aidar Sauaia; STRATEGY, INFORMATION TECHNOLOGY: NEW PERSPECTIVES OF INFLUENCE ON PERFORMANCE de Adilson Carlos Yoshikuni e Edson Luiz Riccio. Segundo a moderadora, todas as apresentações geraram dúvidas, contribuições e sugestões. Na sessão 4(E), com o tema ISM PP - Information Systems Management, moderada pelo Prof. Joshua O. Imoniana e pela Profa. Rina Xavier Pereira, foram apresentados os trabalhos: ANTECEDENTS TO WEBSITE SATISFACTION, LOYALTY, AND WORDOF-MOUTH de Brent Coker; TO BE EMPOWERED TO LEAD IN VIETNAM: PERFORMANCE MANAGEMENT & ERP TEAMWORK IN A BOUNDARYLESS ORGANIZATION de Marc Valax; VIRTUAL AND REALITY: THE NUMERICAL BOUNDARIES. ANALYSE OF TWO INTERACTIVE AND TOTAL IMMERSIVE DEVICES WITH HEADSET (360° VISION) de Stéphane Brosia, Marielle Metge, Serge Agostinelli e Evelyne Lombardo; DESARROLLO DE UNA OPCIÓN DE POSGRADO EN ESTUDIOS SOBRE ALTA DIRECCIÓN EN FUNCIONES INFORMÁTICAS EN MÉXICO, CASO DE ESTUDIO LA MAESTRÍA EN ALTA DIRECCIÓN EN SISTEMAS DE INFORMACIÓN de Eva Martha Chaparro Salinas, Julio Alvarez Botello e Araceli Romero Romero; DIGITAL UNIVERSITY: CHALLENGES AND DEVELOPMENT OPPORTUNITIES de Minerva Martinez Avila, Eva Martha Chaparro Salinas e Julio Alvarez Botello; IMPLEMENTATION OF A COMMUNITY CENTER AND DIGITAL SERVICES WITHIN THE SCHOOL OF ACCOUNTING AND ADMINISTRATION U.A.E.M. de Felisa Yaerim López Botello, Minerva Martinez Avila, Juan Alberto Ruiz Tapia; STUDY OF THE IMPACT OF E-COMMERCE IN THE POPULATION OF TOLUCA VALLEY de Julio Alvarez Botello, Eva Martha Chaparro Salinas e Felisa Yaerim López Botello. Segundo os moderadores, as discussões foram extremamente relevantes, com destaque para as grades dos cursos no México e o uso da tecnologia para o ensino à distância. Também foi discutida a importância do uso da TI no ensino no mundo.

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A sessão 4(F) com o tema E-GOV PP - E-governance and Public Policies foi moderada pelo Prof. Fernando Hadad Zaidan e contou com os trabalhos: ANALYSIS OF INFORMATIONAL CONTENT OF AUDITORS OF THE COURTS IN THE BRAZILIAN STATES de Francisca Francivânia Rodrigues Ribeiro Macêdo e Izabela Cristina de Sousa Costa; SPED - SYSTEM OF BOOKKEEPING PUBLIC DIGITAL, EFDCONTRIBUTIONS de Cristiny Luize Zluhan e Sérgio Murilo Petri; A DOCUMENTAL ANALYSIS REGARDING INFORMATION QUALITY PERCEPTION IN OPEN GOVERNMENT DATA STUDIES de Cláudio Sonaglio Albano, Edson Carlos Germano, Marcelo Henrique de Araujo e Hiroo Takaoka; THE DIGITAL MUNICIPAL TRANSPARENCY: STATUS IN 645 MUNICIPALITIES OF STATE OF SÃO PAULO de Sergio Roberto Silva, Adriana Maria da Costa Ferreira e Marcelo Rabelo Henrique; GRESSUS: A METHODOLOGY FOR IMPLEMENTATION OF BPM IN PUBLIC ORGANIZATIONS de Estelamaris Costa Pina. Segundo o moderador, o primeiro artigo “ANALYSIS OF INFORMATIONAL CONTENT OF AUDITORS OF THE COURTS IN THE BRAZILIAN STATES”, gerou discussões sobre a possibilidade de incluir uma análise quantitativa e do uso de triangulação. No artigo sobre SPED, a discussão girou em torno da integração dos sistemas de informação dos mais variados padrões SPED. Na apresentação sobre percepção da qualidade de informação, foi discutida a complexidade da avaliação da qualidade de informação. De forma geral, o moderador considerou o debate proveitoso e participativo, com discussões de alto nível. Na sessão 4(G), cujo tema foi XBRL PP XBRL and Enterprise Onthology, a moderação foi realizada pelo Prof. Luis Felipe de Souza Salomão, que coordenou a apresentação dos trabalhos: SOA AND XBRL: SOA MODEL IMPLEMENTATION AND INTEGRATION WITH XBRL de José Rogério Poggio Moreira e Paulo Caetano da Silva; ONTOLOGY AND METHODOLOGIES FOR INFORMATION TECHNOLOGY: A CASE STUDY FOR COMICS de Danilo F. Ribeiro e Marcos Luiz Mucheroni; XBRL LANGUAGE: A CASE STUDY OF TAXONOMY DEFINITION AND SOFTWARE IMPLEMENTATION OF DATA MEDICAL PROCEDURES TRANSFER FROM CLINICS HOSPITAL OF UFPE FOR SUS de Aldemar de Araújo Santos, Lucas Lira Gomes, Raony Benjamim de Assis, Tiago De Moura Soeiro, Paulo Caetano da Silva; XBRL GIS – INTEGRATING GEOGRAPHIC INFORMATION IN XBRL DOCUMENTS de Marcio Alexandre Pereira da Silva, Paulo Caetano da Silva, Jorge Alberto Prado de Campos; SIMILARITY EVALUATION BETWEEN CONCEPTS REPRESENTED BY XBRL de Marta Mesquita Mota Dunce, Paulo Caetano da Silva, Sidney Viana; MARKETING OF PRODUCTS AND SERVICES IN BAHIA SOFTWARE INDUSTRY: AN ANALYSIS OF THE POTENTIAL BARRIERS de Fabricio Santos Vitória, Elvia Cavalcanti Fadul, Lucas Santos Cerqueira. Segundo o moderador, as discussões sobre o assunto principal, XBRL, foram profundas, uma vez que um dos autores presentes, Prof. Dr. Paulo Caetano da Silva, é um especialista no assunto. O moderador também considerou as temáticas como atuais e apontou que elas estão sendo implantadas em nível mundial. A sessão 4(H), com o tema AIS RF - Accounting and Enterprise Information Systems, teve como moderador o Prof. Adriano Dinomar Barp e contou com a apresentação dos trabalhos: DISCLOSURE OF LIABILITIES AT FAIR VALUE SECTOR ENTERPRISES CONSTRUCTION OF BM&FBOVESPA de Edson Roberto Macohon, Nádia Nara de Godoy, Vitor Paulo Rigo e Roberto Carlos Klann; STATISTICAL ANALYSIS IN

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DETECTION OF DEVIATION OCCURRENCE IN THE DISTRIBUTION OF FIRST SIGNIFICANT DIGIT OF STATE PUBLIC SPENDING IN RELATION TO THE STANDARD DISTRIBUTION DEFINED IN NEWCOMB-BENFORD'S LAW de José Isidio de Freitas Costa, Silvana Karina de Melo Travassos, Tiago de Moura Soeiro, Josenildo dos Santos; ANALYSIS OF ACCOUNTING MEASUREMENT OF FIXED ASSETS OF MACHINERY AND EQUIPMENT COMPANIES LISTED ON BM&FBOVESPA de Sady Mazzioni, Silvana Dalmutt Kruger, Fernanda Albert e Clésia Ana Gubiani; BUDGET PRACTICES FROM AGRICULTURAL COOPERATIVES IN SANTA CATARINA STATE de Fernando Maciel Ramos, Inês Liani Menzel Warken, Jorge Ribeiro de Toledo Filho, Jéssica Marchese Furtado, João Paulo Colpani; PERFORMANCE MEASURES IN SCIENCE, TECHNOLOGY AND INNOVATION INSTITUTIONS: A CASE OF LUZ SÍNCROTRON’S NATIONAL LABORATORY de Eduardo Frare, Ricardo Lopes Cardoso e Jandira Sandra Ferreira. Segundo o moderador, as discussões giraram em torno dos seguintes tópicos: posicionamentos dos autores acerca do assunto das práticas orçamentárias; a forma de calcular o valor justo no mercado de ativos, a utilização de critérios econômicos no cálculo do valor justo de um ativo; sugestões de utilização da fórmula da lei NB no setor privado, o posicionamento dos órgãos reguladores sobre os temas abordados e o motivo do aumento do número de cooperativas de crédito. Ainda, o moderador considerou os temas bastante relevantes e atuais e comentou que a audiência participou ativamente de todas as apresentações.

14 JUNE / 14 DE JUNHO (FRIDAY / SEXTA-FEIRA) Na sessão 5(A), cujo tema foi INV RF IS and IT Innovation and Change, o moderador Prof. Gilberto Perez coordenou a apresentação dos trabalhos: BIG DATA: BRINGING NEW OPPORTUNITIES AND CHALLENGES de Vivaldo Jose Breternitz, Leandro Augusto Silva; PROTOTYPE FOR ANDROID APPLICATION IN WORLD CUP 2014 USING PATTERNS DESIGN de Luan Zimmer, Carla de Almeida Martins Basso, Tiago Zonta; SCOPE MANAGEMENT: A CASE STUDY OF SPORT EVENTS PROJECTS de Catarina Duarte dos Santos e Roque Rabechini Jr; THE OUTSOURCING SERVICE OF INFORMATION TECHNOLOGY INTO SUPPLY CHAIN: A CASE STUDY de Jonas Douglas De Paula e Adriana Prest Mattedi. Segundo o moderador, cada apresentação gerou, em média, 4 a 5 perguntas. Os principais temas abordados giraram em torno das abordagens metodológicas e os resultados das pesquisas. Os temas debatidos foram atuais, com destaque ao trabalho sobre Big Data. A sessão 5(B) , teve como tema NET PP Internet, e contou com a moderação do Prof. Rogério Salles Loureiro coordenou na apresentação dos trabalhos: ACADEMIC SOCIAL NETWORKS: A CONCEPTUAL INTRODUCTION de Dalton Lopes Martins e Sueli Mara Soares Pinto Ferreira; TWITTER AND BANKS: A RESEARCH ABOUT THE BEHAVIOR OF FINANCIAL INSTITUTIONS IN SOCIAL NETWORKS AND THE EFFECTS ON THE BRAND de Ramon Simões Sérgio, Tania Pereira Christopoulos e Edmir Parada Vasques Prado; ANALYSIS COLLABORATION NETWORKS OF SCIENTIFIC PUBLICATIONS de Thiago Magela Rodrigues Dias, Patrícia Mascarenhas Dias e Gray Farias Moita; VIRTUAL BRAND COMMUNITIES AND ENGAGEMENT JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 407-455

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CREATION – AN QUALITATIVE INVESTIGATION de Wilian R. Feitosa, Carlos Eduardo Lourenço, Delane Botelho e Francisco Saraiva. Segundo o modeador, as discussões foram de alto nível, principalmente porque os temas apresentados estavam correlacionados. O tema de redes sociais é um tema de extrema relevância e merece ser discutido com profundidade, pois interfere na vida pessoal e profissional de todos. Na sessão 5(C), com o tema ITM RF Information Technology Management, a moderação ficou sob a responsabilidade do Prof. Kumiko Oshio Kissimoto e foram apresentados os seguintes trabalhos: STRATEGIC KNOWLEDGE MANAGEMENT IN PRODUCTION: USE OF RFID TECHNOLOGY (RADIO-FREQUENCY IDENTIFICATION) IN CONTROLLING ACTIVE EQUIPMENTS IN INDUSTRIAL ENVIRONMENTS de Cláudio Roberto Magalhães Pessoa, George Leal Jamil, Danilo Marcus Ribeiro Gonçalves e Roberto Oliveira De Souza; TECHNOLOGICAL INNOVATION IN THE BRAZILIAN TELECOMMUNICATIONS INDUSTRY: AN ANALYSIS UNDER THE PERSPECTIVE OF INTERACTION IN THE SERVICE DELIVERY CHAIN de Alair Helena Ferreira. Segundo o moderador, as duas apresentações levantaram discussões bastante interessantes. A apresentação sobre RFID levantou questões sobre a importância e a dificuldade de alinhar a gestão da TI e gestão empresarial. A apresentação sobre inovação tecnológica em telecomunicações levantou questões importantes para a contribuição das universidades para fomentar a inovação. Também foi levantada a questão da convergência tecnológica. A sessão 5(D), com o tema INT PP Internet, teve como moderador o Prof. Márcio de La Cruz Lui e contou com a apresentação dos trabalhos: ARE NATIONS SO DIFFERENT ACCESSING THE INTERNET? de Alexandre Cappellozza, Gustavo H. S. Moraes e Cláudio L. C. Larieira; CONTINUED USAGE OF E-LEARNING: EXPECTATIONS AND PERFORMANCE de Fernando Antonio de Melo Pereira, Anatália Saraiva Martins Ramos, Adrianne Paula Vieira de Andrade e Bruna Miyuki Kasuya De Oliveira; DIGITAL LITERACY X COMMUNICATION RESEARCH de Ligia Capobianco; THE BEHAVIOUR OF THE ADOPTION OF ELECTRONIC BOOKS COMPARED TO PRINTED BOOKS: A STUDY WITH USERS OF SOCIAL NETWORKS de Adrianne Paula Vieira de Andrade e Anatália Saraiva Martins Ramos; SATISFACTION AND CONTINUANCE USE IN A VIRTUAL LEARNING ENVIRONMENT de Fernando Antonio de Melo Pereira, Anatália Saraiva Martins Ramos e Márcio Marreiro das Chagas. Segundo o moderador, o nível de discussão foi muito elevado, com participação do público interagindo e contribuindo com sugestões para a melhoria das pesquisas. As questões levantadas tiveram muita relação com as conclusões, principalmente relacionadas às amostras utilizadas. As temáticas foram relevantes para contribuir ao avanço das pesquisas relacionadas aos temas expostos e muitos artigos poderão ser melhorados conforme discussões estabelecidas. Na sessão 5(E), com o tema ESD PP Engineering and Software Development, a moderação foi realizada pelo Prof. Carlos Eugênio Palma da Purificação e foram apresentados os seguintes trabalhos: IMPLEMENTATION OF THE AHP METHOD TO BE USED AS A TOOL FOR CONTINUITY PROJECTS SELECTION AND PRIORITIZATION de Mauro Leonardo Menicuci, Cláudia Terezinha Kniess; A TOOL FOR OPTIMAL MANUAL TEST CASES SELECTION de Lorena do Carmo Caldas e Antonio Mauricio da Silva Pitangueira; USING A REFERENCE ARCHITECTURE TO SUPPORT THE DEVELOPMENT OF A TESTING TOOL FOR CONCURRENT

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SOFTWARE de Rodolfo Adamshuk Silva, Simone do Rocio Senger De Souza e Paulo Sergio Lopes de Souza; ENGENDSL – A DOMAIN SPECIFIC LANGUAGE FOR WEB APPLICATIONS de Carlos Eugênio Palma da Purificação e Paulo Caetano da Silva; A COMPARATIVE ANALYSIS OF THE TRADITIONAL MODEL (WATERFALL) FOR SYSTEMS DEVELOPMENT. PROJECT MANAGEMENT AND THE AGILE MODEL IN SOFTWARE FACTORIES de Mario Augusto Rivas Castillo e Enock Godoy de Souza. A sessão 5(F), com o tema COMM - Communication papers, contou com a apresentação dos trabalhos: UM MODELO PARA RECOMENDAÇÃO DE OBJETOS DE APRENDIZAGEM EM COMUNIDADES DE PRÁTICA BASEADO NA CONFIANÇA de Luís Augusto Machado Moretto; A PROPOSED STANDARD FOR PUBLICATION OF PUBLIC BUDGET EXECUTION IN BRAZIL de Marcelo Tavares de Santana e Gisele Craveiro da Silva; ACCEPTANCE OF INFORMATION SYSTEM IN THE SECRETARY OF HEALTH de Sabrina De Los Santos Chaves, Ariel Behr e Everton Fariasda Silveira. Na sessão 5(G), que teve como tema ICT RF - Information and Communication o moderador foi o Prof. Antonio Carlos dos Santos que coordenou a apresentação dos trabalhos: INFORMATION MANAGEMENT IN ORGANIZATIONAL SETTINGS: REFLECTIONS FOR THE IMPLEMENTATION OF A COLLABORATION PLATFORM de Daniele Gonçalves Brene e José Modesto Silva; INFORMATION LITERACY IN VIRTUAL LEARNING ENVIRONMENTS IN HIGHER EDUCATION de Rita Costa Veiga Zamboni e Cibele Araujo Camargo Marques dos Santos. Segundo o moderador, os dois artigos apresentados tiveram um amplo espaço para as discussões em função do pouco público e número de artigos. No primeiro artigo, as contribuições foram na direção de redução do escopo das organizções a serem avaliadas e na aplicação de modelos como BMM, nas considerações do trabalho. No segundo artigo, as discussões foram relacionadas com a transformação das competências informacionais em competências práticas (skills), tendo por base as motivações das pessoas que desejam aprender em ambientes de aprendizagem virtuais. Technology,

Na sessão 5(H), que teve como tema AIS PP - Accounting and Enterprise Information o moderador foi o Prof. Adolfo Alberto Vanti que coordenou a apresentação dos trabalhos: THEORETICAL CATEGORIES AND PRACTICES RELATED TO OPERATIONAL RISK: A STUDY ON FINANCIAL CONGLOMERATES IN BRAZIL de Marcos Crepaldi e Eduardo Schnorr; THE SEMANTIC WEB AND THE PROFESSIONAL ACCOUNTING: AN ANALYSIS USING THE SOCIOLOGICAL APPROACH de Janilson Antonio da Silva Suzart; A DECISION SUPPORT SYSTEM FOR PRICING: A CASE STUDY OF A CAR RENTAL COMPANY de Antônio Artur de Souza e Gustavo Ananias Cunha; EVALUATING THE USABILITY OF ACCOUNTING SOFTWARES FROM PROFESSIONAL´S PERSPECTIVES de Luís Carlos Barbosa dos Santos, Ricardo Rodrigues Barbosa, Frank Nero Pena Vasc e Rogério Cardoso; AN ANALYSIS OF THE IMPACT OF USER’S POSITION AND EDUCATION LEVEL ON THEIR ASSESSMENT OF ENTERPRISE RECOURSE PLANNING SYSTEMS de Warley Wanderson do Couto, Antônio Artur De Souza, Ewerton Alex Avelar e Eloísa Helena Rodrigues. Segundo o moderador, as discussões envolveram questões significativas sobre a atuação do contador frente às tecnologias, riscos, semântica e estabilidade. Systems,

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A sessão 6(A), com o tema INV PP - IS and IT Innovation and Change, teve como moderador o Prof. Alexandre Cappellozza e contou com a apresentação dos trabalhos: FOR RELEASE OF CORPORATE STRATEGIES BASED ON BALANCED SCORECARD - BSC: CONTROLAR COMPANY – A CASE STUDY de Maria do Carmo Assis Todorov, Claudia Terezinha Kniess e Marcos Brandão; MATURITY IN PROJECT MANAGEMENT AND STRATEGIC ENTREPRENEURSHIP IN FINANCIAL SERVICES de Luciana Reis Julio e Marcos Roberto Piscopo; STRATEGIC POSITIONING OF PRODUCTS WITH TECHNOLOGICAL INNOVATION: THE WIFI PRODUCT CASE de Márcio De La Cruz Lui e Braulio Oliveira; TAGUCHI METHOD FOR MEASURING THE INFLUENCE OF CONFIDENTIALITY, INTEGRITY AND AVAILABILITY OF DATA ON THE RESULTS OF TECHNOLOGICAL INNOVATION de Henio Fontão, Waldomiro May, Eloisa de Moura Lopes e Leonel Cezar Rodrigues. Segundo o moderador, as questões relacionaram-se ao desenvolvimento de pesquisas futuras e discussões focadas no tema da inovação tecnológica, além de reflexões sobre a gestão das empresas. Foram abordadas ainda as questões sobre metodologia. A sessão 6(B), com o tema KMG PP - Knowledge Management and Business teve como moderador o Prof. Alair Helena Ferreira e contou com a apresentação dos trabalhos: CUSTOMER FOCUS: AN EXPLORATORY STUDY ON THE IMPORTANCE AND USE OF STRATEGY AND PROJECT MANAGEMENT de Lorene Carvalho Biten; CONCEPTUAL MODELING IN SYSTEM SIMULATION: PRINCIPLES FOR CONSTRUCTION GOOD MODELS de Marcos Ricardo Rosa Georges. Segundo o moderador, houve um alto nível de discussões nos dois papers apresentados. No primeiro artigo, o alinhamento dos projetos à estratégia empresarial foi mensurado a partir da metodologia DELTA. Foram abordadas questões metodológicas para a escolha da amostra. No segundo artigo, foram ilustrados muitos cases com a aplicação dos princípios de modelagem abordados no paper. Intelligence,

Na sessão 6(C), o tema ITM PP - Information Technology Management, teve a moderação da Profa. Carla de Almeida Martins Basso e contou com a apresentação dos trabalhos: THE INFLUENCE OF SAFETY RISK MANAGEMENT IN COMPLEX PROJECTS AND PROGRAMS IN ACCIDENTS: A QUANTITATIVE APPROACH USING POISSON REGRESSION de Domingos M. R. Napolitano e Roque Rabechini Jr.; THE USE IN SCALE OF MOBILE PAYMENT IN BRAZIL: AN ANALYSIS OF TRENDS USING THE DELPHI METHOD de Gilberto Perez, Aline Agostini Dalla Rosa, Alberto de Medeiros Jr e Michelle Coma; MANAGEMENT TECHNOLOGY: GUIDELINES FOR INNOVATION de Wander de Moraes Paes e Demi Gestchko; AVALIAÇÃO DE PROCESSOS DE SEGURANÇA DA INFORMAÇÃO INTEGRANDO AS ÁREAS DE CONTROLADORIA e TECNOLOGIA DA INFORMAÇÃO de Luiz Carlos Schneider, Adolfo Alberto Vanti, Angel Cobo e Rocio Rocha. Segundo a moderadora, as discussões envolveram esclarecimentos de questões de pesquisas, como métodos utilizados e algumas opiniões de expectadores. Entre os assuntos abordados, destacou-se o surgimento das novas tecnologias e dificuldade das pesquisas acadêmicas acompanharem essa rápida evolução. A sessão 6(D), com o tema ISM PP - Information Systems Management, teve como moderador o Prof. Leandro Alves Patah e contou com a apresentação dos trabalhos: A MULTI-CRITERIA APPROACH FOR PRIORITIZING PROJECTS AT A

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PROFESSIONAL MASTER'S PROGRAM de Sergio Bomfim Martins, Emerson Antonio Maccari e Cibele Barsalini Martins; A MANAGEMENT VISION OF SYSTEMATIC FOR THE MONITORING AND CONTROL OF THE EXECUTION OF ST&I PROJECT ON SCIENTIFIC AND TECHNOLOGICAL INSTITUTIONS de Antonio Ramalho de Souza Carvalho e Liga Maria Soto Urbina; BUSINESS CONSUMER BEHAVIOUR IN ACQUISITION OF DIGITAL SERVICES de Andréa Pereira Ghirotti, Leonardo Fabris Lugoboni, Letícia Sakamoto Soares e Rina Xavier Pereira. Segundo o moderador, o nível das discussões foi bastante profundo. As questões levantadas tiveram o objetivo de auxiliar na melhoria dos trabalhos. As temáticas foram extremamente atuais: portfólio de projetos em mestrados profissionais, projetos de inovação na aeronáutica e consimidores de serviços de PMEs. Na sessão 6(E), o tema AUD PP - Systems Auditing and IT Governance, foi moderado pelo Prof. José Dutra de Oliveira Neto e contou com a apresentação dos trabalhos: TRANSPARENCY MEASURES IMPLEMENTED BY ORGANIZATIONS IN THE PROCESS OF CORPORATE GOVERNANCE de Joshua Onome Imoniana, Amanda Borges Magalhães, Fernanda Nascimento Pinheiro de Almeida e Jaqueline da Silva Macedo; STAGE GATES PROJECTS- ANALYSIS OF A CUSTOMIZED APPLICATION TO INDUSTRIAL AUTOMATION PROJECTS de Paulo Eduardo Mondin e Cristina Dai Pra Martens; THEORY OF CONSTRAINTS APPLIED TO BALANCING OF THE PORTFOLIO OF PROJECTS: A CASE STUDY de Everton Gomede e Rodolfo Miranda de Barros; ADOPTION OF GOOD PRACTICES IN INFORMATION TECHNOLOGY GOVERNANCE BY BRAZILIAN FEDERAL RESEARCH INSTITUTES de Antonio Eduardo Albuquerque Junior e Ernani Marques dos Santos. A sessão 6(F), de COMM - Communication papers, teve como moderadora a Profa. Adicineia Aparecida Oliveira e contou com a apresentação dos trabalhos: BLENDED LEARNING: THE USE OF MOODLE AS A TEACHING AID FOR CLASSROOM COURSES de Euro Marques Jr., José Dutra de Oliveira Neto e Emília de Mendonça Rosa Marq; ORGANIZATIONAL KNOWLEDGE: A STUDY OF THE AMBIGUITY OF SHARING AND PROTECTION de Rogerio Salles Loureiro e Dalila Alves Correa; QUALITY SERVICE AND IT INVESTMENTS INDICATORS: IMPROVING THE IT INVESTMENTS de Luiz Fernando Bono Milan Albertin e Pedro Luiz Bono Milan Albertin; STANDARDIZATION AT ATTENDANCE THE SERVICE DESK IN A PUBLIC HOSPITAL USING ARTIFICIAL INTELLIGENCE TECHNIQUES de Edquel Farias Bueno Prado e Renato Sassi José; TECHNOLOGICAL RESILIENCE MODEL PROPOSED FROM THE CONTEXT OF IT CONSUMERIZATION de Mery Blanck. Segundo a moderadora, todos os trabalhos geraram muita discussão e as questões levantadas foram consideradas produtivas. Na sessão 6(G), E-COM PP - E-business and E-commerce, a moderação foi realizada pelo Prof. Carlos Eduardo Lourenço e contou com a apresentação dos trabalhos: MOBILE INFORMATION TECHNOLOGY ACCEPTANCE AND USE IN ORGANIZATIONS OF THE PUBLIC TRANSPORTATION SECTOR de Camila Mariane Costa Silva e Edmir Parada Vasques Prado; INTERNET IN THE HOTEL SECTOR: AN INVESTIGATION ABOUT THE USE OF THE INTERNET FOR HOTELS AND HOSTELS IN SANT’ANA DO LIVRAMENTO/RS de Fabiele Rodríguez Pereira, Ariel Behr e Kathiane Benedetti Corso; USE OF SECURITY MECHANISMS AND CUSTOMER SATISFACTION WITH BRAZILIAN ELECTRONIC COMMERCE de Pablo dos Santos Silva, Douglas de Lima Feitosa; UNDERSTANDING INFORMATION

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SOCIETY IN BRAZIL: AN EXPLORATORY ANALYSE ON URBAN BRAZILIAN INTERNET USERS de Marcelo Henrique de Araujo e Nicolau Reinhard. Segundo o moderador, a sessão foi dominada por trabalhos de graduação e início de mestrado que não apresentavam referencial extenso ou profundo. Apenas um estudo apresentou maior rigor metodológico, utilizando técnicas estatísticas multivariadas. Ainda assim, as discussões foram ricas no aspecto metodológico e na análise de dados. O moderador também disse considerar válido o esforço de inclusão de trabalhos de graduação, pois isso permite a participação de um pesquisador em formação, aumentando o número e a heterogenia do número de participantes do CONTECSI. A sessão 6(H), com o tema AIS RF Accounting and Enterprise Information Systems, contou com a apresentação dos trabalhos: ELETRONIC INVOICE IN BRAZIL: ANALYSIS OF THE OPERATIONAL MODEL de Sergio Roberto Silva, Rosangela de Carvalho e Ludivia Hernandes A.; MULTILEVEL MEASUREMENT SYSTEM PERFORMANCE TO ESTABLISH STRATEGIC DIALOGUE: A CASE STUDY IN ACCOUNTING SERVICES de André Gobette Santana, Silvio Aparecido Teixeira e Carlos Facin Lavarda.

F) TRABALHOS CONTECSI-2013:

QUE

RECEBERAM

MENÇÃO

HONROSA

NO

10º

O 10º CONTECSI também se preocupou em destacar os melhores trabalhos apresentados no evento, tanto do ponto de vista acadêmico quanto prático. Para tanto, foram levados em consideração os pareceres dos membros do comitê científico do evento para a classificação dos três melhores trabalhos. Assim, receberam menção honrosa, os seguintes autores com os respectivos trabalhos: Best Paper Award - 10th CONTECSI Melhores trabalhos do CONTECSI indicado pelos avaliadores:  Information Technology as a Technical Resouce for the Memories (Simone Paiva e Maria Candida Soares Del - Masso)  Understanding Organizational Memory from the integrated Management systems ERP (Gilberto Perez e Isabel Ramos)  Antecedents to website satisfaction, loyalty and word of mouth (Brent Coker) TOPICS AIS AUD EDU SOC ESD ICT INT

Accounting and Enterprise Information Systems / Sistemas de Informações Contábeis e Empresariais Systems Auditing and IT Governance / Auditoria de Sistemas e Governança em TI IS and IT Education and Curriculum Development/Educação e Curriculo em SI e TI Social Issues in IS and IT / Questões sociais em SI e TI Engineering and Software Development / Engenharia e Desenvolvimento de Software Information and Communication Technology – Information Science /TICs e Ciência da Informação Internet

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INV ISM ITM KMG SEC XBRL E-GOV E-COM GREEN NET HEA POSTER DOCT MSC COMM

IS and IT Innovation and Change / Inovações e mudanças em SI e TI Information Systems Management / Gestão de Sistemas de Informação Information Technology Management/ Gestão de Tecnologia de Informação Knowledge Management and Business Intelligence / Gestão do Conhecimento e BI IS and IT Security / Segurança em SI e TI XBRL and Enterprise Onthology / XBRL e Ontologia empresarial E-governance and Public Policies / Governo Eletronico e Políticas Públicas E-business and E-commerce / Comércio Eletrônico Green IS and IT / TI e SI verde Virtual Communities and Social Networks / Comunidades Virtuais e Redes Sociais IS and IT in HealthCare / SI e TI em Saúde POSTER Session / Sessão de Posters - Graduação Doctoral Consortium / Consórcio Doutoral Master Colloquium Communication papers / Comunicações de Pesquisa

PS - Parallel Session/Sessão Paralela RF - Research Forum/Forum de Pesquisa ENG - Full Session in English

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UNIVERSITY OF SAO PAULO UNIVERSIDADE DE SÃO PAULO Prof. Dr. João Grandino Rodas Rector | Reitor Prof. Dr. Hélio Nogueira da Cruz Vice-Rector | Vice-Reitor SCHOOL OF ECONOMICS, BUSINESS AND ACCOUNTANCY FACULDADE DE ECONOMIA, ADMINISTRAÇÃO E CONTABILIDADE Prof. Dr. Reinaldo Guerreiro Diretor | Dean Prof. Dr. Edson Luiz Riccio President of CCInt - International Cooperation Office - FEA USP TECSI Director University of São Paulo Organization | Organização FEA USP - Universidade de São Paulo TECSI – Information Systems and Technology Management Lab CCInt FEA Support | Apoio FEA USP - Universidade de São Paulo CAPES – Coordenação de Aperfeiçoamento de Pessoal de Nível Superior CNPq - Conselho Nacional de Desenvolvimento Científico e Tecnológico FAPESP – Fundação de Amparo à Pesquisa do Estado de São Paulo UNINOVE – Universidade Nove de Julho IN3- Inteligência, Informação e Inovação Ministério da Ciência e Tecnologia Partners | Parceiros São Paulo Turismo Oxford Business Group – The inside Edge Rutgers University Universidade do Porto Université Paris Ouest – Ouest Naterre La Defense AIS – Association for Information Systems ANPAD – Associação Nacional de Pós-Graduação e Pesquisa em Administração

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São Paulo Convention & Visitors Bureau ANEFAC – Associação Nacional dos Executivos de Finanças, Aministração e Contabilidade ISACA – Audit and Control Association FIPECAFI – Fundações Instituto de Pesquisas Contábeis, Atuariais e Financeiras GESITI ANPAD – Associação Nacional de Programas de Pós-Graduação em Administração Centro de Tecnologia de Informação Renato Archer FEBRABAN – Federação Brasileira de Bancos

SCIENTIFIC COMMITTEE| COMITÊ CIENTÍFICO A. A. de Souza, Federal University of Minas Gerais, Brazil A. A. Vanti, University of Vale do Rio dos Sinos, Brazil A. Carlos dos Santos, Federal University of São Carlos, Brazil A. de Medeiros Júnior, Mackenzie Presbyterian University, Brazil A. Fischmann, University of São Paulo, Brazil A. J. Balloni, Centro de Pesquisa Renato Archer, Brazil A. Malheiro da Silva, Universidade do Minho, Portugal A. Rosini, Catholic University of São Paulo, Brazil A. Sangster, Univesity of Middlesex, UK B. Quinio, Paris Quest, Nanterre, France C. A. Biancolino, Nove de Julho University,Brazil C. Benavant, Paris Quest, Nanterre, France C. D. Prá Martens, Pierre Mendès France University,France C. D. S. Miranda, University of São Paulo, Brazil C. D. Santos Jr, University of São Paulo, Brazil D. A. Rezende, Catholic University of Paraná,Brazil C. Piaggesi, Fondazione Rosselli Americas, USA E. Brusseau, Paris Dauphine, France E. L. Riccio, University of São Paulo, Brazil E. M. Chaparro Salinas, Universidad Autónoma del Estado del México, México E. M. Luciano, Catholic University of Rio Grandedo Sul, Brazil E. M. R. Estrada, Universidad Autónoma delEstado del México, México E. Maccari, Nove de Julho University, Brazil F. Colmenero Ferreira, University of Madeira, Portugal F. J. Laurindo, University of São Paulo, Brazil G. L. Jamil, Education and Culture Foundation of Minas Gerais, Brazil G. Perez, Mackenzie Presbyterian University, Brazil G. Schwartz, University of São Paulo, Brazil H. Freitas, Federal University of Rio Grande do Sul, Brazil H. N. Rito Ribeiro, College of Technology and Management, Portugal I. Custódio, University of São Paulo, Brazil J. A. Botello, Universidad Autónoma del Estado del México, México J. A. F. Costa, Federal University of Rio Grande do Norte, Brazil J. D. Oliveira Neto, University of São Paulo/RP, Brazil J. G. D. A. Teixeira Filho, Federal University of Pernambuco, Brazil

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J. O. De Sordi, Catholic University of Santos, Brazil J. P. Alcázar, University of São Paulo, Brazil J. Pimenta Matos, Federal Institute of Education Science and Technology os São Paulo, Brazil J. Rodrigues Filho, Federal University of Paraiba, Brazil L. C. Rodrigues, Nove de Julho University, Brazil L. de Faria Lopes, Federal University of São Carlos, Brazil L. Quoniam, University of Toulon-Var, France M. Alles, State University of New Jersey, USA M. A. Gouvêa, University of São Paulo, Brazil M. A. Hirose Fedichina, Centro Universitário de Jales, Brazil M. A. Silveira, Centro de Technologia da Informação Renato Archer, Brazil M. C. Machado, Instituto Tecnológico da Aeronáutica, Brazil M. G. Sakata, University of São Paulo, Brazil M. J. Bacic, University of Campinas, Brazil M. N. Bessagnet, Universitè de Pau, France M. R. S. Peters, Armando Álvares Penteado Foundation,Brazil M. Vasarhelyi, Rutgers University, USA N. Azoury, Holy Spirit University of Kraslik, Lebanon N. Galegale, University of São Paulo, Brazil N. Reinhard, University of São Paulo, Brazil O. R. de Mendonça Neto, Mackenzie Presbyterian University, Brazil R. C. Penteado Filho, Empresa Brasileira de Pesquisa Agropecuária, Brazil R. Ferreira, Federal University of Mato Grosso, Brazil R. G. Gonçalves, University of São Paulo/RP, Brazil R. L. Cardoso, Mackenzie Presbyterian University, Brazil R. M. C. Figueiredo, University of Brasilia, Brazil R. Pacheco da Costa, University of São Paulo, Brazil S. A. dos Santos, University of São Paulo, Brazil S. R. P. Alves, Instituto Politécnico de Leiria, Portugal T. A. Peters Filho, Faculdade de Engenharia Industrial, Brazil V. Branco de Holanda, Federal University of Rio Grande do Norte, Brazil V. Slomski, University of São Paulo, Brazil W. Castelnovo, University Dell’Insubria, Italy COORDINATOR | COORDENAÇÃO Prof. Dr. Edson Luiz Riccio President of CCInt FEA USP –TECSI Director University of São Paulo ORGANIZING COMMITTEE | COMITÊ ORGANIZADOR Prof. Dr. Edson Luiz Riccio President of CCInt FEA USP –TECSI Director University of São Paulo Prof. Dr. Miklos Vasarhelyi

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President of Rutgers Accounting Center, The New Jersey State University Prof. Dr. Luc Quoniam University of Toulon – Var, France, TECSI Researcher Prof. Dr. Armando Malheiro Silva CETAC Centre for Studies in Technologies, Arts and Communication Sciences Porto University, Portugal Prof. Dr. Christophe Benavent CEROS Centre d’études et de recherches sur les organisations et sur les stratégies Université Paris Ouest Nanterre, France Prof. Dr. Jae Jon Kim Chonnam National University, South Korea Prof. Dr. Neils Bjorn-Andersen - INVITED KEYNOTE SPEAKER Copenhagen Business School, Dennamark Prof. Dr. Marijn Janssen – INVITED KEYNOTE SPEAKER Delft University of Technology, Netherlands Prof. Dr. Donald Owen Case – INVITED KEYNOTE SPEAKER University of Kentucky, USA SUPPORT ORGANIZATION COMMITTEE| COMITÊ ORGANIZADOR DE APOIO Profa. Dra. Marici Gramacho Sakata TECSI FEA USP Researcher, Brazil Profa. MSc Nelma Terezinha Zubek Valente Equipe TECSI/FEA/USP Prof. Dr. George Leal Jamil Doctoral Consortium Organizer- Fumec University, Brazil Washington Lopes da Silva 27th World Continuous Auditing Systems Symposium Marcos de Azevedo Iriarte Webmaster Daniela Biagio Llobet Daniel espana Vallle Vinícius José Gimenes Strano Equipe TECSI/FEA/USP

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Resultados do 10º. CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 453 /Congresso Internacional de Gestão da Tecnologia de Informação e Sistemas de Informação

AUTORES – LANÇAMENTO DE LIVROS O 10º CONTECSI dispôs de um espaço no stand para anunciar o lançamento de livros dos autores presentes relativos aos assuntos relacionados ao evento. Assim, todos os autores puderem divulgar e lançar seus livros no congresso. O espaço em questão não foi destinado à venda, mas à divulgação das referidas obras. EVENTOS CULTURAIS MÚSICA NO 10º CONTECSI O 10º CONTECSI contou também com a presença e apresentação dos seguintes grupos culturais e musicais:

Apresentação de abertura - 12 de Junho BANDA DE MÚSICA DO COMANDO MILITAR DO SUDESTE, ADIDA AO 2º BATALHÃO DE POLÍCIA DO EXÉRCITO A Banda de Música do Comando Militar do Sudeste é constituída por militares do 2º Batalhão de Polícia do Exército, com Quartel em Osasco-SP e traz em suas origens as tradições da Banda de Música do extinto 2º Batalhão de Guardas. Sua Missão em tempo de Paz é apoiar as Organizações Militares sediadas no Comando Militar do Sudeste na Capital, Grande São Paulo e interior, além de desempenhar um importante papel na comunicação social, integrando o Exército Brasileiro com a sociedade paulistana, participando de Desfiles, Solenidades e Apresentações Musicais ao público civil. Nos campos de batalha, a Banda de Música recebe a nobre missão de elevar o moral da tropa, executando marchas e canções militares, despertando no militar, entusiasmo, vibração, sentimento de amor à Pátria e o verdadeiro espírito de combatente, forjado na alma do Soldado Brasileiro. Composta por músicos oriundos das mais diversas regiões de nosso país tem como seu atual Regente o 1º Tenente Regente Músico ADALCIMAR COELHO DA CRUZ, sendo auxiliado pelo Subtenente Mestre de Música LUIZ CARLOS FRANCO CÂNDIDO. Nesta ocasião está sendo conduzida pelo 1º Sargento Músico LAUDIEL DA SILVA.

JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 407-455

www.jistem.fea.usp.br


Riccio, E.l., Sakata, M. C., Valente, N. T. Z., Capobianco, L.

454

REPERTÓRIO: 

Tema da vitória ( Ayrton Senna), arranjo Ten Jacy

Sampa, autor Caetano Veloso, arranjo Sgt Marilho

Conquista do Paraíso, autor Vangelis, arranjo Cap Jacy

Amor perfeito, autora Claudia Leite, arranjo Sub Tenente Telles

Apresentação Do Jantar – 13 De Junho TRIO - FLAUTA, VIOLA E VIOLÃO Dalton Martins - Violino-Viola. Mestre em musicologia e bacharel em composição e regência pelo Instituto de Artes da UNESP. Estudou na Escola Municipal de Música de São Paulo sob orientação de Alejandro de Léon (viola), Naomi Munakata (harmonia) e Marco Pupo Nogueira (história da música). É coordenador pedagógico da Casa da Música de Diadema, onde também leciona violino, viola e prática de orquestra. Paulo Assis - Violão. Compositor e produtor musical. Foi aluno de Vilma Rodrigues, Daniel Clemente e Paulo Porto Alegre. Estudou harmonia e improvisação com Jarbas Barbosa e Harmonia e Arranjo para pequenas formações com Todd Murphy. Atua como diretor artístico da Banda Jazz Sinfônica de Diadema. Vanderlei Cesário - Flauta. Estudou com Antonio Carlos Carrasqueira na antiga Universidade Livre de Música onde passou a dedicar-se ao estudo do repertório de choro. Professor de Educação Musical formado no Clam-Zimbo Trio entre 1994 a 1996. Foi coordenador da Casa da Música de Diadema entre 2001 e 2004. Atuou como flautista da Banda Sinfônica e Banda Jazz Sinfônica de Diadema de 1997 a 2004. Atualmente é diretor artístico da Lira Musical de Diadema. Repertório: Duke Ellington ("Come sunday", "In a sentimental mood") Cole Porter ("Easy to love", "Could it be you") Tom Jobim ("Luíza", "Samba do Avião") Caetano Veloso ("Trilhos Urbanos", "Sampa")

Apresentação de Encerramento – 14 de Junho 

Virado na Gameleira o Mariana Corado, Aline Reis e Igor Caracas

JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 407-455

www.jistem.fea.usp.br


Resultados do 10º. CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 455 /Congresso Internacional de Gestão da Tecnologia de Informação e Sistemas de Informação

Prof. Edson Luiz Riccio – CHAIR / COORDENADOR Professor de Sistemas de Informação e Gestão Internacional da FEA Faculdade de Economia, Administração e Contabilidade da Universidade de São Paulo (USP) em São Paulo, Brasil. Ele também atua há mais de 12 anos como presidente do Escritório de Cooperação Internacional, FEA / USP, onde realizou mais de 120 acordos acadêmicos com instituições de todo o mundo e desenvolveu uma sólida experiência internacional em Educação. Ele é diretor do TECSI - Laboratório de Tecnologia e Gestão de Sistema de Informação desde 1994. Dr. Riccio detém: um doutorado e mestrado em Ciência em Empresas e professor associado em Sistemas de Informação pela Universidade de São Paulo, em São Paulo, no Brasil, do Programa Internacional de Gestão da Universidade de Stanford, EUA, estudos de pósdoutorado em Ciência da Informação em Toulon Var University, França.

Opening Session

Publishing your research paper panel

JISTEM, Brazil Vol. 10, No.2,May/Aug 2013, pp. 407-455

www.jistem.fea.usp.br


JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação Vol.10, No.2, May/Aug, 2013, pp. 456 ISSN online: 1807-1775

Congresso / Conference

11th CONTECSI International Conference on Information Systems and Technology Management May 28th to 30th, 2014 USP/São Paulo/SP FEA USP São Paulo, Brazil The 11th International Conference on Technology and Information Systems Management CONTECSI is an event focusing Technology and Information Systems Management under a multidisciplinary view. CONTECSI aims at putting together academics and professionals involved in IT and Systems management for a state-of-the-art discussion. International researchers are expected to contribute for the integration between the academic and the professional communities. The Conference welcomes papers submission for presentation and panel discussions. Major topics on interest include, but are not limited to: Information Society, Open Systems, Systems Interfacing and Integration, Wireless Computing, Entrepreneurship in IT and IS, Accounting Information Systems, E-Commerce / E-Business, Software Engineering, ERP Systems, Financial Management in Information Systems, IT Strategic Management, etc. Submit online a full paper and abstract in English, Spanish or Portuguese by December, 28th, 2013. All papers will be subject to a blind review process and full papers will be published (CD) in the Conference Proceedings.

More information: http://www.tecsi.fea.usp.br/eventos/contecsi Coordination: Prof. Edson Luiz Riccio. PhD – FEA USP and TECSI Contact: contecsi@usp.br

11º CONTECSI Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação 28, 29 e 30 de Maio de 2014 USP/São Paulo/SP FEA USP São Paulo, Brasil O 11º Congresso Internacional de Gestão da Tecnologia e Sistemas de Informação CONTECSI visa reunir acadêmicos e profissionais envolvidos com a temática de gestão para discussão do Estado-da-arte deste campo. Atualmente este campo encontrase disperso em áreas específicas, carecendo de uma visão holística e integrada do assunto. O CONTECSI contará com a presença de palestrantes de renome, bem como estará aberto para a recepção de trabalhos para serem apresentados em sessões paralelas e painéis. Assim como compareceram nos anos anteriores, são esperados personalidades, professores e pesquisadores do Brasil e do exterior, principalmente de Universidades da França, Inglaterra, Espanha, México, Portugal, Chile, Argentina, Colômbia, Uruguai, Venezuela entre outras. Os foco de interesse deste congresso inclui todas as abordagens referentes à gestão de Tecnologia e dos Sistemas de Informação nas instituições publicas e privadas e na sociedade em geral. Data final para envio de trabalhos: 28 de Dezembro de 2013 Mais informações no site: http://www.tecsi.fea.usp.br/eventos/contecsi Coordenação: Prof. Dr. Edson Luiz Riccio – FEA USP e TECSI Contato: contecsi@usp.br


JISTEM Journal of Information Systems and Technology Management Revista de Gestão da Tecnologia e Sistemas de Informação ISSN online: 1807–1775

Every four months/Quadrimestral

1) Paper Submission Guidelines Register at "Online Submissions" and submit your paper accordingly to JISTEM guidelines. a) Manuscript style Articles must be submitted in English, Spanish, Portuguese or French in MS-Word format. Authors must translate the final version of the article to English. Fill the submission form with: title of the article, author's full name, affiliation, full address, telephone, email, fax and brief curriculum vitae. Limit of 3 co-authors per article. First page must present: title of the article, abstract in the original language of the article of about 100 words, title, area and 5 keywords (if accepted an abstract in English and keywords will be required), Articles must be limited to 30 pages in double-space, Arial or times new roman, 12 points; Authors must include figures and graphics in high-resolution 300 dpi (jpg or gif). They must be numbered (Arabic) and with the complete title. References to each table or figure have to be made in the text. Authors must submit the questionnaires and research results to the editor and review purposes. Acknowledgments to institutions regarding financial support can be included only in the final accepted version. We do not accept articles published elsewhere, except Conference proceedings. b) Structure Style Articles should clearly present the Abstract, Introduction, Objectives, Justification, Question, literature review, research method, results, conclusion, recommendation and limitation, plus references; References are to follow the American Psychological Association (APA) guidelines. More detailed explanations and examples of these guidelines can be found at the following locations: http://www.apastyle.org/faqs.html or Publication Manual of the American Psychological Association (6th ed., 2010) American Psychological Association (APA).A list of reference must be presented in alphabetical order. A glossary can be included in the end of the article if needed. 2) Book Review Book review should be sent by Prof. Edson Luiz Riccio at jistem@usp.br

JISTEM, Brazil Vol.10, No. 2, May/Aug. 2013, pp. 457-458

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458

1) Instruções para submissão de artigo a) Quanto à Formatação Os artigos submetidos para publicação, em inglês, espanhol, português ou francês, devem ser enviados em formato MS-Word. Após aceito, os autores devem traduzir o artigo para o idioma inglês. Incluir no sistema de submissão online: título, subtítulo (se houver), tema, nome, instituição, departamento, endereço, telefone, fax e e-mail do autor e co-autores (máximo de 3 co-autores) e breve curriculum que indique sua formação, instituição/empresa a que pertence e sua área atual de trabalho.; Na primeira página do artigo deve constar: título, subtítulo (se houver), tema e resumo na língua original do artigo, com 100 palavras aproximadamente e 5 (cinco) palavras-chaves. Se o artigo for aceito para publicação será solicitado o envio do título, abstract e palavras-chave em inglês; Os artigos deverão ter no máximo 30 páginas em espaço duplo, fonte arial ou times new roman, tamanho 12; As figuras e gráficos devem estar em alta qualidade com resolução de 300 dpi (figuras) e extensão jpg e/ou gif no artigo. Cada ilustração deve conter numeração e legenda. Deve ser feita referência à figura ou tabela no corpo do texto. Questionários e resultados da pesquisa devem ser enviados para a avaliação do Editor e pareceristas. Agradecimentos a órgãos de financiamento da pesquisa devem ser incluídos apenas na versão final do artigo, após o aceite. A JISTEM só aceita artigos inéditos. b) Quanto à Estrutura Os artigos enviados devem conter em seus tópicos os seguintes itens: Resumo, Introdução, Objetivos, Justificativa, Problema/Questão, Revisão da Literatura, Metodologia, Resultados, Conclusão, Recomendações, Limitações e Referência Bibliográfica; As citações e referências devem seguir o estilo da APA (http://www.apastyle.org/l) As referências deverão ser apresentadas no corpo do texto, incluindo o sobrenome do autor, a data de publicação e o número de página (se for o caso), conforme normas da APA. Referências bibliográficas completas do(s) autor (es) citados deverão ser apresentadas em ordem alfabética, no final do texto, de acordo com as normas da APA. Para maiores informações: American Psychological Association (APA). (2001). Publication Manual of the American Psychological Association (5th ed.). Washington, DC Poderá ser incluído um glossário ao final do artigo, caso o autor julgue necessário; 2) Sugestões de livros para Resenha Resenhas devem ser enviadas para o Prof. Edson Luiz Riccio pelo e-mail: jistem@usp.br

JISTEM, Brazil Vol.10, No. 2, May/Aug. 2013, pp. 457-458

www.jistem.fea.usp.br

Volume X - Number II  

Second number of the 10th edition of the JISTEM (Journal of Information Systems and Technology)

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