Combinando as abordagens de effectuation e causation no empreendedorismo: Uma revisão de mais de 20 anos

Kogut, Clarice Secches; Mello, Renato Dourado Cotta de; Skorupski, Robert

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REGEPE Entrepreneurship and Small Business Journal

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Sumário

Research Article • REGEPE Entrep. Small Bus. J. 12 (3) • Sep-Dec 2023 • https://doi.org/10.14211/regepe.esbj.e2226 copiar

Combinando as abordagens de effectuation e causation no empreendedorismo: Uma revisão de mais de 20 anos

Autoria SCIMAGO INSTITUTIONS RANKINGS

Resumo

Objetivo:

Este artigo reúne e revisa artigos empíricos ou teóricos publicados nos principais periódicos internacionais nos quais as lógicas empreendedoras de causation e effectuation, cunhadas por Sarasvathy em 2001, são discutidas para responder à pergunta de pesquisa: “Em que circunstâncias as empresas combinam tais logicas?”.

Método/abordagem metodológica:

A pesquisa é baseada em uma revisão sistemática da literatura de revistas de primeira linha durante um período de 20 anos.

Principais resultados: Os resultados sugerem que as lógicas de causation e effectuation podem ser aplicadas simultaneamente ou em sequência, dependendo de fatores nos níveis micro (o empreendedor), meso (a empresa) e macro (contexto de negócios - institucional e situacional).

Contribuições teóricas/metodológicas:

Este estudo fornece um conjunto compilado, sintetizado e contrastado de trabalhos anteriores para futuros pesquisadores trabalharem, e uma matriz conceitual preliminar para testes e refinamentos adicionais, além de uma discussão aprofundada nos níveis micro, meso e macro.

Relevância/originalidade:

20 anos após o trabalho seminal de Sarasvathy, a maior parte da literatura que investiga a tomada de decisão empreendedora ainda se concentra em contrastar as lógicas de causation e effectuation, não compreendendo completamente as condições sob as quais cada uma prevalece ou quando elas são combinadas.

Contribuições sociais/gerenciais:

No nível micro, esta pesquisa pode ajudar os empreendedores a entender melhor seu perfil e os benefícios de considerar ambas as lógicas ao longo de seu processo de tomada de decisão. No nível meso, as empresas podem se beneficiar ao entender como as lógicas se relacionam em cada estágio da vida de uma empresa. Finalmente, no nível macro, os formuladores de políticas e educadores podem ajudar os empreendedores a navegar em ambientes incertos e turbulentos se lógicas e circunstâncias diferentes forem mais amplamente reconhecidas.

Palavras-chave:
Effectuation; Revisão sistemática da literatura; Tomada de decisão; Empreendedorismo

Issue	Causation	Effectuation
Environment	Static and linear	Dynamic and nonlinear
	opportunities are objective	opportunities are subjective
Future perspective	Predictive	Creative 🠖 "Bird-In-Hand"
	Future projectable	Future not projectable
	Goals are pre-defined	Goals emerge
Decision maker’s first question	What exact result do I want to achieve?	Who am I? What do I know? Who do I know?
Action orientation	Goal-driven	Means driven
	Goals determine actions, even if constrained by means	Goals emerge, based on given means
Risk attitude	Focus on upside à maximize returns	Focus on downside 🠖 "affordable loss"
	Pursue maximum opportunity with required resources	Pursue satisfactory opportunity without additional Resources
Network approach	Competitive analysis	Coalition building 🠖 "Crazy Quilt"
	Create partnerships only to protect the firm	Leverage partnership to conquer new markets
Handling unforeseen	Avoid	Leverage 🠖 "Lemonade"
Unforeseen contingencies	Contingencies threaten the accurate plan	Without planning, contingencies create opportunities
Theory focuses on	Firm	Entrepreneur 🠖 "Pilot-In-The-Plane"
Market entrance	Late	Early
	Exploit opportunities in existing markets	Exploit opportunities in new markets

						Decision logic detected / recommended
Author(s)	Summary	Method	Type of decision	Context	Life cycle stage of the firm	Effectuation	Causation	Combining (concurrent)	Alternating	Choice dependent on	Level
Sarasvathy (2001)	Seminal article on effectuation, explaining how firms and markets are created. Explanations and examples on effectuation versus causation logic: prediction versus control	Theoretical	Creation of artifacts	Complex and uncertain	Entrepreneurial	x	x	x	x	Life stage, decisions	Micro, meso and macro
Sarasvathy (2008)	Chapter book reporting on Sarasvathy’s research on effectuation, “a logic of entrepreneurial expertise.”	Theoretical	Decision logics in general	Uncertain (cross border)	Entrepreneurial	x	x	x	x	Entrepreneur expertise, firm life cycle	Micro and meso
Dew et al. (2009)	Behavior and decision-making process of 27 expert entrepreneurs and 37 MBA students in creating a new venture. Entrepreneurial experts tend to use effectual logic, while the students use a more causal logic, "going by the textbook"	Protocol analysis	Launch of a new venture	NA	Entrepreneurial	x Entrepreneurial experts	x MBA students			Entrepreneur profile	Micro
Schweizer et al. (2010)	Internationalization not as an outcome of deliberate efforts to expand internationally (causation), but as a by-product to some other action, here entrepreneurial action (effectuation).	Case study	Internationalization	Uncertain	Entrepreneurial	x				Context and entrepreneur	Micro and macro
Andersson (2011)	Shows how a born global (BG) company can enter many markets in a short time, by co-operating with local partners, with the founders’ prior knowledge and networks being important determinants.	Case study	Entry modes, market selection	Complex and uncertain (BG)	Entrepreneurial	x				Life cycle and entrepreneur profile	Micro and meso
Harms and Schiele (2012)	Experienced entrepreneurs tend to prefer effectuation, with uncertainty not having a systematic influence. Entrepreneurs using causation-based venture creation processes tend to engage in export-type entry modes.	Survey, n = 65	Entry Mode	Complex and uncertain (high growth; new territories)	Entrepreneurial	x Expert entrepreneurs, any entry modes	x Exports			Entrepreneur	Micro
Fisher (2012)	Describes the early development of six new ventures, the underlying behaviors the theories of effectuation, causation, and bricolage, showing how these perspectives contrast and complement one another.	Alternate templates approach	Several	Complex (small new firms)	Entrepreneurial	x		x		Ssituation /decision to be made and profile	Micro, meso and macro
Brettel et al. (2012)	The results appear to confirm that a strictly planned and prediction-based causal approach is suitable at low levels of innovativeness, while effectuation is suitable at high levels of innovativeness.	Mixed method	R&D decisions	Context of high or low innovation	NA	x Highly innovative contexts	x Low innovative contexts			Context	Macro
Kaufmann (2013)	Contrasting of two cases regarding the implementation of biotechnology policies within country borders: the Singaporean government, which used causation logic, and Israeli policy makers, who used effectuation.	Multiple case study, n = 2	Creation of new market	Complex and uncertain (industry and countries)	Entrepreneurial			x		Situation /decision to be made	Macro

						Decision logic detected / recommended
Author(s)	Summary	Method	Type of decision	Context	Life cycle stage of the firm	Effectuation	Causation	Combining (concurrent)	Alternating	Choice dependent on	Level
Sarasvathy et al. (2014)	Outlines observations about IE research through the theoretical lens of effectuation, showing how an effectual approach can help solve four central conflicts and identified knowledge gaps. The paper also presents an illustrative case study from India. Integration of Uppsala model with effectuation theory.	Theoretical with case example	Decision making in general	Uncertain (India)	All stages covered - 1st, 2nd, and 3rd generation	x 1st and 2nd generation	x 3rd generation	x Expert entrepreneurs can combine and alternate when needed - causal first, effectual later		Profile, circumstances	Micro and meso mainly
Crick and Crick (2014)	Managers of 16 rapidly internationalizing SMEs were interviewed to investigate the extent to which strategies were decided from an effectual or causal perspective. Analysis regarding speed, scale, and scope (geographical coverage) of internationalization.	In-depth interviews, n = 16	Strategies in general	Complex and uncertain	Entrepreneurial (< 3 years, rapidly internationalizing SMEs)			x		Situation /decision to be made	Macro
Sitoh et al. (2014)	Both logics were simultaneously applied during the project’s prototyping and marketing phases, while a different constellation was preferred during other phases (towards causation), eventually drifting back in some instances. Authors argue that effectuation and causation can co-exist and thus, managers should consider both logics in combination.	Case study	Definition of business models (several build-in decisions)	Complex and uncertain (industry and nature of decision)	Entrepreneurial			x In parallel, for different decision	x Effectual early, causal later	Life cycle / size and situation / decision to be made	Meso and macro
Nummela et al. (2014)	To understand strategic decision-making logics within born-global software companies, cases in Finland, Ireland, and Israel are analyzed. Findings: effectuation in early stages; causation over time. Critical incidents may trigger change, e.g., change of key persons and the search for external funding. Coexistence of the two logics possible.	Longitudinal study	Business Growth	complex and uncertain (BG software co)	Entrepreneurial			x	x Effectual early, causal later	Profile of decision maker, time and situation	Micro, meso and macro
Galkina and Chetty (2015)	Paper integrates effectuation theory with the revisited Uppsala model to understand how entrepreneurs make decisions about networking under conditions of uncertainty as they enter foreign markets and why entrepreneurs commit to specific network relationships.	Multiple case study, n = 7	Network decisions in entering foreign markets	Uncertain and complex	SMEs, < 10 years of internationalization	x			x Effectual early, causal later	Life cycle, entrepreneur networks	Micro and meso
Dutta et al. (2015)	U.S. students surveyed on whether their entrepreneurial intentions were driven by causal or effectual logic. Individual perception, entrepreneur’s innovativeness as well as experience and knowledge were significant influencing factors. The authors suggest a combination of logics.	Survey, n = 164	Launch of a new venture	Complex and uncertain	Entrepreneurial			x		Profile (mainly) and situation / decision to be made	Micro (mainly) and macro

						Decision logic detected / recommended
Author(s)	Summary	Method	Type of decision	Context	Life cycle stage of the firm	Effectuation	Causation	Combining (concurrent)	Alternating	Choice dependent on	Level
Maine et al. (2015)	30 decisions made by 3 scientific entrepreneurs operating in the biotechnology industry were analyzed and both effectuation and causation logics were detected individually as well as in combination.	In depth interviews	Creation of business opportunity	Complex and uncertain (industry)	Entrepreneurial	x	x Funding,, planning and forecasting	x	x Effectual early, causal later	Life cycle / size and situation / decision to be made	Meso and macro
Chetty et al. (2015)	Analysis of entrepreneurial software firms from Finland and New Zealand (NZ) to identify how and why they were internationalizing. Authors suggest that the choice of logic depends on the prevailing decision context.	Case study	Internationalization decisions (entry mode and market selection)	Less uncertain countries;	Entrepreneurial and/or mature	x Entry mode and market selection - NZ	x Market selection - Finland			Situation /decision to be made	Macro
Berends et al. (2015)	352 new product development events examined, revealing small companies substantially differ from those of large ones, favoring effectuation over causation. Effectuation applied especially in early stages, and combination thereafter.	Case study	New product development	SMEs	Entrepreneurial and/or mature	x SMEs			x Effectual early, causal later	Time / life cycle	Meso
Reymen et al. (2015)	385 decisions in nine technology-based companies launching new businesses were examined. Hybrid logic consisting of effectual and causal components, with the dominant one shifting overtime. Effectuation typically preferred in earlier phases and causation later.	Case study	Launch of a new venture	Complex (tech firms)	Entrepreneurial				x Effectual early, causal later	Time	Meso
Guo et al. (2016)	180 Chinese Internet companies with < 10 y surveyed showing growth is positively affected by both logics, but effectuation for pioneering, and causation for stabilization. The authors recommend combining both logics to support growth.	Survey, n = 180	Business Growth	Complex and uncertain	Entrepreneurial and/or mature				x Effectual for pioneering and causal for stabilization	Situation /decision to be made	Macro
Crick and Crick (2016)	Study finds that a variety of factors affects the decision to start exporting, including the influence of the management team, particularly their perceptions. The authors support combining the best of both logics simultaneously.	Appreciative inquiry	Decision to start exporting	Complex	Entrepreneurial (SMEs)			x		Profile and "perception of the situation"	Micro and macro
Alsos et al. (2016)	Examines how the social identity of an entrepreneur influences their behavior when engaged in new venture formation (causation versus effectuation)	Mixed- Interviews, n = 6 and survey, n = 350	Decision making in general	New industry	Entrepreneurial	x	x			Profile	Micro
Randerson (2016)	Depending on the contextual factors of a specific decision in a specific situation, entrepreneurs apply a different approach, so overall the process lines are not followed exclusively, but combined	Theoretical	Decision making in general	NA	All stages				x	Situation / decision and life stage	Meso and macro

						Decision logic detected / recommended
Author(s)	Summary	Method	Type of decision	Context	Life cycle stage of the firm	Effectuation	Causation	Combining (concurrent)	Alternating	Choice dependent on	Level
Zhang et al. (2016)	Explores the impacts of psychological factors on entrepreneurs’ preferences for causal and effectual decision-making logics.	Survey. US, n = 116 and China, n = 132	Decision making in general	Varying complexity (US and China)	Not disclosed			x	x	Profile	Micro
Shirokova et al. (2017)	Paper explores the drivers of causal and effectual decision logic in students starting new ventures, focusing on the role of university entrepreneurship-related offerings and student’s prior business experience.	Survey, n = 2179	New venture creation	Various (26 countries)	Entrepreneurial	x	x		x	Profile (experience and university courses)	Micro
Hubner and Baum (2018)	Analysis of human resources development (HRD) approaches employed by entrepreneurs based on causation and effectuation, on different life stages.	27 interviews	HR decision	Dynamic context (tech industry)	Different stages - entrepreneurial and larger firms			x	x	Life cycle	Meso
Chang and Rieple (2018)	Investigates when, how, and why students use causation, effectuation, and bricolage in a fundraising project (a microcosm). Results indicate varied approaches at different stages.	Qualitative Observational, 124 students in 25 teams	Creation/ recognition of business opportunity	Non-complex with times of uncertainty	All stages			x Experiential groups	x Causation earlier -effectuation later	Profile and time/life cycle	Micro and meso
Urban (2018)	Results indicate that entrepreneurs apply effectual principles to recognize and exploit more opportunities while operating in dynamic and hostile surroundings.	Survey, n = 302	Creation/ recognition of business opportunity	Complex and uncertain (renewable energy; S. Africa)	Entrepreneurial	x				Context	Macro
Servantie and Rispal (2018)	Paper examines how the combination of causation, effectuation, and bricolage changes over a particular venture’s life cycle using a longitudinal case study of a Colombian foundation.	Case study	Decision making in general	Complex and uncertain (Colombia)	All stages (longitudinal study)			x	x	Time / life cycle	Meso
Yang et al. (2019)	Paper argues that entrepreneurial effectuation cognition is associated with more search behaviors and that entrepreneurial causation cognition is associated with more execution behaviors.	Survey , n = 160	Search and execution decisions	China	Several	x Search phase	x Execution phase			Life cycle	Meso
Kerr and Coviello (2019)	Systematic literature review on effectuation and networks, resulting in a comprehensive perspective on network development under effectuation logic.	Systematic literature review	Creation and develop.of networks	NA	NA	x Most	x Some			Profile	Micro
Karami et al. (2020)	Systematic literature review on SME internationalization literature and how international opportunities are developed.	Theoretical (literature review)	Creation/ recognition of business opportunity	NA	NA	x	x	x	x	Various	Micro, meso and macro

						Decision logic detected / recommended
Author(s)	Summary	Method	Type of decision	Context	Life cycle stage of the firm	Effectuation	Causation	Combining (concurrent)	Alternating	Choice dependent on	Level
Ranabahu and Barrett (2020)	Study testing whether and how the use of effectuation and causation logics influences deliberate practice by micro-entrepreneurs in Sri Lanka.	Mixed methods - interview and survey	Decision making in general	Complex and uncertain (Sri Lanka /Microfin	Entrepreneurial			x		Decision (deliberate practice improvement)	Micro and meso
Pattinson et al. (2020)	Use of the Argentine Tango metaphor to understand how novice entrepreneurs become expert entrepreneurs, moving from predictive to effectual logic.	Theoretical	Decision making in general (thematic paper)	Complex and uncertain	Entrepreneurial				x Causation earlier, effectuation later	Time /experience	Micro and meso
Coudounaris and Arvidsson (2021)	Reviews articles investigating effectuation, causation and bricolage and the international performance of the firm	Theoretical (systematic literature review)	Internationalization	Different contexts	Mostly entrepreneurial	x	x	x		Entrepreneur traits	Micro
Nyoni and Moos (2022)	The study found that effectuation and its components of experimentation and flexibility had statistically significant relationships with financial business growth.	Survey	Business growth	Complex and uncertain -S.Africa townships	Entrepreneurial (small business)	x				Context / situation	Macro
Servantie and Hlady-Rispal (2022)	Focused on their combination/ complementarity of entrepreneurial logics (effectuation, causation and bricolage) in the emergence and subsequent international growth of Born Globals (BG) firms.	Multiple case study, n = 7	complementarity emergence and international growth	French Born Globals	Entrepreneurial (BG)			x		Entrepreneur mindset, Life stage, context/situation	Micro, meso and macro
Khurana et al. (2022)	Studying US distilleries, the article addresses arbitrage opportunity development during COVID-19, revealing the primacy of both causation and effectuation-based entrepreneurial decision logics and the role of double-loop learning.	Multiple case study, n = 8	Arbitrage decisions emerging from crisis	Complex and uncertain (covid)	Entrepreneurial (small business)			x Different proportions in different phases	x More causal first, more effectual later	Context situation (opportunity)	Macro

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[1] *Corresponding author: Clarice Secches Kogut csecches@gmail.com