Managing innovations is a well studied success factor for companies and organizations. This research focuses on the recently established Lean Startup Methodology (LSM) and the obstacles of implementing it in early- and later-stage business-to-business (B2B) Software as as Service (SaaS) startups. The scarcity of academic research around this framework, in contrast to its popularity, motivated the researchers’ aim to provide a better understanding on how it could be adapted to better fit the needs of these companies.Following an interpretivist paradigm, this qualitative research uses a literature review and semi-structured interviews for its purposes. Interviews were conducted with six individuals at four different early- and late-stage startups. The focus was on understanding the realities of working with innovation management and the different approaches at early and later stage startups. Startups face an abundance of ideas regarding what to do next, a hypothesis confirmed with this study. It is the researchers’ belief that the LSM does not provide sufficient tools for organizations to make an idea selection decision without committing too many resources initially. Lastly, the importance of product ownership for an effective innovation management process was validated.In conclusion, we present the need for an updated Lean Startup Methodology with a dedicated selection step to validate an idea early in the process. This contributes to the theory of innovation management and its practical implementation. The identified gap in academic research around frameworks tailored towards these types of organizations provides a good starting point for future research.

Submitted by June Marques Fernandes (june.marques@gmail.com) on 2018-01-11T14:24:34Z No. of bitstreams: 1 05-Tese Doutorado June Marques Fernandes-11jan2018.pdf: 5912972 bytes, checksum: f1f62a045568184533b4f304b9275ee6 (MD5) / Approved for entry into archive by Maria Tereza Fernandes Conselmo (maria.conselmo@fgv.br) on 2018-01-11T17:15:12Z (GMT) No. of bitstreams: 1 05-Tese Doutorado June Marques Fernandes-11jan2018.pdf: 5912972 bytes, checksum: f1f62a045568184533b4f304b9275ee6 (MD5) / Made available in DSpace on 2018-01-11T17:25:57Z (GMT). No. of bitstreams: 1 05-Tese Doutorado June Marques Fernandes-11jan2018.pdf: 5912972 bytes, checksum: f1f62a045568184533b4f304b9275ee6 (MD5) Previous issue date: 2017-12-12 / As universidades e os centros de pesquisa passaram a desempenhar o papel de capitalizar o conhecimento, propiciando a geração de riqueza e o desenvolvimento social, caracterizando-se como universidades empreendedoras. Contudo, para promover a inovação tecnológica no ambiente acadêmico, observa-se a importância de estruturar um processo de planejamento de negócios tecnológicos (PPNT) que consiga contemplar aspectos sobre produto, tecnologia, transferência de tecnologia e negócios. Dessa forma como parte das contribuições deste estudo, foi realizada aintegração de três processos para consubstaciação do PPNT, são eles: i) o Processo de Planejamento Tecnológico (PPTec), que busca auxiliar na incorporação da tecnologia ao produto e na aproximação deste em relação ao mercado; ii) o Processo de Planejamento de Transferência de Tecnologia (PPTT), que consiste em uma estruturação das fases que compõem o processo de transferência de tecnologia das Universidades para o mercado; e iii) o Processo de Planejamento de Negócios (PPNeg), que corresponde às fases de desenvolvimento do negócio. Observa-se que esses processos de auxílio à gestão da inovação ainda estão envoltos em desperdícios que afetam sua efetiva operacionalização. Em termos práticos isso implica assumir maiores custos para a entrega de tecnologias e negócios ao mercado. Esse aspecto nos conduz a uma reflexão sobre a necessidade da adoção de métodos e ferramentas (denominaremos de “práticas”) orientados pelos princípios lean, em especial para o Lean Product Development (LPD) e o Lean Startup Methodology (LSM). Para responder ao problema de pesquisa proposto – qual seja, “Como as práticas do LPD e LSM contribuem para o PPNT no ambiente acadêmico?” –, foram definidos dois objetivos gerais de pesquisa: a) identificar um conjunto de práticas do LPD que contribuem para a operacionalização do PPTec; b) identificar e avaliar as contribuições das práticas LSM às fases do PPTec, do PPNeg e do PPTT. Para proceder à investigação, esta tese está organizada em quatro capítulos: (i) no capítulo 1, utilizando a pesquisa-ação, objetivou-se a caracterização do modelo de negócios de cada projeto tecnológico analisado; (ii) no capítulo 2, por meio do estudo de casos múltiplos, foi obtida a frequência com que os pesquisadores-empreendedores vivenciaram as categorias e subcategorias de desperdícios durante o desenvolvimento do PPNT, sob a perspectiva do LPD; (iii) no capítulo 3, com a revisão de literatura, foi possível identificar as práticas relacionadas ao LPD capazes de contribuir com a redução dos desperdícios vivenciados pelas equipes dos projetos em diferentes fases do PPTec; (iv) o capítulo 4, por meio da revisão de literatura e, posteriormente, da pesquisa ação, teve o objetivo de identificar e avaliar as práticas LSM capazes de contribuir para mitigar os desperdícios vivenciados pelas equipes dos projetos nas diferentes fases do PPTT e PPNeg. Como resultado da pesquisa, tem-se: 1) a caracterização do modelo de negócio dos casos analisados e a validação empírica do modelo proposto por Reis, Ladeira e Fernandes (2015); 2) uma contribuição ao arcabouço teórico sobre o LPD, na medida em que foi possível identificar as práticas LPD capazes de contribuir com a operacionalização do PPTec em suas diferentes fases, sob uma perspectiva teórica; e 3) uma contribuição ao arcabouço teórico sobre o LSM, uma vez que foram identificadas as práticas LSM capazes de contribuir na operacionalização do PPTec, PPTT e PPNeg, sob uma perspectiva prática. Como limitação da pesquisa, destaca-se que não foram confrontadas as práticas e desperdícios na etapa de ideação da tecnologia. Outra limitação reside no fato da pesquisa ter sido aplicada em somente nove projetos de base tecnológica no ambiente acadêmico. Assim, entende-se importante a ampliação do estudo para spinoffs de outros contextos (corporativos ou públicos). A pesquisa pôde contribuir com o enriquecimento e a ampliação da literatura sobre LPD, LSM e PPNT, além de auxílio ao processo de inovação tecnológica na universidade. / Universities and research centers began to play the role of capitalizing knowledge, fostering wealth generation and social development, characterizing themselves as entrepreneurial universities. However, to promote technological innovation in the academic environment, it is important to structure a Technological Business Planning Process (TBPP), whose composition is based on three pillars: (i) Technological Planning Process (TPP), that seeks to aid the incorporation of technology, (ii) the Technology Transfer Planning Process (TTPP), consisting of a structuring of all the phases that make up the process of transferring technology from universities to the market, and (iii) the Business Planning Process (BPP), that corresponds to the phases of business development. Together, these three processes comprise the Technological Business Planning Process (TBPP). The structuring of the processes of these businesses is immersed in several situations involving losses and wastes (for example: excessive waiting time, delay and rework during the development process, among others). This aspect leads us to a reflection on the need to adopt methods and tools (we will call this research as practices), guided by lean principles, especially for Lean Product Development (LPD) and Lean Startup Methodology (LSM). In order to respond to the proposed research problem, namely: “How do LPD and LSM practices contribute to PPNT in the academic environment?”, two general research objectives were defined: a) identify a set of LPD practices that contribute to the operation of the PPTec; b) to evaluate the contributions of LSM practices to the TPP, BPP and TTPP phases. In order to proceed with the research, this thesis was organized into four chapters with objectives and different methodological strategies: i) in chapter 1 using the methodological action research strategy was aimed at characterizing the business model of each technological project analyzed; ii) in chapter 2, through the multi-case study, the frequency with which the entrepreneur-researchers had experienced the waste categories and subcategories during the development of the three processes that integrate the TBPP, using the perspective of the LPD; iii) in chapter 3, based on the literature review, it was possible to identify LPD-related practices that can contribute to the reduction of waste experienced by project teams in different phases of the TPP process; iv) chapter 4, through literature review and later action research, had the objective of identifying the LSM practices that could contribute to mitigate the waste experienced by project teams in the different phases of TTPP and BPP. As a result of the research we have: 1) improvement and empirical validation of the model proposed by Reis, Ladeira and Fernandes (2015); 2) contribution to the theoretical framework on LPD, since it was possible to identify LPD practices capable of contributing to the operation of the TPP in its different phases; 3) contribution to the theoretical framework on LSM, since the LSM practices were able to contribute to the operationalization of TTPP and BPP, from a theoretical perspective. As a limitation of the research, we have not been confronted with the practices and wastes in the stage of ideation of the technology, in order to identify the contributions of the same to the initial stages of the business. In part this limitation was related to the specificities of the analyzed projects, since all had a version of its technological product. Another limitation is that the research was applied in only 9 technology-based projects in the academic environment. From this aspect it is important to expand the studies for spinoffs of corporate contexts or belonging to other programs and initiatives to encourage innovation. For the time being, this research was able to contribute to the enrichment and expansion of the literature on LPD, LSM and TBPP, as well as to present mechanisms to aid the process of technological innovation in the academic environment, and to have guided the development of the cases studied.