Anhang 1:

Anhang 2:

Anhang 3:

Anhang 4:

Anhang 5:

Anhang 6a:

Anhang 6b:

Anhang 7:

Anhang

Verzeichnis der Interview- und Diskussionspartner

Beispielhafter Gesprachsleitfaden fUr Interviews mit Managem auslandischer Firtnen in RuBland

Beispielhafter Gesprachsleitfaden fUr Interviews mit Managem auslandisch­russischer Joint Ventures

Fragebogen des ersten Teilprojekts: Know-How Transfer in deutsch­russischen Untemehmenskooperationen

Zentrale Ergebnisse der empirischen Befragung deutscher Untemehmen

Fragebogen des zweiten Teilprojekts: Know-How Transfer in auslandisch­russischen Joint Ventures

Befragte auslandisch-russische Joint Ventures

Zentrale Ergebnisse der empirischen Befragung auslandisch-russischer Joint Ventures

Anhang

Anhang 1: Verzeichnis der Interview- und Diskussionspartner

ANDERTON, Fran. SABIT Program, US Foreign Commercial Service, Moscow

ARNOULD, Cyrille. Russia Team, European Bank for Reconstruction and Development

BAIDAKOV, Ilya Pavlovich. Sante Medical Systems

BECKER, Michael. Geschaftsfiihrer, Russwell Moscow

BOHACHEVSKY, Vladimir. President, ABB Industrial & Building Systems Ltd .. Moscow

BRAUN, Tiberius. Leiter der Vertretung der PreussAG AG in Moskau

BREITER, Maria. The Commercial Service, United States of America Department of Commerce, Moscow

BRIGGS, Henry. General Director, Searle Pharma LLC, Moscow

CHAROW, Peter. President of the American Chamber of Commerce in Russia

CHEPKASOV, Igor. Aon Human Resources Consulting Group, Moscow

357

DAVTYAN, Michael. Professor and Head of the Finance Department, Academy of Labor and Social Relations

EICHSTADT, Rainer. Deminex GmbH, Representative Office Moscow

GRITSENKO, Nikolai. Director of the Academy of Labor and Social Relations

GUSCHLBAUER, Florian. Personalmanager, Bosch TOO Moscow

HARTMANN, Rudolf. Leiter des StUtzpunktes Moskau, OSRAM

HA WLICZEK, Hubert. Stellvertretender Generaldirektor, Interautomatika AG

HOLMES, Gil. Director, Nevamash, St. Petersburg.

KAMAYEVA, Marina. Commercial Specialist, The Commercial Service, United States Department of Commerce, St. Petersburg

KAMMERHOF, GUnther. Karstadt Moskau

KIM, Alex. Representative for St. Petersburg and NW Russia, The Commercial Service, United States Department of Commerce, St. Petersburg

KOCHAROV A, Karina. Marketing Manager, Sovintel

KOLTSOV, Dr. Vasili Nikolaevich. Deputy-Director, Seba-Spektrum

KRIVOVIAZ, Dr. Alexandre. General Director, ANNIK JV

KROGER, Gerd. Stellverteter des Generaldirektors, AO Schering in RuB land

LARIONOV, Alexander. General Director, Camneft Joint Engineering Company

LEBRUSCHKA, Dieter. Leiter der stiindigen Vetretung des Konzerns MAN AG I Ferrostaal AG in Moskau

MATAZINA, Natalia. Department of Labor of the Russian Federation.

MATVEEV, Roald. Professor of Politics at the Russian Univeristy of Human Sciences and Consultant to the Gorbachev Foundation

MICHAILOV, Dr. Alexander. General Director, Epicenter St. Petersburg.

MICHAILOVNA, Natascha. Professor at the Russian Academy of Science (History)

MIKHAILOV, Alexander. The UNIDO Center for International Industrial Co-operation in the Russian Federation

358 Anhang

MILOVIDOV, Yuri. Director of the Trade Union Center at the Academy of Labor and Social Relations

MONCINI, Kurt. Sales and Marketing Director, Catemillar Overseas S.A.

MOLLER, Dr.-Ing. Hans- Dieter. Knorr-Bremse Systeme fUr Nutzfahrzeuge GmbH, Representation Office Russia

NIEDZBALLA, GUnter. Stellvertretender Generaldirektor, Nuklearkontrol AG

NIKOULICHEV, Michael. Commercial Assistant, US Foreign Commercial Service, Moscow

OBERMAYER, Michael. Managing Director, McKinsey & Company Eastern Europe

OSER, Jesco. Delegation der Deutschen Wirtschaft in der Russischen FOderation

OSSMER, Uwe. Representative, BASF Representative Office in the Russian Federation

PERREY, Henry. Direktor Einzelhandel, Salamander Moskau AG

PoPov, Yuri. Professor of Economics at the Academy of Labor and Social Relations

RODGERS, Anton. Technical Director, Kvaerner Intershelf JV

SA VCHENKA, Luba. SABIT Program, US Foreign Commercial Service, Moscow

SCHMID, Robert. Siemens AG Moskau

SEMENKOV, Vladislav. Professor at the Academy of Labor and Social Relations I University College London

SIMKINA, Lana. BISNIS Respresentative, United States Department of Commerce, Moscow

SONDHOF, Harald. Russian Privatization Center

SOUTSCHEK, GUnther. Vertrieb Leittechnik, Siemens AG

STADLBAUER, Dr. Josef. Head of the Coordination Unit for Consultancy Programs, Kreditanstalt fUr Wiederaufbau, Moscow

STEPANOW, Wjatschev. Sanavita Gesundheitsmittel GmbH Moskau

TCHARNETSKY, Wladimir. Leiter der Vertretung Moskau, Hoechst AG

TuLsKA Y A, Tatyana. Director, Diamed Ltd. Moscow

WELESCHUK, Dwayne. International Business Association, St. Petersburg

VOROBIOVA, Lena. Camneft Joint Engineering Company

Voss VON, Dr. Ingo. Botschaftsrat, Wirtschaftsreferat der Botschaft der Bundesrepublik Deutschland in Moskau

Voss, Joachim-Henning. Bosch-Siemens Hausgerate, Representative Office, Moscow

WEill, Jiirgen. Leiter Unternehmensplanung, Controlling, Personal, Knauf GUS-Staaten

YERASOV, Boris. Doctor of Philosophy, Professor and Head of the De artment of E em Studies at the Russian Academy of Science

ZUBOVNA, Nadezhda Ivanovna. Financial Director, Innrosspreuss JV

Anhang

Anhang 2: Beispielhafter Gespriichsleitfaden fUr Interviews mit Managern ausliindischer Firmen in Ru61and

Interviews wurden entweder auf Englisch oder Deutsch durchgefiihrt.

Firmenaktivitaten in Ru8land

• Wie lange ist die Firma schon in Russland aktiv? • In welcher Organisationsform erfolgen diese Aktivitaten? • 1st die Firma auch auf anderen zentral- und osteuropliischen Markten aktiv?

359

• Falls ja, wie unterscheiden sich die Aktivitaten auf diesen Markten von der Aktivitat auf dem russischen Markt?

• Wie wird der russische Markt beliefert (Direkter versus indirekter Export aus Deutschland, Montage in RuBiand, etc.)

• Welche Managementfunktionen werden vor Ort ausgelibt? (Begrundung!) • Hat das Untemehmen bereits Direktinvestitionen in RuBiand getatigt? • Was waren die Motive flir die Entscheidung flir bzw. gegen eine Direktinvestition? • 1st geplant, die FirmenaktiviUiten in RuBiand in der nahen Zukunft auszudehnen? • Falls ja: Sind groBere Direktinvestitionen geplant? • In welchen Regionen wird die Ausdehnung der Untemehmensaktivitaten erfolgen?

• Wieviele russische, wieviele deutsche Mitarbeiter arbeiten vor Ort? • 1st es problematisch, russische Mitarbeiter zu finden, die sowohl das notige Fachwissen

als auch die notigen Sprachkenntnisse vorweisen konnen? • Welche Art von Trainings- und Ausbildungsprogrammen werden flir das russische

Personal durchgeflihrt? • Finden diese Programme vor Ort oder in Deutschland statt?

Wahrgenommenes Unternehmensumfeld

• Welches sind die groBten Probleme, denen Ihr Untemehmen auf dem russischen Markt gcgenlibersteht?

• Konnen Sie einige spezielle Beispiele dazu geben, wie diese Probleme Ihr operationales Geschaft beeinflussen?

• Wo liegen die groBten Unterschiede zwischen der deutschen und russischen Kultur" • Wo liegen die groBten Unterschiede in deutschen und russischen Geschaftspraktiken? • Inwiefem beeinflussen diese Unterschiede Ihre Geschaftsaktivitaten in RuBiand?

• Wie wlirden Sie die Entwicklung des wirtsehaftlichen Umfeldes in RuBland in den letzten flinf (zehn) Jahren beschreiben und beurteilen: In welcher Hinsicht hat sieh die Situation aus der Sieht Ihres Untemehmens verbessert oder versehleehtert?

• Was sind Ihre Prognosen flir die allgemeine wirtschaftliche (politisehe) Entwicklung in den nachsten flinf J ahren?

• Was sind Ihre Progrosen flir den Erfolg bei der Implementierung wichtiger Gesetze?

360 Anhang

Unternehmenskooperationen mit Kapitalbeteiligung

• WievieIe Kapitalbeteiligungen and russischen Untemehmen und I Joint Ventures hat das Untemehmen in RuBland?

• Wie hat sich die Anzahl dieser Kooperationen im Zeitablauf entwickelt? • Was sind die typischen Motive Ihrer Firma, eine solche Kooperation mit

Kapitalbeteiligung einzugehen?

(Fur Unternehmen mit mehr als einer Kapitalbeteiligung wurden die folgenden Punkte zuniichst flir eine spezielle Kooperation diskutiert. dann wurden vergleichende Fragen. die hier nicht aufgelistet sind, gestellt)

• Wenn Sie einmal die Kooperation mit Partner X betrachten: Wie wiirden Sie den Erfolg dieser Kooperation bis heute beurteilen?

• Was sind Threr Meinung nach die Hauptgriinde fUr den Erfolg oder MiBerfolg dieser Kooperation?

• Aus Threr heutigen Sicht heraus. wiirden Sie mit Partner X noch einmal kooperieren? • 1st das die erste Kooperation mit dem Partner oder gab es vorher bereits vertragliche

Beziehungen zwischen dem Partner und Threm Untemehmen? • Bestehen zur Zeit auBer dieser Kooperation noch andere Geschliftsbeziehungen zum

Partner? • Wie wurde der Partner ausgewiihlt? • Hatte man die Kooperation in iihnlicher Form und mit iihnlichem Erfolg auch mit einen

anderen Partner starten ktinnen?

• Welche Motivationen liegen hinter dem Start dieser Kooperation? • Wie wichtig waren Faktorkosten- vs. Marktzugangsgesichtspunkte? • Wie wichtig waren wirtschaftliche Anreizprogramme von Regierung, Region etc.? • Wie wichtig waren 'tirst-to-market' Uberlegungen? • Wie wichtig ist diese Kooperation fiir die gesamte RuBlandstrategie der Firma? • Warum wurde keine 100% Tochter gegriindet anstatt diese Kooperation einzugehen? • Was waren Threr Ansicht nach die Motive des Partners. diese Kooperation einzugehen? • Profitiert der Partner von dieser Kooperation auch fUr andere Geschliftsbereiche oder

Projekte?

• Wie ist die Verteilung des Eigenkapitals? • Warum wurde diese Verteilung gewiihlt? • Sind Sie mit dieser Verteilung zufrieden? • Wird diese Verteilung Threr Einschatzung nach zukiinftig gleich bleiben? • Gibt es eine Kaufoption im Vertrag? (Fiir beide Partner?) • 1st langfristig die Umwandlung in eine 100% Tochter geplant?

• Fiir JVs: Wie ist das JV aufgebaut? • Wer leitet das Kooperationsuntemehmen? • Welche Kontrollmtiglichkeiten hat Thr Untemehmen in dieser Kooperation? • Wie sind die Verantwortlichkeiten zwischen den Partnem verteilt?

Anh.ng

• Welche Probleme gab es in den Anfangsphasen der Kooperation? • Welche dieser Probleme konnten beseitigt werden? Aus welche Weise? • Welche Probleme gibt es gegenwlirtig? • Haben Unterschiede in Kultur undloder Geschiiftskultur einen negativen (positiven)

EinfluB auf den Erfolg dieser Kooperation? • Wie beeinflussen diese Unterschiede das operationaie Geschiift?

(Spezifische Beispiele!) • Wie oft kommunizieren Sie mit dem Partner? • Wie hoch ist Ihr Vertrauen zu Ihrem Geschiiftspartner? • Agiert Ihr Geschaftspartner auch bei Abwesenheit einer direkten Kontrolle durch Ihr

Unternehmen im besten Interesse der Kooperation?

361

Die folgenden Fragen zum Know-How Transfer sind nur beispielhaft. Der voUstiindige Fragenkatalog folgt der Kategorie "Learning and know-how transfer" im lnterviewleitfaden for ausliindisch-russische Joint Ventures

• Welche Art von Know-How wurde in dieser Kooperation an den Partner weitergegeben? • Welche Art von Know-How wurde vom Partner an Ihr Unternehmen transferiert? • Auf welchen Wegen ist der Know-How Transfer erfolgt? • Wie erfolgreich ist dieser Know-How Transfer verlaufen? • Welche Probleme traten beim Know-How Transfer auf? • Erwarten Sie, daB der Partner das durch die Kooperation gewonnene Wissen auch

auBerhalb der Kooperation nutzt? • Besteht die Gefahr, daB auf diese Weise ein potentieller Wettbewerber entsteht?

Unternehmenskooperationen auf Vertragsbasis

• Wie viele Vertragspartner haben Sie in RuBland? • Wie hat sich die Zahl Ihrer Vertragspartner im Zeitverlauf einwickelt? • Welcher Art sind diese vertraglichen Beziehungen? (Lieferbeziehungen, Vertragsfertigung

etc.) • In der Mehrzahl der Faile, haben Sie den Kontakt zu den Partnern gekniipft oder sind diese

aktiv an Ihr Unternehmen herangetreten? • Wie eng arbeiten Sie mit diesen Partnern zusammen? • Auf welcher hierarischen Ebene erfolgt diese Zusammenarbeit?

• Wenn Sie einmal eine typische Vertragsbeziehung betrachten: Wird in dieser Beziehung Know How an den russischen Partner transferiert?

• Welche Inhalte hat das transferierte Know How? • Auf welchen Wegen wird es transferiert? • 1st der russische Partner Ihrer Einschatzung nach daran interessiert, von Ihrem

Unternehmen zu lernen oder wird der Vertrag ais ein einfacher wirtschaftlicher Produkt­bzw. monetarer Austausch betrachtet?

• Fiihrt Ihr Unternehmen Trainingsprogramme fUr die Vertragspartner durch? • Welche Inhalte und welchen Umfang haben diese Programme? • Gibt es andere MaBnahmen, durch die ein Know How Transfer zum Vertragspartner

gefOrdert wird? (z.B. Besuche von Fachexperten) • Was lernt lhr Unternehmen von den Vertragspartnern?

362 Anhang

• Welche Faktoren haben den groBten EintluB auf den Erfolg Ihrer Vertragsbeziehungen? • Haben Unterschiede in Kultur undloder Geschliftskultur einen negativen (positiven)

EintluB? • 1st der Privatisierungsstand des russischen Untemehmens ftir den Erfolg der

Vertragsbeziehungen von Bedeutung? • Inwiefem unterscheiden sich Vertragsbeziehungen mit neugegriindeten Untemehmen von

Vertragsbeziehungen mit privatisierten Untemehmen bzw. mit Untemehmen im PrivatisierungsprozeB?

Anhang

Anhang 3: Beispielhafter Gespriichsleitfaden ffir Interviews mit Managern ausliindisch-russischer Joint Ventures

Interviews wurden entweder auf Englisch oder mit Hilfe einer Simultanubersetzerin (Englisch-Russisch) durchgefiihrt.

Background and JV formation

• What is the goal of the venture? • Have the goals of the venture changed since inception? • What are the activities perfonned by the venture?

363

• Describe the fonnation of the joint venture: Why was it fonned, how did the two partners get together, which partner initiated the venture?

• What is the ownership distribution of the venture? • Has this distribution changed since inception? • Were the partners involved in any prior relationships before the fonnation of the venture? • Is the Russian partner still partly or fully state-owned? • What difficulties (if any) did you experience in setting up the venture?

Motivation and contribution

• Was access to the technology and skills of the western partner an important consideration for the Russian partner to fonn this JV? If not what seemed to have been the Russian partner's most important motive in fonning this JV?

• In your opinion, what was the foreign partner's most important motive in forming this joint venture?

• How would you evaluate the foreign partner's contribution to the venture? In what areas are the most important contributions of the foreign partner? Managerial? Technological? Capital? Can you give SPECIFIC examples of these contributions? Are these contributions critical to the JVs success?

• How would you evaluate the Russian partner's contribution to the venture? In what areas are the most important contributions of the Russian partner? Managerial? Technological? Capital? Can you give SPECIFIC examples of these contributions? Are these contributions critical to the JVs success?

Control and Structure

• How autonomous is this venture? How dependent is it on its parent companies? • How have the two parents split up management and organizational responsibilities? (Who

provides the General Director? Who hires new managers? Who decides on the long tenn strategy? ... )

• How important is the board of the JV for the strategic planning process? How often do the directors meet, what decisions do they make?

• Please describe the organizational structure of the venture. (Organizational chart?)

364 Anhang

Learning and know how transfer

General • Do parent managers show an interest in this venture as a learning experience? • Has the IV been a useful learning experience to the Russian partner? In what respect

(technological versus managerial)? Why or why not? • Can you give SPECIFIC examples of something that the Russian partner learned with the

help of this venture? • Has the IV been a useful learning experience to the foreign partner? In what respect

(technological versus managerial)? Why or why not? • Can you give SPECIFIC examples of something that the foreign partner learned with the

help ofthis venture?

Know-how transfer from parent to IV • How (if at all) is technological (managerial) know how transferred from the foreign parent

to the venture? Which methods are used to ensure that know how transfer succeeds? • How (if at all) is technological (managerial) know how transferred from the Russian

parent to the venture? Which methods are used to make sure that know how transfer succeeds?

• Can you give SPECIFIC examples of successful know how transfers from the parent companies to the venture?

• Have there been any training programs for IV personnel (in sales, management, production) organized by either parent? If yes, please describe these programs and their content.

Know-how transfer from JV to parent • How is technological (managerial) know how transferred from the joint venture to the

Russian parent? What mechanisms are used for this transfer? • What efforts does the Russian parent make to incorporate joint venture learning into its

operations? Can you give examples? • How is technological (managerial) know how transferred to the foreign parent? • What efforts does the foreign paremt make to incorporate joint venture learning into its

operations? Can you give examples?

Interparent learning • Does the Russian partner actively attempt to obtain information from the foreign partner?

(and vice versa?) • In what way is the foreign partner's way of operating different! Can any of these

differences be incorporated into the Russian partner's business? (and vice versa?)

Learning limitations and potential • If the technological (managerial) learning in this JV was limited so far - what do you think

are the reasons for this? • What should have been done differently to maximize the learning from the parents? • How would you describe the joint venture's innovative capability? Has it been able to

innovate (in either the managerial or the technological sphere) independently of its parents?

Anhang 365

Intervening variables

• Do you trust the foreign parent to always be completely honest with you? • How about the Russian parent? • Are there any large cultural differences between the two parents? In what areas? • Do these cultural differences influence the know how flow and information flow between

the JV and the parents or between the parents? • How often do you exchange information with the Russian partner's managers? With the

foreign parent's managers?

Industry and network relationships

• Is the JV a supplier to any of its parents? • Is it a buyer to one or more of the parents? • How many suppliers did the JV have in its first year of operation? Now? • How many customers did it have in its first year of operation? Now? • Did the foreign parent provide useful contacts to suppliers or customers? • Did the Russian parent provide useful contacts to suppliers or customers? • In general, how would you characterize your industry? Is it emerging or rather maturel Is

demand stable of volatile etc.? Is it local or international? • Who are your main competitors? Are they in any way associated with the JV parent

companies?

Performance

• In general, are you satisfied with the performance of the venture? • Has it reached its goals declared in the orginal statement of intent? • Are there any areas in which this venture has not olived up to your expectations? • How have your sales (market share, profits) developed in the past five years? • In your opinion, how long will this venture survive? • What is your prognosis for the development of your business in the next five years?

Anhang

Anhang 4: Fragebogen des ersten Teilprojekts: Know-How Transfer in deutsch-russischen Unternehmenskooperationen

I. INFORMATION ZUM UNTERNEHMEN

1. Bitte beschreiben Sie kurz die Branche und die genauen Geschiiftsaktivitiilen Ihres Unternehmens (z.B. Produktion von Haushaltsgeraten. Rohstoffhandel. Entwicklung und Produktion von Pharmazeutika ... )

2. In welchem Bundesland befindet sich die Zentrale I die HauptniederJassung der deutschen Mutterfirma:

3. Wieviele Mitarbeiter hat das Unternehmen

a) in Deutschland? D b) weltweit? D

367

4. Bitte beurteilen Sie, in wieweit die folgenden Aussagen auf die Produkte und die Prozesse Ihres Unternehmens zutreffen: (Wahlen Sie hierzu bitte jeweils eine der Ziffem von 1 bis 7 aufder folgenden Skala aus) 1······ ...... ··2 .............. 3 ............ ··4··· .... · ...... 5 .. ·· .......... 6 .............. 7

Trifft iiberhaupt Trifft grojJten- Triflt eher nichJ leilsl Trifft eher zu TriJft griij3ten~ Trifft niehl zu leils niehl zu ZU dis ZM leils ala niehl ZU (Iiis zu voll tU

Der ProduktionsprozeB ist extrem komplex. 1 .... ··•· ...... 2 .............. 3 ........ · .... ·4 .. · .... ·· .... ·5 .. ·· .......... 6 ............ ·· 7

Es ist sehr schwer. den richtigen Preis fUr unsere Produkte festzulegen. 1 .. ··· ........ ·2 .... • ........ ·3 .............. 4 .. · .......... ·5 .. · .... · ...... 6 ............ ··7

Das Marketing und der Verkauf unserer Produkte involvieren sehr komplexe Transaktionen. 1 .............. 2-.. • ........ ··3 .............. 4 .............. 5 .............. 6 .............. 7

Das Anlemen von neuem Produktionspersonal geht schnell und problemlos vonstatten. 1 .. ···· ........ 2 ............ ··3 .. · .......... ·4 .. · .... · ...... 5 .............. 6 .......... ·· .. 7

Es ist nicht sehr schwer. neues Personal fUr Marketing und Verkauf auszubilden. 1 .. ···· .... · .. ·2 ............ ··3 .. ·· .... · .... ·4 .. · .... · ...... 5 .............. 6 .......... • .. ·7

5. Bitte schiitzen Sie anhand der folgenden Skala die Forschungsintensitiit Ihrer Branche ein. (ZutrefJenden Wert bitte ankreuzen) 1 ...... ···· .... 2··· .......... ·3 .............. 4· .... · .... · .. ·5 .......... · .. ·6 .............. 7

Extrem geringe SehT geringe Geringe Miltkn Hohe Sehr hOM Extrem hohe ForschungsinlensiJiil

6. Bitte schiitzen Sie anhand der folgenden Skala die Werbeintensitiit Ihrer Branche ein. (ZutrefJenden Wert bitte ankreuzen) 1 .. --.. --...... 2 .... ----------3--------------4-------------5 --------------6--------------7

Exlrem geringe Sehr geringe Geringt Miltlen Hohe Seltr hobe Extrem holle Werbtintensililt

7. Wie hoch sind die Forschungs· und Entwicklungsausgaben in % vom Unternehmensumsatz?

F&E Ausgaben des Untemehmens % vomUmsatz

8. Wie hoch ist der Exportumsatz in % des Gesamtumsatzes des Unternehmens?

368

Exportumsatz % des Gesamtumsatzes

9. Welcher Teil des Gesamtumsatzes stammt aus Auslandsproduktion?

Umsatz aus Auslandsproduktion % des Gesamtumsatzes

10. In wievielen Liindern der ehemaligen Sowjetunion (inklusive RuIIland) hat Ihr Unternehmen hereits Direktinvestitionen getiitigt?

~ In Landern

Anhang

11. In wievielen anderen zentraleuropiiischen und osteuropiiischen Liinder hat Ihr Unternehmen Direktinvestitionen getiitigt (OHNE Lander der ehemaligen Sowjetunion)?

~ In Landern

II. DAS UNTERNEHMEN AUF DEM RUSSISCHEN MARKT

1. In welcher rechtIichen Form ist Ihr Unternehmen derzeit in Ru8Iand organisiert? (Zutrejjendes bitte ankreuzen, Mehrfachantworten moglich)

Grundungsjahr o Reprlisentanz 19 __

o 100% russische Tochtergesellschaft 19 __ o Sonstiges, und zwar 19 __

2. Wieviele Mitarbeiter beschiiftigt das Unternehmen derzeit in RuRland? __ Mitarbeiter, davon deutscher Nationalitlit: __ und russischer Nationa1itlit: __

3. Bitte beschreihen Sie kurz mit eigenen Worten die genauen Geschiiftsaktivitiiten Ihres Unternehmens in Ru8Iand: (z.B. Produktion und Verkaufvon Hausgeriiten, Export und Wartung von Werkzeugmaschinen ... )

4. Welcher Teil des Gesamtumsatzes des Unternehmens wird auf dem russischen Markt erwirtschaCtet? % des Gesamtumsatzes

5. Welche der folgenden Funktionen werden in RuRland ausgeiibt? (Zutrejjendes bitte ankreuzen, Mehrfachantworten moglich) o Marketing I Verkauf 0 Distribution 0 Montage o Produktion 0 F&E 0 Controlling

o Kundendienst lWartung 0 Finanzmanagernent 0 Strategische P1anung

6. Auf welchen Wegen wird der russische Markt derzeit beliefert? (Bitte geben Sie an, aufwelchen Wegen Ihr Untemehmen zur Zeit den russischen Markt beliefert, wie sich Ihr Umsatz in Ruj31and auf die verschiedenen Wege aufteilt, und in welchen lahren die verschiedenen Tiitigkeiten aufgenommen wurden)

% des russischen Gesamtumsatzes Beginn der Tlitigkeit Indirekter Export (z.B. iiber Zwischenhlindler) _% 19_ Direkter Export _ % 19_ Produktion durch russ. Lizenznehrner _% 19_ Export von Halbfertigprodukten mit anschlie6ender Montage in RuBiand _ % 19_ Produktion in RuBland _% 19_ Sonstiges, und zwar _% 19_

100%

Anhang

7. Inwieweit hat die bisherige Entwicklung Ihrer Ru8landgeschiifte die Erwartungen erfiillt? 1--------------2--------------3 --------------4--------------5 --------------6--------------7

Erwartungen in teinster Weise erfiillt

Erwartungen in hochstem Mafl erfiilll

369

8. Welche drei russischen Regionen siud fiir die Geschiiftstiitigkeit Ihres Unternehmens in Ru8land am wichtigsten?

1. 2. 3.

9. Welches sind die drei grollten Probleme, mit denen Ihr Unternehmen derzeit in Ru8land zu kiimpfen hat?

1.

2.

3.

10. Wie schiitzen Sie das allgemeine Geschiiftsrisiko ein, dem Ihre Firma in Ru8land ausgesetzt ist? (Zutref[enden Wert bitte ankreuzen) 1--------------2 --------------3 --------------4--------------5 --------------6--------------7

Extrtm gering Sehr gering Gering Mittel Hoch Sehrhoch Extrem hach

11. Wie zufrieden sind Sie mit den bisherigen Geschiiftserfolgen Ihres Unternehmens auf dem russischen Markt? (Zutref[enden Wert bitte ankreuzen) 1--------------2--------------3 --------------4--------------5 --------------6--------------7

Exttem unzuJrieden ExtTem zu/rieden

12. Hat Ihr Unternehmen bis heute Direktinvestitionen in Rn8land getiitigt?

h 0 N~O Jahr der ersten Direktinvestitionen: 19

Falls das Unternehmen bereits Direktinvestitionen getiitigt hat, iiberspringen Sie bitte Frage 13 und fahren Sie direkt mit Frage 14 fort. Falls das Unternehmen noch keine Direktinvestitionen getiitigt hat,fahren Sie bitte mit F rage 13 fort, und springen Sie bitte dann zu Frage 15:

13. In welchem Malle haben die folgenden Faktoren zu der bisherigen Entscheidung Ihres Unternehmens gegen eine Direktinvestition in Ru8land beigetragen? (Markieren Sie bitte denjeweils zutref[enden Wert zwischen lund 5 anhand der

folgenden Skala)

1------.--·············2····.·················3············ .. ········4······················5 lJnwichtiger

Faktor Etwas wichtiger

Fak/or Ziemlich wichtiger

Faktor Sehr wich/iger

Faktor Extrem wichtiger

Faktor

Wirtsehaftliehes Risiko zu hoeh 1-----------2-----------3-----------4-----------5 Markt einfaeher von auEen zu bedienen 1-----------2-----------3-----------4-----------5 Erwartete Naehfrage zu gering 1-----------2-----------3----·----·-4-----------5 Politische Situation zu ungewiE 1-----------2-----------3-----------4-----------5 Reehtssystem zu ungewiE 1-----------2-----------3-----------4-----------5 Zu vie 1 Korruption 1-----------2-----------3-----------4-----------5 Rcgistrierung&Lizensierung zu problematisch 1-----------2-----------3-----------4-----------5 Investition finanziell nieht miiglieh 1-----------2-----------3-----------4-----------5 Stc uemaehteile 1-----------2 -----------3-----------4-----------5 PaEt nieht zu unserer Untemehmensstrategie 1-----------2-----------3-----------4-----------5 Kein Partner gefunden 1-----------2-----------3-----------4-----------5 Ungeniigende Inforrnationen 1-----------2-----------3-----------4-----------5 Zu geringe Qualitat der lokalen Zulieferer 1-----------2-----------3-----------4-----------5 Sonstiges, und zwar 1-----------2-----------3-----------4-----------5

370 Anhang

14. Wieviele Geschliftsbeziehungen mit Eigenkapitalbeteiligung (z.B. Joint Ventures oder Beteiligungen an russischen Firmen) unterhlilt das Unternehmen in Rullland?

c::=J 15. Wieviele Abnehmer (GroB-lEinzelhlindler. Handelsorganisationen etc.) hat das

Unternehmen in Rullland?

c::=J 16. Wieviele Zulieferer (Lieferanten von Rohstoffen bzw. Zwischenprodukten) hat das

Unternehmen in Rullland?

c::=J 17. Welche anderen Vertragsbeziehungen unterhlilt das Unternehmen mit russischen

Geschliftspartnern? (Vertrags!ertigung, Lizenzvertriige, Forschungskooperationen etc.) (Bitte geben Sie, soweit moglich, Form und Anzahl der Vertragsbeziehungen an)

18. Plant Ihr Unternehmen in den nlichsten Jahren (weitere) Direktinvestitionen in Rullland?

o Ja, in den nachsten 12 Monaten 0 Ja. in 1-3 Jahren

o Ja, allerdings nur langfristig (>3 Jahre) 0 Nein Falls ja: In welcher Form soli investiert werden (lV, IOO%ige Tochter etc.)'

19. In welchem MaBe haben Unterschiede zwischen der deutschen und der russischen Geschliftskultur die Aktivilliten Ihres Unternehmens in Rullland gehemmt bzw. ncgativ beeinlluBt? (Bitte zutreffenden Wert zwischen 1 und 5 ankreuzen)

1----------------------2----------------------3----------------------4----------------------5 Kein negatiller

Einfluft Etwos negativer

Einjluji Ziemlich "egatiller

EinjlujJ Sthr negativer

Einfluft Extrem negativer

Einj?ujJ

20. Falls Sie in Frage 19 negative Einlliisse feststellten: Konnen Sie konkrete Beispiele filr Unterschiede geben, die sich negativ ausgewirkt haben?

21. Bitte vergleichen Sie anhand Ihrer bisherigen Erfahrungen mit deutschen und russischen Geschliftspartnern die Ausprligung der folgenden Merkmale in Deutschland und Rullland zum gegenwlirtigen Zeitpunkt.

in Ruflland Gleichwertig in Deutschland starker ausgepriigl starker ausgepriigt

Technische Kompetenz Allg. Managementkompetenz Marketing Kompetenz Finanzmgmt. Kompetenz Gewinnorientierung Unternehmergeist Lernbereitschaft Lernfahigkeit

-3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3

Anhang 371

III. UNTERNEHMENSKOOPERA TlON AUF VETRAGSBASIS

Fiir diesen TeiI der Befragung miichten wir Sie bitten, an eine gaoz bestimmte Vertragsbeziehung (ohne KapitalbeteiIigung) mit einem russischen Geschiiftspartner zu denken. Urn die Beantwortung der folgenden Fragen zu erleichtem, wiihlen Sie bitte eine klar definierte Geschiiftsbeziehung, mit der Sie selbst hinreichend vertraut sind.

1. Bitte beschreiben Sie kurz die Art der Geschiiftsbeziehung: Das russische Untemehmen ist _____________ (Abnehmer I Lieferant I Lizenznehrner etc.) von (Produkt)

2. Wann wurde der erste Kontakt zu diesem Geschiiftspartner gekniipft? Monat:_ Jahr:_

3. Seit wann besteht die Kooperation in ihrer jetzigen Form? Monat:_ Jahr:

4. Wie oft .. , ... tauschen Sie Informationen mit den Top-Managem des Partners aus?

1··············2··············3··············4-····-·-······5 Ni< SeheR Manchmal H._jig Standig

... kommt es zum Inforrnationsaustausch mit dem Partner auf mittlerer Managernentebene oder in den Funktionen (z.B. Marketing I Finanzen)? 1---····--··-··2--······-·····3·--···········4····-·········5

... kommt es zum Informationsaustausch mit dem Partner auf Facharbeiterebene? I·············· 2··············3··············4··············5

5. Bitte geben Sie mit Hilfe der nachfolgenden Skala an, in welchem Ma6e die folgenden Aussagen auf die hier betrachtete Geschiiftsbeziehung zutreffen. (Bitte den jeweils zutrefJenden Wert zwischen 1 und 7 ankreuzen)

1··············2··············3··············4··············5··············6··············7 Trifft iiberluzupt TrifJt groj3ten- rrijft ther nie/II

nichl zu teil.l' nicht zu zu als zu teil,v teils

Trifft eher zu TrijJt gro'pten-als niellt zu leils ZU

Trifft }loil:,.

Bis zum heutigen Zeitpunkt hat die Kooperation unsere Erwartungen erftillt. 1··············2··············3··············4··············5··············6··············7 Wir konnen uns darauf verlassen, daB unser Partner den Vertrag einhiilt. 1··············2··············3··············4··············5··············6··············7 Die Zusammenarbeit mit dem russischen Partner ist sehr erfolgreich. 1··············2··············3··············4··············5··············6·············· 7 Der russische Partner steht zu seinem Wort. I········· .. ··· 2··············3··············4··············5··············6·············· 7 Wir sind mit der Kooperation sehr zufrieden. 1··············2··············3··············4··············5··············6··············7 Falls diese Beziehung unerwartet zu Ende gehen wUrde, ware es fUr uns sehr kostspielig, einen adiiquaten Ersatz fUr den jetzigen Partner zu finden. I··.···· .... · .. 2··············3··············4··············5··············6··············7 Das gegenseitige Vertrauen ist in dieser Geschaftsbeziehung sehr hoch. I·············· 2··············3··············4··············5··············6··············7 Der Partner gibt uns nicht imrner ein vollig ehrliches Bild seiner Geschiiftstiitigkeit. 1··············2··············3··············4··············5··············6··············7 Manchmal verdreht der Partner die Tatsachen, urn seine Ziele zu erreichen. 1··············2··············3··············4··············5··············6··············7

372

Der Partner scheint der Auffassung zu sein, daB jedes Verhalten gerechtfertigt ist, solange es seinen eigenen Interessen dient. 1··············2··············3··············4··············5··············6·············· 7 Der Partner kommt seinen PfIiehten nach, auch wenn wir ibn nieht kontrollieren. 1········· .. ···2··············3··············4-·············5··············6·············· 7 Manchrnal macht der Partner Versprechungen, die dann spiiter nieht erfiillt werden. 1··············2··············3··············4-·············5··············6·············· 7 Vollige Ehrlichkeit macht sich im Umgang mit diesem Partner nicht bezahlt. 1··············2··············3··············4··············5··············6··············7 Der Partner nutzt die Kooperation dazu, neues Know How zu erlangen. 1··············2··············3··············4-·············5··············6·············· 7 Der Partner ist darauf bedacht, aus der Zusammenarbeit mit unserem Untemehmen soviet wie moglich zu lemen. 1··············2··············3··············4-·············5··············6·············· 7

Anhang

6. Welehe aktiven Mallnahmen ergreift der russische Partner, um aus dieser Kooperation zu lernen?

7. In welchem Malle wurde in den folgenden Bereiehen tatsachlich Know How an den russischen Partner iibertragen? (Bitte den jeweils zutrefjenden Wert zwischen J und 7 ankreuzen)

Know How Transfer extTem niedrig 8th, nitdrig niedrig mittel hoch lehr hoch extrem hoch

Produkttechnologie ProzeBtechnologie Qualitiitskontrolle Innovationsmanagernent Marketing Know How Distributionsmanagement RecbnungswesenlControlling Finanzmanagernent Personalwesen Allg. Managernenttecbniken Strategische Planung

1----------2---------3----------4-----------5----------6----------7 1-·-------2----------3---------4-----------5----------6----------7 1----------2----------3----------4-----------5----------6----------7 1----------2----------3---------4-----------5----------6----------7 1----------2----------3----------4----------5----------6----------7 1----------2----------3----------4-----------5----------6----------7 1----------2----------3----------4----------5----------6----------7 1----------2----------3--------4-----------5----------6----------7 1----------2----------3---------4-----------5----------6----------7 1----------2----------3---------4----------5----------6----------7 1----------2----------3----------4-----------5----------6----------7

8. Welche der folgenden Trainingsmafinahmeu wurden bisher fiir Manager, Facharbeiter nder Verkaufspersonal des russischen Partners durehgefiihrt? (Zutrefjendes bitte ankreuzen, Mehifachantworten miiglich)

Manager

Seminare I Schulungen in Deutschland Seminare I Schulungen in RuBland Training on-the-job in Deutschland Training on-the-job in RuBland Indirektes Training durch enge Zusammenarbeit mit deutschen Kollegen Handbiicher und anderes schriftliches Material Sonstiges, und zwar

o o o o o o o

Fach-arbeiter

o o o o o o o

Verkaufs­personal

o o o o o o o

9. Falls diese Kooperation aufgeliist wiirde, wie hoch waren dann die verlorengegangenen Investitionen (inkl. Technologie, KnowHow, Investitionen in Training, Anlagen, etc.) die niehl in andere Gesehaftsbereiche transferiert werden konnen? 1--············2··············3··············4··············5··············6··············7

txtTem gering sehr gering gering miltel Iwch sehr hoch extrem hoch

Anhang 373

IV. UNTERNEHMENSKOOPERA TlON MIT KAPITALBETEILIGUNG

Falls Ihr Unternehmen keine Joint Venture Beteiligungen und keine Kapualbeteiligungen an russischen Firmen hat, iiberspringen Sie bute diesen Teil und gehen Sie direkt zu Teil V.

Fiir diesen Teil der Befragung mochten wir Sie bitten, eine Kooperation mit einem russischen Partner zugrunde zu legen, die nicht nur auf Vertrag basiert, sondern die auch eine Kapitalbeteiligung Ihres Unternehmens beinhaltet. Beispiele fiir derartige Kooperationen sind z.B. Joint·Ventures oder Eigenkapitalbeteiligungen an russischen Unternehmen. Falls Ihr Unternehmen mehr als eine derartige Kapitalbeteiligung hat, wahlen Sie bitte die Geschiiftsbeziehung, mit der Sie selbst am besten vertraut sind.

1. Bitte beschreiben Sie kurz die Form der Kooperation, auf der Ihre folgenden Antworten basieren: (z.B. Distributions-loint Venture, Beteiligung am Eigenkapital eines Zulie/erers ... )

2. Bitte beschreiben Sie kurz den Zweck der Zusammenarbeit: (z.B. Produktion von medizinischen Geriitenfiir den Export; Distribution von Haarpflegeprodukten des deutschen Mutterunternehmens au/ dem russischen Markt .. .}

3. Prozentuale Verteilung des Kapitals: Russischer Partner: % Deutsches Untemehmen % Andere Partner: _ %

4. Beschreiben Sie bitte kurz die Branche bzw. die Geschiiftsaktivitaten des russischen Partners:

5. Anzahl der Beschiiftigten des russischen Partners: __

6. Privatisierungsstand des russischen Partners D Voll privatiert D teilprivatisiert D Unbekannt D Noch ganz in Staatsbesitz D Neue private Firma

7. Wann wurde der erste Kontakt zu diesem Geschiiftspartner gekniipft? Monat:_ Jahr:

8. Seit wann besteht die Kooperation in ihrer jetzigen Form? Monat:_ Jahr:_

9. Anzahl der Beschaftigten im Gemeinschaftsunternehmen:

10. Welches waren die wichtigsten Griinde Ihres Unternehmen, diese Kooperation einzugehen?

11. Was hat Ihrer Meinung nach den russischen Partner zu dieser Kooperation motiviert?

12. Wie groB ist die Kontrolle Ihres Unternehmens iiber die Geschafte des Gemeinschaftsunternehmes?

1-··· ••••• -----2--· ------·----3------.-------4------. -------5--.. -------.--6··------------7 Keine Kontrolle Vollstiindige Kontrolle

374

13. Bitte bewerten Sie, in welcbem MaRe Ibr Unternebmen und der russiscbe Partner Beitriige in den verscbiedenen Bereicben dieser Kooperation geleistet baben:

Anhang

Hallplbeilrag Gleichwertige HtuqJtbeitrag l'om Partner Beitrlige

Kapital Produkttechnologie ProzeBteehnologie

Gebaude Personal Produktionsanlagen

Managernentwissen

Marketing Know How Industrieerfahrung Marktzugang

Distributionsnetz in RuBland Distributionsnetz irn Ausland Kontakt zur Administration Sonstiges, _____ _

14. Wieoft ...

·3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2-------- -1----------0----------1----------2----------3 -3-------- -2-------- -1--------0--------1----------2--------3 -3-------- -2---------- -1----------0---------1----------2----------3 -3--------- -2--------- -1----------0----------1----------2----------3 -3-------- -2---------- -1---------0---------1---------2----------3 -3------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1---------0---------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1----------2----------3 -3--------- -2---------- -1---------0----------1----------2----------3 -3------- -2---------- -1---------0----------1----------2----------3 -3--------- -2---------- -1----------0----------1---------2----------3 -3--------- -2--------- -1----------0----------1----------2----------3

.. . tausehen Sie Informationen mit den Top-Managem des Partners aus?

1--------------2·-------------3--------------4--------------5 Nu S.Uen Manchmal Haufig Standig

... kommt es zurn Informationsaustauseh mit dern Partner auf mittlerer Managernentebene oder in den Funktionen (z.B. Marketing I Finanzen)? 1--------------2--------------3--------------4--------------5

... kommt es zurn Informationsaustauseh mit dern Partner auf Faeharbeiterebene? 1--------------2--------------3--------------4--------------5

15. Bitte geben Sie mit Hilfe der Skala an, in welchem MaRe die folgenden Aussagen auf die bier betracbtete Kooperation zutreffen. (Bitte den jeweils zutreJfenden Wert zwischen 1 und 7 ankreuzen) 1--------------2-------·------3-------·------4-·------------5--------------6--------------7

Trifft iiberh4upt Trijft grofiten- Trifft eher niell! nichl zu teUs nicht ZIt ZIl a[s ZU

teils! teih

Trifft eha zu Trifft grojJten-als nirhl zu leil~' ZU

Trifft voLJ zu

Bis zurn heutigen Zeitpunkt hat die Kooperation unsere Erwartungen erfiillt. 1--------------2--------------3--------------4--------------5--------------6--------------7 Wir ktinnen uns darauf verlassen, daB unser Partner den Kooperationsvertrag einhalt. 1--------------2--------------3--------------4--------------5--------------6--------------7 Die Zusammenarbeit mit dern russisehen Partner ist sehr erfolgreieh. 1--------------2--------------3--------------4--------------5--------------6--------------7 Der russisehe Partner steht zu seinern Wort. 1-------·------2--------------3-·------------4--------------5--------------6--------------7 Wir sind mit der Kooperation sehr zufrieden. 1--------------2--------------3--------------4--------------5--------------6--------------7 Falls diese Beziehung unerwartet zu Ende gehen wUrde, ware es fUr uns sehr kostspielig, einen adliquaten Ersatz fiir den jetzigen Partner zu tinden. 1-------·------2--------------3--------------4--------------5--------------6--------------7 Das gegenseitige Vertrauen ist in dieser Gesehaftsbeziehung sehr hoeh. 1----·--······-2-············-3-············-4-······-·····-5··-··········-6-····----····· 7

• Der Partner gibt uns nieht immer ein vtillig ehrliehes Bild seiner Gesehaftstatigkeit. 1-··-·········-2-···-········-3-··-···--···--4---··----··---5-·--···-·····-6-·······------7

Anhong

Manchmal verdreht der Partner die Tatsachen, urn seine Ziele zu erreichen. 1··············2··············3··············4··············5··············6·············· 7 Der Partner scheint der Auffassung zu sein, daI.l jedes Verhalten gerechtfertigt ist, solange es seinen eigenen Interessen dient. 1··············2··············3··············4··············5··············6··············7 Der Partner kommt seinen Pflichten nach, auch wenn wir ibn nicht kontrollieren. 1··············2··············3··············4··············5··············6·············· 7 Manchmal macht der Partner Versprechungen, die dann spater nicht erfiillt werden. 1·············· 2··············3··············4··············5··············6·············· 7 Vollige Ehrlichkeit macht sich im Umgang mit diesem Partner nieht bezahlt. 1·············· 2··············3··············4··············5··············6·············· 7 Wir nutzen die Kooperation dazu, neues Know How zu erlangen. 1··············2··············3··············4··············5··············6·············· 7 Der Partner nutzt die Kooperation dazu, neues Know How zu erlangen. 1·············· 2··············3··············4··············5··············6·············· 7

375

Der russische Partner ist darauf bedacht, aus der Zusammenarbeit mit unserem Untemehmen soviet wie moglich zu lemen. 1··············2··············3·············-4-·············5··············6-··· .... ······ 7

16. Welche aktiven Ma6nahmen ergreift der russische Partner, urn aus dieser Kooperation zu lernen?

17. In welchem Ma6e wurde in den folgenden Bereichen tatsiichlich Know How an den russischen Partner iihertragen? (Bitte den jeweils zutreJfenden Wert zwischen I und 7 ankreuzen)

Know How Transfer extrem niedri, sthr nitdrig niedrig mittel hoch sehr hoch extrem hoch

Produkttechnologie ProzeBtechnologie Qualitatskontrolle Innovationsmanagement Marketing Know How Distributionsmanagement RechnungswesenlControlling Finanzmanagernent Personalwesen Allg. Managementtechniken Strategische Planung

1----------2----------3----------4----------5----------6---------7 1----·-----2---------3----------4----------5---------6----------7 1----------2----------3----------4-----------5----------6----------7 1---------2----------3----------4-----------5----------6----------7 1----------2--------3----------4-----------5---------6--------7 1--------2----------3----------4--------5----------6---------7 1----------2----------3----------4-----------5----------6----------7 1----------2---------3----------4-----------5----------6---------7 1----------2----------3----------4-----------5----------6----------7 1----------2----------3----------4-----------5----------6----------7 1----------2----------3----------4-----------5----------6---------7

18. Hat Ihr Unternehmen in dieser Kooperation neues Know How gewonnen, das auch fiir andere Unternehmensaktivitiiten Bedeutung hat? o Nein 0 Ja, und zwar ___________ _

19. Welche der folgenden Trainingsma6nahmen wurden bisher fiir Manager, Facharbeiter oder Verkaufspersonal des Gemeinschaftsunternehmens durchgefiihrt? (ZutreJfendes bitte ankreuzen. Mehrfachantworten moglich)

Seminare I Schulungen in Deutschland Seminare I Schulungen in RuBland Training on-the-job in Deutschland Training on-the-job in RuBIand Indirektes Training durch enge Zusammenarbeit mit deutschen Kollegen Handbiicher und anderes schriftliches Material Sonstiges. und zwar

Manager

o o o o o o o

Fach-arbeiter

o o o o o o o

Verkaufs­personal

o o o o o o o

376 Anhang

20. Falls diese Kooperation aufgeliist wiirde, wie hoch waren dann die verlorengegangenen Investitionen (ink!. Technologie, KnowHow, Investitionen in Training, Anlagen, etc.) die nicht in andere Geschaftsbereiche transferiert werden kiinnten? 1--------------2-------------3------------4------------5-------------6------------7

txtnm gering ,eM gering gering millel hoch ,eb,. hoch extrem hod

21. Viele Kooperationen resultieren in sogenannten 'extemen Effekten' fiir die heteiligten Firmen. Positive externe Effekte konnen zurn Beispiel eintreten, wenn das in einer Kooperation gewonnene Wissen auch in anderen Bereichen des Unternehmens gewinnbringend angewendet werden kann. Negative Effekte hingegen konnen z.B. eintreten, wenn der Kooperationspartner oder die Kooperation selbst zurn Konkurrenten des Unternehmens wird.

Wie sind die externen Effekte in der hier betrachteteten Kooperation flir Ihr Unternehrnen? -3----------- -2------------- -1------------0--------------1--------------2-------------3

stark negaRlI neutral stark positiv

Wie sind die extemen Effekte in der hier betrachteteten Kooperation fUr den russischen Partner? -3----------- -2---------- -1-----------0------------1--------------2--------------3

,'arknegativ neutral stfITkpositiv

v. STATISTISCHE ANGABEN

Zum Abschlufl beantworten Sie bitte noch folgende Fragen zu Ihrer Person:

1. Wie lange sind Sie schon in diesem Unternehmen tiitig? __ Jahre, davon in RuBland: __ Jahre

2. Derzeitige Position:

3. Nationalitiit:

Anhang

Anhang 5: Zentrale Ergebnisse der empirischen Befragung deutscher Unternehmen

5.1 Approximation des Non-Response Bias anhand eines Vergleichs ausgewiihlter Eigenschaften von friih und spiit antwortenden Firmen (Mittelwertvergleich)

Fruhe (= erstes Drittel der) Spate (= letztes Drittel der) Einsendungen Einsendungen

N=17 Mitarbeiter weltweit 33267 Mitarbeiter in RuBland 115 Exportintensitat (in %) 61,2 Anteil der 31,5 Auslandsproduktion (in %)

Markterfahrung in RuBland 13,4 (in Jahren) Anzahl der 2,2 Direktinvestitionen in Ost-und Mitteleuropa (ohne ehernalige SU) Anzahl der 1,2 Direktinvestitionen in der ehernaligen SU Anteil der Firmen mit 44,0 Direktinvestitionen in RuBland (in %) .. Fur aile Merkmale sind d,e UnterschU!de ZWISchen den beiden Gruppen

niehl signiflkant.

5.2 Profil der befragten Manager

5.2a Position der befragten Manager

Anzahl I der befraglen Manager

Direktor der Reprasentanz I 43 Niederlassung Funktional verantwortlicher 6 Manager Regional verantwortlicher 4 Manager Keine Angabe 2 Gesamt 55

5.2b Ort der Tiitigkeit der befragten Manager

N=18

Prozent

Anzahl I Prozent der befra ten Manager

Reprlisentanz 34 Tochtergesellschaft 12 Joint Venture 1 Stammsitz 6 Keine Anl(abe 2 Gesamt 55 Rundungsfehler

19556 137 50,2 34,8

10,3

2,0

I,D

39,0

78,2

10,9

7,3

3,6 100

61,8 21,8

1,8 10,9 3,6

100

377

378 Anhang

5.2e FirmenzugehOrigkeit der befragten Manager in Jahren

Keine Angabe 3 Manager = 5%

1/-/5 Jahre 4 Mgr. =7%

6-/0 Jahre 8 Mgr. = 15%

5.2d Landeserfahrung der befragten Manager in Jahren

7-9 Jahre 7 Mgr. = 13%

4-6 Jahre 15 Mgr. = 28%

Weniger als / Jahr 3 Manager = 5%

5.3 Stammsitz der teilnehmenden Unternehmen

/-5 Jahre Mgr. =40%

/-3 Jahre 20 Mgr. = 37%

Anzahll Prozent der befragten Untemehmen

NRW II Bayern 11 Hessen 7 B.-Wiirtemberg 5 Niedersachsen 4 Sachsen-Anhalt 4 Rheinl.-Pfalz 3 Hamburg 3 Berlin 3 Schleswig-Holstein I Sachsen I Brandenburg I Keine Angabe I Gesamt 55 Rundungsfehler

20.0 20,0 12,7 9,1 7,3

7,3 5,5 5,5 5,5 1,8 1,8 1,8 1,8

100

Anhang 379

5.4 GriiRenverteilung der Stichprobe (Mitarbeiter weltweit)

Anzahl _1_ Prozent der befraglen Unlernehmen

1-100 6 10,9 101-500 2 3,6 501-1000 8 14,5 1001-5000 9 16,4 5001-10000 6 10,9 10001-50000 9 16,4 >50000 6 10,9 Keine Angabe 9 16.4 Gesamt 55 100

5.5 Investitionsverhalten des Buslandischen Unternehmens

5.5a Anzahl der Lander in Mittel- und OsteuropB (ohne ehemalige Sowjetunion), in denen bereits Direktinvestitionen getiitigt worden

Fun! oder mehr liinder

9 Finnen =16%

Drei liinder

Keine Angabe 2 Firmen=4%

5 Finnen = 9% Zwei Lander 5 Finnen=9%

Keine Direktinvestitionen

7 Firmen=31%

to Finnen = 18%

5.5b Anzahl der Lander der ehemBligen Sowjetunion, in denen bereits Direkt-investitionen getiitigt wurden

Ein Land

Keine Angabe 4 Pirmen = 7%

II Finnen = 20%

Keine Direktinvestitionen

"".1;'",""",,',",,"':.0 24 Pinnen = 44%

380 Anhang

5.5c Wurden bereits Direktinvestitionen in Ru8Iand getiitigt?

Anzahl _I Prozent der befragten Unternehmen

lJa 221 40,0 1 Nein 33 I 60,0 1 Gesamt 551 100

5.5d Zeitpunkt der ersten Direktinvestition in Ru8Iand

Anzahl J Prozent der befragten Unternehmen

Vcr 1990 4 18,2 1990-1992 3 13,6 1993-1995 10 45,5 1996 und spater 4 18,2 Keine AnKabe 1 4,5 Gesamt 22 100

5,6 Vergleich der internationalen und regionalen Geschiiftsaktivitiiten von Unternehmen mit und ohne Direktinvestitionen in Rullland

Unternehmen mit Unternehmen Signifikanz des Dinekt-investition ohne Direkt- Mittelwert-in RuBland investition in vergleichs *

RuHland (NS= Unter-schied nicht

(Min. N= 15) (Min. N=25) si/ini/ikant) Mitarbeiter weltweit 44437 11537 0,10 Mitarbeiter im Ausland (in % 47,6 52,8 NS der Gesamtbelegschaft) Auslandsproduktion (in % 42,6 32,6 NS der Gesamtproduktion) Exportintensitat 63,6 48,8 NS (Exportanteil am Umsatz) Anzahl der ost- und mittel- 3,1 1,8 0,1 europaischen Lander, in denen Direktinvestitionen getatigt wurden Anzahl der Lander der 0,8 0,4 0,1 ehernaligen UdSSR (ohne RuBland), in denen Direkt-investitionen getatigt wurden Markterfahrung in RuHland 16,1 11,3 NS (Zeit seit erstem Marktkontakt in Jahren) Zeit seit erster forrnaler 8,1 4,5 0,05 Organisation in Rullland**

Angegeben smd h,er d,e ErgebOlsse des parametflschen t-Tests. Aufgrund der genngen Stichprobengr()ile wurde auch ein nicht-parametrischer Mann-Whitney Test durchgefuhrt,der zu vergleichbaren Ergebnissen fuhrte.

** Formale Organisation in Form einer Reprasentation, Tochter oder Beteiligung

Anhang 381

5.7 Erfahrung der befragten Untemehmen auf dem russischen Markt

5.7a Zeitpunkt des ersten Marktkontaktes

Anzahl J Prozent der befragten Untemehmen

Vor 1970 7 12,7 1970-1979 9 16,4 1980-1989 5 9,1 1990-1992 18 32,7 1993-1995 15 27,3 1996 und spater 1 1,8 Gesamt 55 100

5.7b Zeitpunkt der ersten formaIen Organisation in Ru8Iand

Anzahl J Prozent der befragten Untemehmen

Bis 1979 5 9,1 1980-1989 4 7,3 1990-1992 13 23,6 1993-1995 22 40,0 1996 und spater 8 14,5 Keine Angabe 3 5,5 Gesamt 55 100

5.8 Derzeitige Organisationsform der befragten Unternehmen in der Russischen Fiideration

Rep. & Bet. 3 Finnen = 5%

Nur Beteiligung 2 Finnen =4%

NurTochter 6 Finnen = 11 %

Aile 3

382 Anhang

5.9 Wege der Belieferung des russischen Marktes I Zusammensetzung des russischen Gesamtumsatzes der Stichprobe (Durchschnitt aller befragten Unternehmen)

Montage 9%

Direkter Export 65%

Die Graphik ist wie falgt zu lesen: Durchschnittlich werden 65% des RuBland Umsatzes dcr befragten Unternehmen durch direkten Export erzielt etc.

5.10 Einbindung in lokale Netzwerke

5.10a Anzahl der lakalen Abnehmer

Anzahl I Prozent der befragten Unternehmen

Keine lokalen Abnehmer 3 5,5 1-10 9 16,4 11-20 4 7,3 21-50 16 29,1 51-100 8 14,5 > 100 lokale Abnehmer 8 14,5 Keine Angabe 7 12,7 Gesamt 55 100

5.lOb Anzahl der lokalen Lieferanten

Anzahl .l Prozent der befragten Unternehmen

Keine lokalen Lieferanten 31 56,4 1-5 8 14,5 6-10 4 7,3 11-20 2 3,6 21-50 2 3,6

, Keine Angabe 8 -.-l1,;~ -55 -,------ --~.-

Gesamt 100 Rundungsfehler

Anhang 383

5.11 In RuBland vorhandene Funktionen I Organisationsbereiche

Strat. p'anung'iiiiiiiiiiii.iiiiiiiiiiiii~==;:=:::=~==;:=:;=::!=~

Finanzene~~~ Controlling

F&E

ProdUktionE=~~~~~~ Montage

Kundendienst

DiStributiOnl;;;;;~~~!i~~~ Marketing

.in RuBland vo'handen hei .. % de, hefragten Firmen Onicht vorhanden hei .. % de, hefragten Firmen

5.12 Mitarbeiter in RuBland

5.12a Anzahl der Beschiiftigten in RuBland

Anzahl I Prozent der hefragten Unternehmen

Weniger als 5 16 29,1 5-10 9 16,4 11-20 10 18,2 21-50 7 12,7 51-100 4 7,3 101-500 5 9,1 Mehr als 500 4 7,3 Gesamt 55 100 Rundungsfehler

5.12b Anteil der ausliindischen Mitarbeiter in RuBland (iu % aller in RuHland beschiiftigten Mitarbeiter)

Anzahl I Prozent der hefragten Unternehmen

o % ( Keine auslandischen 12 21,8 Mitarheiter)

Weniger als 3 % 7 12,7 3 % bis < 5% 5 9,1 5 % bis < 10% 8 14,5 10% bis < 20% 5 9,1 20% bis <50% 12 21,8 50% und mehr auslandische 6 10,9 Mitarheiter Gesamt 55 100 Rundungsfehler

384 Anhang

5.13 Wahrgenommene Merkmale lokaler Partner

5.1308 Die Korrelationsmatrix der wahrgenommenen Merkmale lokaler Partner

Techn. MgmL Mktg. Finanz. Gewinn- Untem.- Lem- Lem-Komp. Komp. Komp. Komp. orient. Reist wille rlihiI!keit

Techn. Komp. Mgmt. 0,124 Komp. MkgL 0,023 0,698··· Komp. Finanz. 0,148 0,466··· 0,484··· Komp. Gewinn- 0,006 0,131 0,275·· 0,332·· orient. Untem.- 0,175 0,264· 0,208 0,379··· 0,226

I Reist Lern- 0,045 0,031 0,045 0,087 0,111 0,394··· wille Lern- 0,168 0,131 0,168 0,081 -0,049 0,286·· 0,355··· rlihigkeit • -+ p<O,1 •• -+ p<O,OS ••• -+ p<O,OI

5.13.b Die Skala des komparativen Entwicklungspotentials

N Durchschnitt Standard- Korrigierte Alpha bei abweichung Item-Gesamt Eliminierung

Korrelation des Items Untemehmergeist 53 0,70 1,55 0,41 0,52 Lemwillen 53 -0,57 1,35 0,47 0,44 Lemfahigkeit 53 -0,38 1,43 0,38 0,56

SlIlndardisitrter RelillbilitiitskoefflZient Alpha = 0,61

5.13.c Die Skala der komparativen betriebswirtschaftlichen Kompetenz

N Durchschnitt Standard- Korrigierte Alpha bei abweichung Item-Gesamt Eliminierung

Korrelation des Items Finanzmgmt. 53 2,11 1.20 0,52 0,81 Kompetenz Mgmt. Kompetenz 53 2,30 0,93 0,67 0,65 Mktg. Kompetenz 53 2,28 1,17 0,67 0,65

Standardisierter Relillbilitiitskoe!flZitnl Alpha = 0,79

Anhang 385

5.14 Internationale, regionale und landesspezifische Firmenerfahrung, wahrgenommenes Kooperationskiima und Erfolg

Hinweis: Urn die inhaltliche Logik zu bewahren. wurden fiir die folgenden Korrelationsmatrizen die Eigenschaften der russischen Kooperationspartner (d.h. betriebswirtschaftliche Kompetenz, lokales Entwicklungspotential, technische Kompetenz und Gewinnorientierung) so indiziert, daB eine bessere Beurteilung der russischen Partner mit einer h~heren (bzw. positiven) Bewertung (und nicht wie in der ursprUnglichen Frage mit einem negativen Wert) einhergeht.

5.14a Korrelationsmatrix 1: Internationale Erfahrung, wahrgenommenes Kooperationsklima und Erfolg

%MA Ausl.- Export- BWl Entw.- Techn. Gewinn- Kultur. Zufrie- Erwart. Ausland I prod. intens. Komp. lootent. Komp. orient. Unter. denbeit erfU1l2.

%MA Ausland Ausl.- 0,566 prod. Export- 0,011 0,195 intens. BWl -0,209 0,022 -0,200 Komp. Entw.- 0,265 0,207 -0,346 0,204 Potent. Techn. 0,241 0,159 -0,056 0,114 0,177 Komp. Gewinn- -0,028 -0,010 -0,095 0,306 0,132 0,006 orient. Kultur. -0,263 -0,102 -0,074 -0,086 0,056 -0,020 0,114 Untersch. Zufrieden 0,422 0,434 0,049 -0,050 0,019 -0,184 0,042 -0,211 -heit Erwart.- 0,325 0,360 -0,006 0,043 0,105 -0,108 0,009 -0,287 0,78\ ErfUllung

• ~ p<O,1 •• ~ p<O,05 ••• ~ p<O,Ol

S_14b Korrelationsmatrix 2: RegioDale Erfahrung, wahrgenommenes Kooperationskiima und Erfolg

DIin DI in BWl Entw.- Techn. Gewinn- Kultur. Zufrie- Erwart.-MlOEur. ehem. SU Komp. potent. Komp. orient. Untersch. denbeit erfUllg.

DIin M/OEur. DIin 0,431 ehem. SU BWl -0,017 -0,155 Komp. Entw.- 0,145 0,050 0,204 Potent. Techn. -0,083 -0,125 0,114 0,177 Komp. Gewinn- 0,014 -0,090 0,306 0,132 0,006 orient. Kultur. -0,055 0,026 -0,086 0,056 -0,020 0,114 Untersch. Zufrieden 0,192 0,163 -0.050 0,019 -0,184 0,042 -0,211 -heit Erwart.- 0,177 0,047 0,043 0,105 -0,108 0,009 -0,287 0,781 ErfUllun2

• ~ p<O,1 •• ~ p<O,OS ••• ~ p<O,Ol

386

5.14c Korrelationsmatrix 3: Landesspezifische Erfahrung, wahrgenommenes Kooperationsklima und Erfolg

#MA 1. Markt 1. form. BWL Entw.- Techn. Gewinn- Kultur. Zufrie-RuBland kontakt Organis. Komp. potent. Komp. orient. Unter. denheit

#MA RuBland Zeitseit 1. 0,068 Mkt.kont. Zeit seit I. -0,052 0,442 form. Org. BWL -0,118 -0,277 -0,137 KoIllI'-Entw.- 0,022 -0,187 0,120 0,204 I potent. Techn. .0,077 -0,046 0,071 0,114 0,177 Komp. Gewinn- -0,016 -0,289 -0,126 0,306 0,\32 0,006 orient. Kultur. -0,067 -0,174 -0,037 -0,086 0,056 -0,020 0,114 Untersch. Zufrieden- 0,257 -0,219 .0,111 -0,050 0,019 -0,184 0,042 -0,211 heit Erwart.- 0,147 -0,168 -0,046 0,043 0,105 -0,108 0,009 -0,287 0,781 Erfllllung

• -+ p<O,1 •• -+ p<O,OS ••• -+ p<O,OI

Anhang

Erwart.-erflillg.

5.14d Korrelationsmatrix 4: Zusammenhiinge zwischen internationaler, regionaler und landesspezifischer Erfahrung des deutschen Unternehmens und Einzelmerkmalen des wahrgenommenen Entwicklungspotentials

%MA Aus\'- Export- DIin Dlin MA Zeitseit Untem.- Lem- Lem-Ausland prod. intens. M/O ehemal. RuBland I. Markt geist t1lhig- wille

Eor. su kontakt keit %MA Ausland Ausl.- 0,566 Prod. Export- 0,011 0,195 Intens. DI in M10 0,111 0,018 -0,304 Eur. DIin -0,017 0,116 0,165 0,431 ehem. SU MAin 0,217 0,146 -0,167 0,458 0,595 RuBland Zeitseit 1. 0,155 0,160 -0,079 -0,111 0,051 0,068 Mkt.kont. Untemeh- 0,149 0,274 -0,213 0,081 -0,074 ·0,076 -0,183 mergeist Lemfilhig- 0,248 0,035 -0,342 0,247 0,275 0,303 -0,150 0,286 keit Lemwille 0,167 0,159 -0,209 -0,013 -0,100 ·0,181 -0,080 0,394 0,355

• -+ p<o,l •• -+ p<O,OS ••• -+ p<O,Ol

Anhang 387

5.15 Direktinvestitionsverhalten in Ru6land und wahrgenommene Merkmale lokaler Geschaftspartner

Hinweis: Auch fUr diese sowie aile folgenden Analysen, wurden die Eigenschaften der russischen Kooperationspartner (d.h. betriebswirtschaftliehe Kompetenz, lokales Entwieklungspotential, technische Kompetenz und Gewinnorientierung) so indiziert, daB eine bessere Beurteilung der russischen Partner mit einer hOheren (bzw. positiven) Bewertung (und nieht wie in der

r h F' W )'nh h ursprting IC en rage mit emem negatlven ert e\ erge t. Unternehmen Unternehmen Signifikanz des mit Direkt- ohne Direkt- Mittelwert-investition* in investition* in vergleichs RuBIand RuBIand (NS= Unter-

schied nicht (Min. N=21) (Min. N=31) signi/ikant)

Wahrgenommenes 0,68 -0,06 NS Entwicklungspotential ) -Lernwille 0,62 0,53 NS ) - Lernfahigkeit 0,95 0,00 0,05 ) - U nternehmergeist -0,71 -0,69 NS Wahrgenommene -2,55 -2,02 0,05 betriebswirtschaftliche Kompetenz ) Finanzen -2,47 -1,88 0,05 ) Management -2,48 -2,19 NS ) Marketing -2,71 -2,00 0,05 Wahrgenommene -0,91 -0,84 NS technische Kompetenz Wahrgenommene -1,33 -0,09 0,05 Gewinnorientierung Wahrgenommene 2,38 2,13 NS negative kulturelle Einfliisse Zufriedenheit 4,32 4,12 NS Erwartungserflillung 4,24 4,10 NS

.. .. Der glelche Verglelch erfolgte fur Unternehmen mit und ohne Eigenkapitalbetelhgung m RuBland . Die Ergebnisse waren weilgehend idenlisch und werden deshalb niehl noch einmal dargeslellt.

5.16 Geplante Investitionsfonnen

Anzahl Prozent Hundertprozentige Tochtergesellschaft 11 36,67 Joint Venture oder Beteiligung an 12 40,00 russischem Unternehmen Noch unentschlossen 7 23,33 Gesamt (Aile Unternehmen, die eine 30 100,00 Direktinvestition planen)

5.17 Bisheriges und geplantes Investitionsverhalten

Investition in Investition in Gesamt RuBland RuBIand nicht geplant geplant

I Bereits in RuBIand investiert 16 5 21 I Noch nicht in RuBland investiert 14 18 32 I Gesamt 30 23 53

388 Anhang

5.18 Vergleich der lokal vorhandenen Funktionen von Unternehmen mit und ohne geplanter Direktinvestition in RuRland

Anteil (in %) der Anteil (in %) der Signifikanz Untemehmen mit Untemehmen ohne des Anteils-geplanter Direkt- ohne getlitigte und vergleichs investition in RuBland, geplante Direkt-die vor Or! ... ausiiben investition in (NS= Unter-(Min. N= 30) RuBland, die vor Ort schied nicht

... ausiiben signijikant) (Min. N= 23)

Marketing 97 94 NS Distribution 53 17 om Kundendienst 37 39 NS Finanzmgmt. 33 II 0,1 Controlling 30 17 NS Strateg. Planung 43 17 0,05 Produktion 27 11 NS Montage 13 17 NS F&E 10 0 0,1

5.19 Vergleich von Wahrnehmungen nach Investitionsform

Firmen, die eine DI Firmen, die eine Signifikanz des in Form einer DI in Form eines Mittel-IOO%igen Tochter JVS/ einer wertvergleichs planen Beteiligung (NS=nicht sign.)

planen Wahrgenommenes 1,5 0,6 NS Entwicklungspotential* » Wahrgenommene 1,5 0,5 0,1

Lemfahigkeit » Wahrgenommene 0,6 0,7 NS

Lembereitschaft » Wahrgenommener -0,6 -0,5 NS

Untemehmergeist Wahrgenommene -2,2 -2,4 NS betriebswirtschaftliche Kompetenz » Wahrgenommene -2,1 -2,6 NS

Finanzkompetenz » Wahrgenommene -2,2 -2,4 NS

Mktg.-Kompetenz » Wahrgenommene -2,3 -2,3 NS

Mgmt-Kompetenz Wahrgenommene -I,D -0,3 NS technische Kompetenz Wahrgenommene -0,3 -0,4 NS Gewinnorientierung

• Urn die mhalthche Loglk zu bewahren. wurden auch hler wieder aile wahrgenommenen Merkmale so kodiert. daB eine bessere Beurteilung der russischen Partner mit einer haheren (bzw. positiven) Bewertung einhergeht.

Anhang

5.20 Merkmale der Unternehmensbeziehungen

5.20a Erster Geschiiftskontakt

Kooperationen auf Kooperationen mit auslan-Vertragsbasis discher Kapitalbeteiligung

Vor 1980 1 (2,3%) 2 (11,8 %)

Vor 1990 5 (11,6 %) 4(23,6%) 1990-1992 12 (27,9 %) 3 (17,6 %) 1993-1995 21 (48,9 %) 7(41,1 %) 1996 und spater 4 (9,3%) 1 (5,9%) Gesamt 43 (l00 %) 17 (l00 %)

5.20b KooperBtionsheginn

Kooperationen auf Kooperationen mit auslan-Vertagsbasis discher Kapitalbeteiligung

Vor 1990 2 (4,6%) 1 (5,9%)

1990-1992 9 (20,9 %) 3 (17,6 %) 1993-1995 21 (48,9 %) 11 (64,7 %) 1996 und spater 11 (25,6 %) 2(11,8%) Gesamt 43 (100 %) 17 (100 %)

5.20c Beschiiftigungszahl der GemeinschBftsunternehmen

Anzahl der Kooperationen Prozent aller Kooperationen < 20 Mitarbeiter 3 17,6%

20 - 49 Mitarbeiter 4 23,6% 50 -99 Mitarbeiter 2 11,8 % 100- 499 Mitarbeiter 6 35,2 % 500 und mehr Mitarbeiter 2 11,8 % Gesamt 17 100 %

5.20d Ausliindischer Kapitalanteil bei Beteiligungsunternehmen I Joint Ventures

Anzahl der Kooperationen Prozent aller Kooperationen Bis 33,3 % 4 27,6%

33,4 % - 49,9 % 3 17,6% 50% 3 17,6% 50,1 % -66,6 % 3 17,6% >66,7% 4 27,6% Gesamt 17 100 %

S.20e Prlvatisierungsstatus der russischen Partner in Kooperationen mit ausliindischer KBpitalheteiligung

Anzahl der Kooperationen Prozent aller Kooperationen Vollstandig privatisiert 8 47,1 %

Teilweise privatisiert 5 29,4 % Vollstandig in 3 17,6 % Staatsbesitz Unbekannt 1 5,9% Gesamt 17 100 %

389

390 Anhang

S.20f BeitragsprofII der 17 Beteiligungsunternehmen

Kapital~~I'1 Produktlechn. 2,4

ProzeBtechn. 2 2

Gebllude ·2,6

Personal -2,1

Produklionsanlagen ~TITI~~~i~~~~0~'6~E~~~ 2,1 Management

Marketing 2,4

Industrieerfahrung 1,1 ,0,9

Marktzugang

Distribution im Inland -1,3

DiStributionimAUSlandi~~~~~~~~~~~~~~--':::~0;'7~~~~;~~~;= Ve",allungskonl"" -2.1

-3 -2 -I

-3=Hauptbeitrag vom russischeo Partner 3=Hauptbeitrag vom deutschen Partner

S.21 Know-How Transfer in vertraglichen Beziehungen

S.21a Know-How Transfer in den einzelnen Bereichen: Korrelationsmatrix

Slral. Alig. Perso- Finanz- Control Distri- Mktg. Prod.- Proz.- fonaY.- Qualil.-Plan. Mgml. nal mgml. Ling bution techno techno mgml. mgml.

Slral. Planung All. 0,750 Mgml. Personal 0,405 0,386

Finanz- 0,446 0,589 0,709

mgml. ConlTol- 0,371 0,568 0,692 0,895 ling Dislri- 0,397 0,529 0,167 0,374 0,498 bution Mar- 0,066 0,148 0,024 0,128 0,288 0,350 keting Produkt- 0,169 0,087 0.518 0,254 0,301 0,017 0,156 techno Prozess- 0,397 0,160 0,446 0,340 0.324 0.031 0,062 0,585 techn, Innav.- 0,221 0,113 0,361 0,129 0,240 0,234 0,431 0,577 0,510 mgml. Qualil.- 0,130 -0,018 0,422 0,301 0,295 -0,024 0,184 0,567 0,650 0,600 mgml.

• -+ p<O,l •• -+ p<O,05 ••• -+ p<O,OI

S.21b Ergebnisse der Faktorenanalyse

Eigenwett % der erkiiirten % der erkiatten Varianz Varianz (kumulativ)

I Faktor 1 4,608 41.887 41.887 I Faktor 2 2,099 19.081 60,967 I Faktor 3 1,290 11,726 72,694

Anhang 391

S.2Ib Ergebnisse der Faktorenanalyse, Fortsetzung

Faktorladungen (nach Varimax Rotation) Faktor 1 Faktor 2 Faktor3

Strat. Planung 0,7Il 0,270 0,098 Allg. Managementtechniken 0,851 0,084 0,192 Personal 0,660 0,538 -0,179 Finanzmanagement 0,849 0,282 -0,025 Controlling 0,817 0,266 0,164 Distribution 0,556 -0,136 0,619 Marketing 0,062 0,130 0,868 Produkttechnologie 0,154 0,870 0,002 ProzeBtechnologie 0,244 0,787 0,061 Innovationsmanagement 0,066 0,725 0,492 Qualitatsmanagement 0,040 0,866 0,090

S.2Ie Reliabilitiit der Subskalen

(1) Management / N Durchschnitt Standard- Korrigierte Alpha bei Supportfunktionen abweichung Item-Gesamt Eliminierung

Korrelation des Items Strat. Planung 43 2,93 1,68 0,570 0,880 Allg.Management- 43 2,86 1,60 0,691 0,852 techniken Personal 43 1,86 1,63 0,661 0,858 Finanzmanagement 43 2,12 1,79 0,824 0,817 Controlling 43 2,21 1,74 0,782 0,829

Standardiskrter ReliabilitiitskoefflZient Alpha = 0,875

(2) Technologie N Durchschnitt Standard- Korrigierte Alpha bei Abweichung Item-Gesamt Eliminierung

Korrelation des Items Produkttechnologie 43 2,93 2,16 0,675 0,808 ProzeBtechnologiee 43 2,81 2,23 0,690 0,802 Innovations- 43 2,47 1,82 0,656 0,819 management Qualitats- 43 3,07 2,20 0,721 0,787 management

Standardisierter Reliabilitatskoeffl'l.ient Alpha = 0,846

392 Anhang

5.22 Know-How Transfer in kapitalbasierten Unternehmenskooperationen

5.228 Know-How Transfer in den einzelnen Bereichen: Korrelationsmatrix

Strat. AUg. Perso- Finanz- Control Distri- Mktg. Prod.- Proz.-Plan. Mgmt. nal Imgmt. Ling bution techno techno

Strat. Planung All. 0,217

Mgmt. Personal 0,268 0,349

Finanz- 0,271 0,438 0,855

mgmt. Control- 0,201 0,476 0,632 0,806

ling Distri- -0,011 0,424 0,170 0,397 0,568 bution Mar- 0,223 0,349 0,065 0,022 0,214 0,180 keting Produkt- 0,246 -0,118 -0,233 -0,154 0,014 0,071 0,710

techno Prozess- -0,107 -0,114 0,577 0,468 0,511 0,294 0.337 0.353

techno Innov.- 0,187 0,162 -0,064 -0,187 -0,008 -0.381 0,575 0,524 0.091

mgmt. Qualit.- -0,108 0,058 0.373 0.426 0.559 0,575 0,348 0.443 0.809

,mgmt.

• ~ p<o,l •• ~ p<O,05 ••• ~ p<O,Ol

5.22b Ergebnisse der Faktorenanalyse

Innov.- Qualit.-mgmt. mgmt.

0.072

Eigenwert % der erklarten % der erklarten Varianz Varianz (kumulativ)

Faktor 1 3,225 29.323 29,323 Faktor 2 2,587 23,520 52,843 Faktor 3 1,660 16,783 69,626

Faktorladungen (nach Varimax Rotation) Faktor 1 Faktor 2 Faktor 3

Strat. Planung 0,137 0,273 0,661 AUg. Managementtechniken 0,125 0,057 0,786 Personal 0,600 -0,180 0,559 Finanzmanagernent 0,677 -0,230 0,604 Controlling 0,737 -0,012 0,520 Distribution 0,657 0,096 0,143 Marketing 0,200 0,847 0,215 Produkttechnologie 0,166 0,895 -0,177 ProzeBtechno1ogie 0,862 0,263 -0,149 Innovationsmanagement 0,195 0,803 0,172 Qualitatsmanagernent 0,889 0,304 -0,141

Anhang

5.22c Reliabilitiit der Subskalen

(1) Organisational N Durchschnitt Standard- Korrigierte eingebettete abweichung ltem-Gesamt Effizienzverbesserung Korrelation

Personal 17 2,88 1.58 0,658 Finanzmanagement 17 3,59 2,00 0,730 Controlling 17 3,47 2,07 0,783 Distribution 17 3,71 1,72 0,505 ProzeBtechnologie 17 4,59 2,21 0,688 Qualitatsmanagement 17 4,82 2,40 0,708

.. . ... Standardlsluter RellOhlllllllskoeffiZlent Alpha = 0,872

(2) Innovative N Durchschnitt Standard- Korrigierte Lernprozesse Abweichung ltem-Gesamt

Korrelation ! Marketing 17 4,88 1,69 0,742 I Produkttechnologie 17 4,76 1,95 0,697 I Innovationsmgmt. 17 3,18 1,63 0,592

.. . .. StandardlSlerler RellObllllatskoeffiZlent Alpha = 0,818

5.23 Ebenen des Informationsaustauschs: Korrelationsmatrixen

5.23a Vertragliche Beziehungen

Alpha bei Eliminierung des Items 0,856 0,840 0,830 0,876 0,848 0,846

Alpha bei Eliminierung des Items 0,681 0,730 0,825

Informationsaus- Informationsaus- Informationsaus- Gesamter tausch auf Fach- tausch auf mittlerer tausch auf Top Know-How arbeiterebene Mgmt. Ebene Mgmt. Ebene Transfer

Informationsaus-tausch auf Facharbeiterebene Informationsaus- 0,168

I

I

I I

i I

I I

I tausch auf mittle- ! ~~:~~~~~:O,Oi2~-~--i 0,380** ----+------+ .. ------: tausch auf Top I

~es~~t!~~:ow- +a,3-5-9-*~* -in,081 -----

How Transfer I -=C"7-::-::c:"--------'-----• ~ p<O,l •• ~ p<O,05 ••• ~ p<O,Ol

-0,085

5.23b Gemeinschaftsunternehmen ,---~----'-;-'

I Know- i Informationsaus- I Informationsaus- ; Informationsaus-I

tausch auf Fach- I tausch auf mittle- ; tausch auf Top How I

arbeiterebene I rer Mgmt. Ebene I Mgmt. Ebene Transfer I

~rmationsaustausCh i ! auf Facharbeiterebene

Informationsaustausch 0,530** I,

I auf mittlerer Mgmt. I

i Ebene I I --.-~-- .. - ~---.

1 0,561*'

1 0,421 * I

J Informationsaustausch 0,313 auf Top Mgmt. Ebene ._----_.-

10,176 Gesamter Know-How 0,584** I i Transfer I

I I I .-

• ~ p<O,l •• ~ p<O,05 ••• ~ p<O,Ol

393

394 Anhang

5.24 Angebotene Trainingsmafinahmen in verschiedenen Organisationsbereichen nach Kooperationsform

In % der westlichen Partner, die diese TrainingsmajJnahme

Vertragsbeziehungen Gemeinschaftsunternehmen

angeboten haben (N =43 ) (N = 17) c'--~~--t~~-~--L~--'-~~-----ci

M.a:ll~lfell1,,~traillill~_~_________ _ ______ ~ __ ~_----< _?~In_d_i_re_k_t d_u_r_cl0_u_s._ar_be~it_ _ __ 3_-'-3_'!1-'--0 _______ + __ -'-6-=--5_% ______ -1'

~_2n~tI1~:j~!'i~_peutsc~I._~ ____ '7 %-~----- ~~-i-~~:-----~----J '? On-the-job in RuBland 2c-6_'!1_o __ ~~~-+-__ ~~ h";~ 0/,~~--~~--1 ? Seminare in Deutsch!. 51 % VJ W

? Seminare in RuBland 5 % ? Schrift!. Material -4-9::--CC%~~~~--+- ---2-4-'!1~o

Training des ye\,k~u!~S()~als ___________ ~____________ _ _____ _ ? Indirekt durch Zus.arbeit 21 %

? On-the-job in Deutsch!. 7 %

i Training der Produktionsfachkr,=ii",ft:::e __ + ___ ~ ________ + ____ ~c-cc ______ -,

... IndireJ<t~u':~~Z;usarbeit 14 % __ ~4_7~_

... On-the-job in Deutsch!. 14 %-------

.... __ ()~=~~~:,i()~i~uBland ___ _ 16%

'? Seminare in Deutsch!. 23 % -?~S~e~m~in~ein-R-u-B-la-n-d-~+---~23%

,? Schrift!. Material 44 %

24%

_~1~ 41 %

53 %

,

j

Anhang 395

5.25 Grenziiberscbreitende Unternebmenserfabrung und Know-How Transrer

5.25a Vertraglicbe Beziebungen

Ko"e/ations- Gesamter Know-How I Technolo- KnowHow I koefflZienten Know-How Transfer in , gischer Know- Transfer im I

Transfer Mgmt.&Sup- i How Transfer Absatzbereich portfunktionen I

Mitarbeiter weltweit 0.114 -0,106 ! 0,262 0,160 I

'0.432*"--1 r:-:c--~------- ----."~---~--.

O,Oi3---~-T-DJsl--Mitarbeiter im Ausland 0,006 (in % der Gesamt- I belegschaft) I

Auslandsproduktion (in -0,120 -0,006 ' -0,282' 0,139 % der Gesamtpro- I

i duktion) I

Exportintensitat 0,046 0,000 i 0,142 -0,133 (Exportanteil am Umsatz) Anzahl der ost- und 0,054 -0,014 0,047 0,170 mitteleuropaischen Lander, in denen Direktinvestitionen

i I getatigt wurden Direktinvestition in -0,051 0,142 I 0,089 -0,106 Jc~Bland (D~~l'L __

~1 i

~ Markterfahrung in 0,011 I 0,358" -0,244 RuBland (Zeit seit I

I

erstem Marktkontakt in I

~~n) __________ I

f-;;--------- -- -;:c---- I Zeit seit erster forrnaler 0,403'" 0.167 I 0,615'" -0,059 Organisation in RuBland i Zahl der MA in 0,098 -0,029 I 0,109 0,256' RuBland Anteil der -0,097 -0,042 1-0,097 -0,103 auslandischen MA in

I RuBland (in %)

Zahl der vor Ort 0,309" 0,250 0,225 0,238 ~~eUbtenJ;unkti0nt:."_ ----------

396 Anhang

S.2Sb Gemeinschaftsunternehmen

I Gesamter Korrelntions· koeffiZienten I Know-How

i Transfer

Know-How Transfer: Organisation & Effizienz 0,D28

lKnow-Ho;~-- Know How

I Transfer: Transfer: I

Innovati ve Strategisches i

I ~i~te~r~w~e~ltw-eit-~' I 0,018

Lemprozesse Management I

0,228 -0,206~

Mitarbeiter im Ausland (in % der Gesamt-

I 0,131 0,063 i -0,181 0,122

,belegschaft) i r-===='-c-:~,--+-C--c=-'-~-- -~- ~-t-~------ --._._ .. , I Auslandsproduktion 0,127 0,232 , 0,064 -0,076 i (in % der Gesamtpro- ,

~----~-~----- -- ~--~--~----------Exportintensitat -0,465* -0,393 , -0,546** (Exportanteil am '

~':-:-~----:--~-+-:-c-=-::----+-=-_-::-:-- ~-l-----'~~f-::--=-:-::---.-I Anzahl der ost- und 0,222 0,091 I 0,319 -0,017 I

mitteleuropaischen I II'

Lander, in denen : Direktinvestitionen I i

I getatigt wurden _____ ~ ~.-~-__i Markterfahrung in 0,260 0,238 0,162 0,197 I'

RuBland (Zeit seit I

erstem Marktkontakt in Jahren) i I-;:;-;---''----;:-----:---t-;:-;:-,;:-;------t-~=---~---r-_;:__;c=_-___j__:::_::_;c~ ---------1 Zeit seit erster formaler 0,036 0,107 I 0,053 -0,208 I

Organisation in I

~-:-;--:-:----i-:;-~;-----j--;o-=-.-~------e--;;-;;---.------I Zahl der MA in 0,435 0,308 0,259 0,046 i RuBland , I

'-0360 ',-0,315 -0705**'! I ' , I

dischen MA in RuBland I I

~h~~er vor Ort--~O'257-- i o.I39-~~--~~-- O)95-,---Ji ausgeUbten Funktionen ,257--1 i

ZahlderJointVenture' I 0,~0,4I0'-.~-10,362--- ,0,2s~2-~- i Mitarbeiter I . __ 1 ____ .1 I

Anteil der ausHin- -0,571**

Anhang 397

5.26 Wahrnehmungen ausliindischer Unternehmen und Know-How Transfer

5.26a Vertragliche Beziehungen

Ko"elations- Gesamter Know-How ! Technolo- KnowHow koefflZienten Know-How Transfer in I gischer Know- Transfer im

Transfer Mgmt. & Sup- How Transfer Absatzbereich I portfunktionen

Wahrgenommenes 0,006 0.079 -0,087 0,051 lokales Entwick-lungspotential ----- I-c------~,031 Wahrgenommene -0,141 -0,206 -0,057 lokaleBWL I

Kompetenz I

Wahrgenommene 0,239 0,289' 0,051 0,264' lokale techno Kompetenz Wahrgenommenes -0,174 -0,088 -0,195 -0,093 lokales Gewinnstreben I

5.26b Gemeinschaftsunternehmen

Korreintions- Gesamter Know-How !Know-How Know-How koe/frzienten Know-How Transfer: ' Transfer: Transfer:

Transfer Organisation I Innovative Strategisches & Effizienz : Lemprozesse Management

Wahrgenommenes -0,150 -0,163 1 0,071 0,081

lokales Entwick-lungspotential Wahrgenommene -0,219 -0,153 -0,144 -0,341 lokaleBWL Kompetenz Wahrgenommene -0,449' -0,126 1-0,608'" -0,507'" lokale techno

~~~---- -.------:0,091 Wahrgenommenes 0,081

1 0,064 0,335 lokales Gewinnstreben

5.27 Vergleich des Know-How Transfers in Joint Ventures mit hoher ond niedriger ausliindischer Kontrolle

I Joint Ventures Joint Ventures mit Signifikanz des i I mit hoher auslan- niedriger ausllin- Mittelwertvergleichs I I discher Kontrolle discher Kontrolle (NS= Untersehied

(N=8) (N=8) nieht signifikant) Gesamter Know-How

I 4,6 3,6 0,05 i

Transfer (Durchschnitt) Know-How Transfer: ! 4,7 3,3 0,05 i Organisation & Effizienz-t ________ 77 ----- Nsi Know-How Transfer: I 4,6 4,1 Innovative Lemprozesse Know-How Transfer: I 4,2 3,7 NSj Strategisches Management :

398 Anhang

5.28 Know·How Transfer und Privatisierungsstatus des russischen Partners

Russischer Partner : teilweise oder Partner

~-Signifikanz des -. Mittelwert-

Russischer

I vollstandig in vollstandig in vergleichs* I staatlicher Hand privater Hand (NS = Ullter-, schied nicht ! (N= 8) ~-----cc---.. ------+----- (N= 8) • sJEnijikant)

Gesamter Know-How, 3.9 ----4,4; - ----Ns' f-O'T::.:ra=n",s.:.fe::=rc'Cc=Dc.:u=:::r.:,ch"s:.:c",h:::n:i,t"t),___.,--- -------.--cc+-------:-:--" - ... -----.-:=~ Know-How Transfer: 3,9 Organisation8c_IO.!fIzie~ _1 Know-How Transfer: 3,9 Innovative Lern rozesse

~:':'::':-==:'::'::::::':'::===--l-------. Know-How Transfer: 4,0

5,0 0,1

------(i"---~ ---NS -

Strate isches Mana"'g:::em=en:::t'-_______ -L ______ .. _______ . _____ _

5.29 Vertrauen und Opportunismus: Faktorenanalyse

(Da die Ergebnisse der Faktorenanalyse fur vertragliche Kooperationen wld Gemeinscha[tsunternelzmen nahe::.u identisch sind, wird hier die Faktorenanalyse und die Reliabilitdtsprii/ung der resultierenden Skalen/ar die Aggregation beider Kooperations/ormen dargestellt)

5.29a Faktorenanalyse

Eigenwert %-der erkiiirtenT%de;:-e-;:kHirt~-;;-V__;;_;;anz --Varianz ____ .JkulTlulativl_

4950 I 54,995 ~ ________ ~99~_ n 1;06L __ 11.2§±c 66,7§Q

- .- -----

F<l.kt0r!a~ung~I1..(nachV aril11ax R~tllti()n L Faktor I Faktor 2

T1: Wir konnen uns darauf verlassen, daB -0,831 ~ 6e~:::~~~h~c;aP:~:~;fes~e~a~~:=·lt'--t-------.- .--.-------~~~

~~-.:---~------~-----­T3: Das gegenseitige Vertrauen in dieser Geschaftsbeziehung ist sehr h~h.

I 01: .Der P~rtner gibt u~s ni~htimmer ~­i v61hg ehrhches Blld semer

f-~~~c~:~~~~~~ehl derP~nner die---

: . .!~~~~.~~~.'-~.!!!...~~~n.e~~e.!.~_~~~r:t:~.~~ __ _ I 03: Der Partner scheint der Auffassung zu

i :~;~~ d:Be~e!~~~e:~;~ee: ~:~~~:~~:~i~::~~: 04: Der Partner kommt seinen Pflichten nach, auch wenn wir ihn nieht kontrollieren ~:-ManchrnaCmachtder-Part~er-'-~-­

! Versprechungen, die clann spater nichl erftillt

----- ----------~-

~_~e!!.:~--____ ~-_-_-.-_------.+ __ ~ ___ ~._ ..... i 06: Vollige Ehrlichkeit macht sich im

-0,816

-0,694

0,400

0,613

0,322

0,770

----~----

0,359 LJ!!ll~K!!Iit diese..!!l~~~_~i~tJ?~zahll~_..l __ ~ __ . _____ . ___ ... ___ .... L _____ __

Faktor I: Fehlellde Verldfilichkeit - Tl, 12, n, 05 Faktor 2: Unehrlichkeit - 01, 02, 03, 06 04 wird nicht zugeordllet.

-0,161

-0,393

-0,220

O,644~:

0,577

0,201

0.756

Anh.ng 399

5.30 Verlii8lichkeit und Ehrlichkeit: Reliabilitiit der Subskalen

(l) Fehlende N I Durch- Standard- Korrigierte Alpha bei I Verliifllichkeit : schnitt Abweichung Item-Gesamt Eliminierung I

I Korrelation des Items Tl (invers kodiert) 58 12,93 1,51 0,704 0,784 --~~~~'---

T2 (invers kodiert) 58 12,98 1,46 0,792 0,747 T3 (invers kodiert) 58 i 3,10 1,47 0,537 0,852

~ --=-'"------~--~~ ---j-~-~~--~-~~-- ~-

0,679 0,798 06 58 i 3,71 1,71 -~-----~---

___ --..L--_. ____ ~~~ ___

Standardisierler Relillbilitiitskoe/frzient Alpha = 0,842

(2) Unehrlichkeit N Durch- Standard-: schnitt Abweichung

Korrigierte Item-Gesamt

Alpha bei Eliminierung I

Korrelation des Items I

Standardisierler Relillbilitiitskoeffrzient Alpha = 0,841

5.31 Know-How Transfer in vertragliehen Kooperationen mit verlii8liehen I Dieht verlii8lichen bzw. ehrliehen lunehrliehen Partnern

Verlii8liehkeit Ehrliehkeit Boch Niedrig Sig. Hoch I Niedrig Sig. I N=20 N=22 N=18 I N=24

I Gesamter durchschn. 3, I 2,5 0,1 2,7 2,8

~ r-~~~:Wo~ ~~:~~f:~i;;- ~-~ ~ ~ 2,8 -- -~-~-~---NS~ '2.4~ 2,1 2,5 NS I Management und S~ I Technologischer Know- : 3,2 2,4 NS 2,7 2,9 NS

i How Transfer i

lKnow-How Transfer im '3,5 3,5 NS 3,4 3,6 NS I

Absatz__ ____ _______ , __ ------- ---- -~~

________ ..L-__ I

5.32 Know-How Transfer in 'iilteren' und 'jiingeren' vertragliehen Kooperationen

Dauer der K~ation --- ---- -----~ -Mehr a1s-3 Jahr~---'-S;g.-~-l

I B is drei Jahre

j N=26 N=16 I I Gesamter durchschn. ' 2,7 2,8 NS I

Know-How Transfer I

i Know-How Transfer in 2,5 2,3 NS I I I

r_Manag~!!l.ent. u.!lc!~~PPE!!~_..; ~ ____ ~ I

Technologischer Know- : 2,6 ._----

3,0 ~---'Ns-l

How Transfer I I r~-~~----r-c NS

I I Know-How Transfer im ' 3,4 3,6 I Absatz

400 Anhang

5.33 Know-How Transfer, Verlii8lichkeil und Ehrlichkeit in Gemeinschaftsunlernehmen

Ko".Koe/fl1ftnlen Ehrlichkeit VerlaBlichkeit

-! Gesamter durchschn. 0,536*** 0,757*** Know-How Transfer Know-How Transfer: 0,552** 0,736*'* ,

Organisation & Effizienz Know-How Transfer: 0,099 0,250

I ~vative Lemprozesse ~--j

Know-How Transfer: 0,328 0,427" I Strategisches

I Management • ~ p<O,l •• ~ p<O,OS ••• ~ p<O,Ol

5.34 Know-How Transfer in 'iilteren' und 'jiingeren' Gemeinschaftsunlernehmen r--oauerderGeSChiiftSkODtakteS------------1 IBis flinf Jahre Mehr als 5 Jahre Sig. I , I

N=26 N=16 i 4,0 4,0 NS I Gesamter durchschn.

Know-How Transfer 3,7 NS I

I

Know-How Transfer: Organisation & Effizienz I

4,0

Know-How Transfer: I 4,4 4,1 NS

Inno~lltive Le..!I!P~O~3S~ __ J-.--... - .. -.----.. -Know-How Transfer: I 4,0 4,0

NS .-.-.----.:

2.!!I!t~i~~~~_~~~~~~_t _1 __ .. ____ . ___ ~ . _~ __ .. __ .~ ~_. _______ ~ __ ~_~_._. __ ._,

5.35 Know-How Transfer und lokale Lernanslrengungen

5.350 Vertragliche Beziehungen

Gesamter Know· I Transfer von Mgmt. How Traru;fer & funktiooalem

Know-How

Te<hnologis<her Know-How Transfer

Know-How Transfer 1m Absalz I

Hoch Tier Sig. Hoch Tief Sig !,.

N=20 N=?? 1---::-_-- N=21 N=21 '5:0- 4,0 0,05 '4j-~- '-4)-- -iiiil'

0,1 62

S.3Sb Gemeinschaftsunternehmen: Miltelwertvergleich

iDurc!1schlliiillclieLemanstrengungdes lokalen Partners % der Kooperationen in denen lokale Partner konkrete Lemanstrengungen ergreifen

--~nrterK;;;;:U;;-;-TnmSr~

Hoch Tief Sig. N=8 N=9 5,9 5,0 NS

! 100 33 O,DI

Anhang

5.35e Gemeinsehaftsunternehmen: Korrelationskoeffizienten naeh Know·How Bereiehen

Pearson Ko".Koe/fizienten

Gesamter durchschnittlicher Know_-_H_o_w_1ia_n_s_fu_r _______ _ Know-How Transfer: Or anisation & Effizienz

, Know-How Transfer:

Durehsehnittliche Lemanstrengung des lokalen P-"a"'rt"n::::er.-"s __ ~

0,434*

0,181

i_lnno~~i~e_.L!rn~z<:S.s,, _________________ ~~ __ Know-How Transfer: 0.649'"

L Str~tegisches Man~ement ______ _ -~~~~~~-~----

* ~ p<O,l *. ~ p<O,05 .*. ~ p<O,Ol

5.37 Vergleieh des Know·How Transfers in erfolgreichen und weniger erfolgreiehen Gemeinsehaftsunternehmen

401

Anhang 403

Anhang6a: Fragebogen des zweiten Teilprojektes: Know-How Transfer in russisch-ausliindischen Joint Ventures

PART I: BACKGROUND INFORMATION

1. When were first business contacts established between the two partners?

Month: Year: 19

2. When was the JV registered?

Month: Year:

3. When did JV operations commence:?

Month: Year

4. Nationality of the current foreign partner: (If there is more than one foreign partner, please list all nationalities)

5. Is the current foreign partner the one with whom the joint venture was started or has the partner changed over the years? o Current partner = original partner o Original partner different from current partner (Please explain below)

6. What are the main products or activities of the joint venture? Please describe BRIEFLY:

I. what types of products or services the joint venture provides - e.g. dairy products 2. what activities the joint venture is engaged in - e.g. assembly, production, distribution, sales of

parent company's products, etc ...

7. Where is the JV located? (Please check all that apply) o o o o

in the same city as Russian parent in the same city as foreign parent's local subsidiary/representation at the same site as Russian parent at the same site as foreign parent's local subsidiary/representation

8. What was the original equity distribution in the JV? (If there is more than olle Russian or foreign parent, please add lines accordingly and number the parents, e.g. Foreign I, Russian I etc., so that you can identify them by these descriptions later on in the questionnaire)

Russian parent company: Foreign parent company: Russian State (ministery etc.): Other: ______ _

% % % %

100 %

9. What is the current equity distribution in the JV? (If there is more than one Russian or foreign parent, please add lines accordingly)

Russian parent company: % Russian State: % Foreign parent company: % Other: %

404 Anhang

10. If the distribution of ownership has changed, please briefly give reasons for these changes:

11. Does the JV contract contain an 'option to acquire' dause? (Please check all that apply) (If there is more than one Russian or foreign parent, please add lines accordingly)

for the Russian parent for the foreign parent

Yes No o 0 o 0

12. At the time it was launched, what was tbe intended duration oftbis venture?

Less than 5 years 0 Five to ten years 0 More than 10. but less than twenty years 0 Twenty years or more 0 Duration not specified 0

13. In your estimation, what is the likelihood that the venture will actually last for the intended duration? (Please circle the appropriate number on the following scale)

Highly unlikely Extremely likely

1---------------2---------------3---------------4---------------5

14. In your opinion, what will the status of this venture be in five years from now?

o Will be 100 % owned by foreign parent o Will be 100% owned by Russian parent o Will be independent company owned by joint venture personnel o Will have ceased to exist o Other: ________________ _

15. What is the current composition of the JV's top management team: (If there is more than one Russian or foreign parent, please add lines accordingly)

Number of Russian managers: Number of managers of nationality of foreign parent: Number of managers of other nationality Total number of top managers:

16. What is the current composition of the board of directors: (If there is more than one Russian or foreign parent, please add lines for these additional parents)

Number of directors representing foreign parent: Number of directors representing Russian parent: Number of other directors. representing ___ : Total number of directors:

17. How often does the board of directors meet:

___ times per year

18. How many ofthe top managers have prior working experience with the Russian parent?

19. How many of the top managers have prior working experience with the foreign parent

Anhang

20. Number of JV employees

at founding: as of today:

21. Total number of non·Russian employees

at founding: as ofJuly 1997:

22. What percentage of Russian managers or employees speak English or the language of the foreign partner? (Please estimate if necessary)

_ % of Russian top managers _ % of Russian middle managers and supervisors _ % of Russian employees

23. Total number of products in the first year of operation:

24. Export in % of total sales: in the first year of operation:

at present:

at present:

25. Please give us some information about the business relationships between the joint venture and the parent companies: (If there is more than one Russian or foreign parent. please add lines accordingly)

Sales to foreign parent Sales to Russian parent Purchases from foreign parent Purchases from Russian parent

% of total sales % of total sales

= _ % of total purchase value = _ % of total purchase value

405

26. Please indicate to what extent you agree or disagree with the foUowing statements about your company's products and activities: (For each statement, please circle the appropriate number on the following scale)

1 .............. 2 .............. 3 .............. 4 .............. 5· ........ • .... 6· ............ ·7 strongly strongly disagree agree

The manufacturing process is highly complex. 1 ...... • ...... ·2 ...... • ...... ·3 .............. 4-............ ·5 .... ••• ...... ·6-...... •• .... • 7

It is difficult to set the proper price for our products. 1 .... • ........ ·2 .... • .. • ...... 3· .. • .......... 4 .... • ...... • .. 5· ............ ·6· ............ · 7

Extensive documentation describing our manufacturing process exists in our company or could easily be written. 1· .......... • .. 2 .... • ...... • .. 3 ...... • .. • .... 4-.... • ........ 5· ............ ·6· .......... · .. 7

New manufacturing personnel can easily learn how to manufacture the product by talking to skilled manufacturing employees. 1 ...... • ...... ·2 .. • .......... ·3 ........ • .. • .. 4 ...... • ...... ·5 .......... • .. ·6 .. • ...... • .... 7

Educating and training new marketing and sales staff is a quick and easy job. 1 ...... • .. • .... 2 .......... • .. ·3 .............. 4-· .... • ...... ·5· .. • .. • ...... ·6 .. • .. • ........ 7

The process of marketing this product is very complex. 1 .............. 2 ...... • ...... ·3 .... • .... • .... 4 .... • ........ ·5 .............. 6 ...... • ...... ·7

New marketing and sales personnel can easily learn how to market the product by observing skilled sales people. 1 ........ • .... ·2 ...... • ...... ·3 .. • ...... • .... 4 .. • .. • .. • .. • .. 5 .......... • .. ·6 .. • ........ • .. 7

406 Anhang

27. Please use the following scale to estimate the R&D intensity and the advertising intensity in your industry: (Please circle the appropriate number between 1 and 7 on the following scale)

Extremely low Extremely high

R&D intensity: 1·············2·············3·············4·············5·············6·············7

Advertising intensity: 1·············2·············3·············4·············5·············6············· 7

28. Please describe your industry along the following dimensions: (For each dimension. please circle the appropriate number on the following scale)

Demand is ... unpredictable predictable

1··············2··············3··············4-·············5··············6-············· 7

Industry volume is ... l'ollltiIe stable

1··············2··············3··············4-·············5··············6·············· 7

Technological change is ... injreqlU!nt frequent

1·············· 2··············3··············4··············5··············6·············· 7

Trends are ... easy to monitor difficult to monitor

1··············2··············3··············4··············5··············6··············7

PART II: PARENT INFORMATION

1. Information about the foreign parent: (If there is more than one foreign parent. please refer to the DOMINANT foreign parent to answer the questions in this section)

a) Main products or activities: Please describe BRIEFLY: 1. what types of products or services the foreign parent provides - e.g. pharmaceuticals 2. what activities the foreign parent is engaged in - e.g.assembly. production. distribution.

service etc ...

b) Total # of employees: __ _

c) Was' this project the first experience of the foreign parent in the Russian market? Yes No o 0

d) As of today, does the foreign parent have other ventures in Russia that involve equity investment? Yes No o 0

e) If yes, number of other equity investments in Russia (estimate if necessary):

f) Does the parent company have a representative office or a subsidiary ... o in Moscow o in another part of Russia?

Anhang 407

2. Information about the Russian parent

(If there is more than one Russian parent, please refer to the DOMINANT Russian parent to answer the questions ill this section)

a) Main products or activities: Please describe BRIEFLY: I. what types of products or services the foreign parent provides - e.g. pharmaceuticals 2. what activities the foreign parent is engaged in - e.g.assembly, production, distribution,

service etc ...

b) Total # of employees:

c) Privatization status of the Russian company (choose only one option):

o under state ownership o fully privatized since __ o Partly privatized (% still remaining under state ownership: _) o Private company. established in 19_

d) Does the Russian parent have other JVs with foreign partners?

o No o Yes, __ (number of other jont ventures)

3. Please indicate, how similar the foreign and the Russian parent firms are along the following dimensions: (For each dimension, please circle the appropriate number)

highly diJJimilar high(v similar

1. Number of employees 1----------2----------3----------4----------5----------6----------7 2. Product lines 1----------2----------3----------4----------5----------6----------7 3. Technological expertise 1----------2----------3----------4----------5----------6----------7 4. Sales volume 1----------2----------3----------4----------5----------6----------7 5. Long-term strategies 1----------2----------3----------4----------5----------6----------7 6. Organizational structure 1----------2----------3----------4----------5----------6----------7 7. Procedures and routines 1----------2----------3----------4----------5----------6----------7 8. Business philosophy 1----------2----------3----------4----------5----------6----------7 9. Organizational culture 1----------2----------3----------4----------5----------6----------7 10. Degree of techno innovation 1----------2----------3----------4----------5----------6----------7

PART III: GOALS AND REALIZATION

PLEASE NOTE: If there is more than one foreign or Russian parent, please answer all the following questions with respect to the DOMINANT Russian and foreign parent.

1. In your opinion, what were the foreign parent's three most important motivations to participate in this JV?

1. __________________________________________ __ 2 __________________________________________________________ _ 3 ____________________________________________ ___

408 Anhang

2. In your opinion, what were the Russian parent's three most important motivations to participate in this JV?

1. ____________________ _ 2. ____________________ _ 3. ____________________ _

3. How important is this joint venture for the long term strategy of the foreign parent in the Russian market? (Please circle the appropriate number on the following scale)

1··············2-·············3··············4··············5··············(j..·············7 nol important

highly important

4. How important is this joint venture for the long term strategy of the Russian parent? (Please circle the appropriate number between 1 and 7 on the following scale)

1··············2··············3··············4-·············5··············6·············· 7 not imporllJnl

highly important

5. Please indicate to what extent you agree or disagree with the following statements about the joint venture. (For each statement, please circle the appropriate number on the following scale)

1··············2··············3··············4··············5··············6·············· 7 strongly disagree

.strongly agree

The JV has achieved its goals as specified and up-dated in the documents of incorporation.

1··············2············-3··············4··············5··············(j..·············7 The JV has met the expectations of the Russian parent.

1··············2··············3··············4··············5··············6·············· 7 The JV has met the expectations of the foreign parent.

1··············2··············3··············4··············5··············6·············· 7 The JV has met your own expectations. 1··············2··············3-·············4-·············5··············(j..·············7

6. Please indicate how well initial expectatioas were met with respect to the following criteria. Please also indicate the importance of each of these criteria. (Please circle the appropriate number between 1 and 7 on the expectations scale) (Please describe importance as follows: 0= no importance, 1 = little importance, 2= medium importance, 3= great importance)

Expectations not Expeclalions Importance met at all met completely

Return on investment 1·····2·····3·····4·····5·····6·····7 Return on sales 1 .... ·2 .... ·3 .... 4 .... ·5 .... ·6 .... ·7 Market Share in Russia 1 .... ·2 .... ·3 .... 4 .... ·5 .... ·6 .... ·7 Ability to market product abroadl .... ·2 .... ·3 .... 4 .... ·5 .... ·6 .... ·7 Product quality 1 .... ·2 .... ·3 .... 4 .... ·5 .... ·6 .... ·7 Sales growth 1 .... ·2 .... ·3 .... 4 .... ·5 .... ·6 .... ·7 Reduction of operating costs 1 .... ·2 .... ·3 .... 4 .... ·5 .... ·6 .... ·7 Productivity gains 1 .... ·2 .... ·3 .... 4 .... ·5 .... ·6 .... ·7

7. What are the three biggest problems that the JV is facing now?

Anhang

8. Please use the following scale to indicate to what extent do you agree or disagree with the following: (For each statement. please circle the appropriate number between 1 and 7)

1··············2··············3··············4··············5··············6·············· 7 strongly disagree

strongly agree

409

This joint venture is a very dynamic and entrepreneurial place. People are willing to stick their necks out and take risks.

1··············2··············3··············4··············5··············6·············· 7

The managers in this joint venture are generally considered to be entrepreneurs. innovators, and risk takers.

1··············2··············3··············4··············5··············6··············7

The glue that holds this company together is a commitment to innovation and development.

1··············2··············3··············4··············5··············6··············7

This joint venture emphasizes growth and acquisition of new resources.

1··············2··············3··············4··············5··············6·············· 7

Rewards and performance appraisals focus on long·term goals and learning activities, rather than on short term performance indicators.

1····.·········2··············3··············4··············5··············6··············7

The communication between different hierarchical levels is very intense.

1··············2··············3··············4··············5··············6··············7

The comrnmunicaton between different functions or departments is very intense.

1······.····--·2···-······-··-3·-·········-··4·············-5··············6··· .• ··.·· .. ·• 7

9. Please indicate, if the joint venture is more similar to the Russian, the foreign parent, or equally similar to both in each of the following areas:

(For each area, circle one of the numbers from -3 to 3 on the similarity scale or check the alternative option if the lV is very different from both parents)

Organizational structure Procedures and routines Business philosophy Organizational culture

Very similar 10 Russian parent

Equally similar to both

Vel)' similar /0 Highly different foreign parent from both

·3------ ·2------- ·1-------0-------1-------2-------3 ·3------ ·2------- ·1-------0-------1-------2-------3 ·3------ ·2------- ·1-------0-------1-------2-------3 -3------ ·2------- ·1-------0-------1-------2-------3

PART IV: THE JOINT VENTURES AND ITS PARENTS

1. Which parent has the greater decision making power in the management of the joint venture? (Please check only one answer)

o Foreign parent 0 Russian parent o Equal responsibility 0 Joint venture is autonomous from both parents

2. If an outsider observed the day·to·day activities of your JV and the interactions between the JV and tbe two parent companies, how would he estimate the ownership distribution based on this observation?

Russian parent _ % Foreign parent _ %

410 Anhang

3. Please indicate to which extent the two parents have contributed in the following areas and indicate how important each l!!]ll is to JV success (Please circle the appropriate number between 1 and 7 on the contributions scale) (Please describe importance as follows: 0= no importance. 1 = little importance. 2= medium importance. 3= great importance)

Main contribwiOll jromRuS.Jianparent

Equal nmlrlbutirm.f

Main ronlribution Impor-fromfoTl!lgnpaTl!nI

Capital Product technology Process technology Buildings & office space Personnel Production facilities Management know how Marketing know how Industry experience Market access Distribution network in Russia Distribution network abroad Contacts with administration Other: ____ _

·3------- ·2-------- ·1--------0--------1--------2--------3 ·3------- -2-------- -1--------0--------1--------2--------3 ·3------- ·2-------- -1--------0--------1--------2--------3 ·3·-··--- ·2-------- ·1----·--·0-·------1--------2--------3 -3------- ·2-------- ·1--------0--------1--------2--------3 -3------- ·2-------- -1--------0--------1--------2--------3 ·3------- ·2-------- ·1--------0--------1--------2--------3 ·3------- ·2-------- ·1--------0--------1--------2--------3 -3------- ·2-------- ·1--------0--------1--------2--------3 -3------- -2-------- -1--------0--------1--------2--------3 ·3------- ·2-------- -1--------0--------1--------2--------3 ·3------- ·2-------- -1--------0--------1--------2--------3 -3------- -2-------- ·1--------0--------1--------2--------3 ·3------- ·2-------- -1--------0--------1--------2--------3

4. Overall, what percentage of the know how that is currently in use in this JV was

• contributed by the foreign parent • contributed by the Russian parent • developed within the JV independent of either parent (e.g. by independent R&D) • acquired from the outside (e.g. by hiring new employees or by licensing from a third source)

5. Many ventures result in 'spillover' elTects for their parent firms. For example. positive spillover effects may occur when knowhow gained from a joint venture can be applied profitably to other activities of the parent firm as well. Negative spillover effects may occur from competition between the venture and other parent operations. such as when geographical markets overlap. In the present joint venture. the spillover effects for

a) the Russian parent are (Please circle the appropriate number): ·3··········· ·2···········-- ·1--·--········0-··--------···1··············2··········----3

strongly negative strongly positil'#!

b) the foreign parent are (Please circle the appropriate number): ·3··········· ·2·······------ -1-------------0-·------------1------··-·····2···-----------3

strongl, negative strongly positive

6. If this venture were to dissolve, the Russian parent's nonrecoverable investments in cash and kind (technology, physical assets, knowhow etc.) can be described as

1 .. ••• .. •• .... ·2·······-------3--............ 4-.. -·----.... ·5·· .... • .... • .. 6···---·----·--7 extremely extremely

low high

7. If this venture were to dissolve, the foreign parent's nonrecoverable investments in cash and kind (technology, physical assets, knowhow etc.) can be described as

1-----·-.. • .... 2 .... ----------3--------------4-.. -----------5-------·---.. -6 ...... • .... ••• 7 extremely

low extremely high

Anhang

8. Please use the following scale to indicate to what extent you agree or disagree with following statements concerning the relationship between the .JV and the foreign parent: (For each statement, please circle the appropriate number between 1 and 7)

1·············· 2··············3··············4··············5········ ...... 6-............. 7 strongly disagree

We can always rely on our foreign parent to do their part in the venture.

agree

1·············· 2··············3··············4··············5········ ...... 6-............. 7 We know that our foreign parent is capable and competent.

1·············· 2··············3··············4-·············5··············6·············· 7 Our foreign parent is always frank and truthful in dealings with us.

1··············2··············3··············4-·············5··············6-············· 7 Our foreign parent is very knowledgeable about everything relevant to the venture 1··············2··············3··············4··············5··············6·············· 7 The foreign parent would go out of its way to make sure the venture is not damaged or harmed in therelationship. 1··············2··············3··············4-·············5··············6··············7 In this relationship, we feel that the foreign parent cares what happens to us. 1··············2··············3··············4··············5··············6·············· 7 Our foreign parent always looks for our interest in this relationship. 1··············2··············3··············4··············5··············6··············7 We feel that our foreign parent is on our side. 1··············2··············3··············4··············5··············6·············· 7

9. Based upon your past and present experience, how would you characterize the level of trust that your firm has developed in its working relationship with the foreign parent?

1··············2··············3··············4··············5··············6·············· 7 don't/rust them alall

trust them completely

10. Please indicate to what extent you agree or disagree with the following statements concerning the relationship between tbe two parent companies. (For each statement, please circle the appropriate number using the scale below)

1··············2··············3··············4··············5··············6··············7 strongly disagree

There is usually a great deal of disagreement between the partners.

strongly agree

1··············2··············3··············4··············5··············6-············· 7 There is a high level of trust in the working relationship between the partners. 1··············2··············3··············4··············5··············6-············· 7 The Russian parent can rely on the foreign parent to abide by the JV management agreement. 1·············· 2··············3··············4··············5··············6·············· 7 The joint venture partners have survived some rocky periods with each other. 1··············2··············3··············4··············5··············6-·············7 The foreign parent can rely on the Russian parent to abide by the JV management agreement. 1·············· 2··············3··············4-·············5········· ..... 6-............. 7

The two firms are generally sceptical of the information provided to each other. 1·············· 2··············3··············4··············5··············6·············· 7

411

412 Anhang

Both partners willingly share infonnation with each other. 1··············2··············3··············4-·············5··············6-············· 7

In at least one occasion. the partners came close to terminating this venture. 1··············2··············3··············4-·············5··············6-············· 7

The relationship between the IV partners is open and infonnal. 1··············2··············3··············4-·············5··············6··············7

The foreign partner willingly shares infonnation with the Russian partner. 1··············2··············3··············4-·············5··············6·············· 7

The relationship between the partners has been characterized by a high level of conflict. 1··············2··············3··············4··············5··············6-············· 7

The Russian partner willingly shares infonnation with the foreign partner. 1··············2··············3··············4-·············5··············6-············· 7

11. How similar are the parent companies in their commitment to the joint venture? (Please circle the appropriate number on the following scale)

·3··········· ·2············· ·1·············0··············1··············2··············3 Foreig. parent

more cummilted ~lJuai commitment RussUm pannt

more committed

12. The national culture of our foreign parent and the Russian national culture are (Please circle the appropriate number on the following scale)

1 .............. 2 .............. 3 .............. 4 .............. 5 .............. 6-............ ·7 extremely dissimilar

extremely similar

13. Please indicate to what extent you agree with the following statements about the foreign parent company. (For each statement. please circle the appropriate number)

1 .............. 2 .............. 3 ........ · .... ·4 .............. 5 .............. 6-............ ·7 strongly tUsagne

National cultural differences are being respected by the foreign parent.

strongly agree

1 .............. 2 .............. 3 ...... · .. • .... 4 .............. 5 .............. 6-............ ·7

The foreign parent is not sensitive enough to the local culture. 1 .............. 2 .............. 3 .............. 4 .............. 5 .............. 6-............ ·7

The foreign parent is open to using local practices that worked well in the past. 1 .............. 2 .............. 3 .. · ........ • .. 4 .............. 5 .............. 6 .............. 7

The foreign parent is accepting the Russian parent as a peer in the venture. 1 .............. 2 .............. 3 .......... • .. ·4-............ ·5 .............. 6 .............. 7

The foreign parent is acting in a patronizing manner towards the Russian parent. 1 .............. 2 .............. 3 .......... · .. ·4· .......... · .. 5 .............. 6-............ ·7

Anhang

14. Please indicate how often each ofthe following activities takes place (Please use adequate descriptors, such as _times per day Iper week I per month I per year)

How often do you ...

talk on the phone with foreign parent management? • exchange written communication (letters. e-mails. faxes)

with foreign parent management? meet with foreign parent management? talk on the phone with Russian parent management?

• exchange written communication (letters. e-mail. faxes) with Russian parent management? meet with Russian parent management meet with both Russian and foreign parent management?

_ times per __

_ times per __ _timesper __ _timesper __

_ times per __ _timesper __ _ times per __

IS. Please indicate how often each of the following activities takes place (Please use adequate descriptors. such as _times per day. per week I per month I per year)

How often ...

do Russian parent managers visit the JV? • do JV top managers visit the Russian parent's site? • do JV employees other than top managers

(such as R&D people. sales staff. engineers etc.) communicate with their counterparts at the Russian parent? do foreign parent managers visit the JV? do joint venture top managers visit the foreign parent's site?

• do JV employees other than top managers (such as R&D people. sales staff. engineers etc.) communicate with their counterparts at the foreign parent?

_ times per __ _ times per __

_ times per __ _ times per __ _ times per __

_ times per __

PART V. LEARNING AND KNOW-HOW TRANSFER

1. To what extent has know-how been transferred from the foreign parent to the JV in the following areas? (For each area, please circle the appropriate number between I and 7. In case one of these areas does not apply to your situation, please just leave it open)

Very low degree of Very high degree of know-how transfer know-how transfer

Product technology 1----------2----------3----------4-----------5----------6----------7 Process technology 1----------2----------3----------4-----------5----------6----------7 Quality control 1----------2----------3----------4-----------5----------6----------7 New product development 1----------2----------3----------4-----------5----------6----------7 Marketing Know How 1----------2----------3----------4-----------5----------6----------7 Distribution management 1----------2----------3----------4-----------5----------6----------7 Accounting 1----------2----------3----------4----------5----------6----------7 Financial Management 1----------2----------3----------4-----------5----------6----------7 Human Resource Management 1----------2----------3----------4-----------5----------6----------7 General management techniques 1----------2----------3----------4-----------5----------6----------7 Strategic planning 1----------2----------3----------4-----------5----------6----------7

413

414 Anhang

2. Which of the following training methods for management, manufacturing I engineering personnel and sales staff have been implemented with the help of the foreign parent?

(Please check all that apply) Managers Manufacturing/ Sales

Engineering personnel personnel Off·the j ob seminars or courses 0 0 Training on the job at the foreign parent's site 0 0 Training on the job in Russia 0 0 Indirect training through close cooperation with foreign partner's personnel 0 0 Manuals and other written materials 0 0 Other, namely __ 0 0

3. Have western management know·how and routines been introduced into the JV ... (Please circle the appropriate number on the following scale)

.3 ........... ·2············· ·1·············0··············1·············· 2·············· 3 nOl fast enough at just the right speed

4. Has western technological know·how been introduced into the JV ... (Please circle the appropriate number on the following scale)

tooja.vt

·3··········· . 2············· ·1·············0··············1·············· 2·············· 3 not fast enough at just the right ~peed too/aSI

5. Please use the following scale to agree or disagree with the statements shown below. (For each statement, please circle the appropriate number between 1 and 7)

1 .. · .. ··· .... ··2 ........ · .... ·3 ............ ··4-.. •••• .. ·····5···· .. · ...... ·6··· .. •·· .... ··7 strongly disagree

strongly agree

The Russian parent views the]V as an opportunity to learn from its foreign partner.

1 .. · .. · ........ 2··············3··········· .. ·4 .. ··· .. ··· .... 5· .. •···•·· .... 6 ...... · .... ···7

The foreign parent view the JV as an opportunity to learn from its Russian partner. 1 .......... · .. ·2 .............. 3 ............ ·-4-............ ·5 .. •· .. ········6-·············7

The Russian parent uses the joint venture to obtain know how from the foreign partner. 1· .... ·· .... ···2 .......... · .. ·3 ...... · ...... ·4 .............. 5· .... •···· .. ··6 .. •·· ......... 7

0 0 0

0 0 0

The foreign parent uses the joint venture to obtain know how from the Russian partner. 1· ...... · ...... 2 ............ ··3 .......... · .. ·4-.... • .... ····5···· .. · ...... ·6-............ • 7

This venture is a very effective learning vehicle for both parent firms. 1 .. · .. · ........ 2 .... · ........ ·3· .... •·•· .... ·4 .............. 5 ...... ••·· .... 6-........ •·· .. 7

Learning from the foreign partner was one of the Russian parent's main motivations in entering this venture 1· .. ···· .... ···2 .............. 3 .... · .... •· .. ·4·· .... •· ...... 5 ...... ··· .. ···6··········· .. ·7

The Russian parent will be able to use the knowledge obtained in this venture for future ventures in this country 1 .............. 2· .. •·· .... ·· .. 3· .... ····· .... 4 .............. 5-.... ••••• .... 6-.. •·· ........ 7

Learning from the Russian partner was one of the foreign parent's main motivations in entering this venture 1 .. · .. · ........ 2··· .. ···· .. · .. 3 .. ··· .... ·· .. ·4 .. ·· .... ·· .... 5· .... · .. · .... ·6 .............. 7

Anhang

The foreign parent will be able to use the knowledge obtained in this venture for future ventures in this country.

1--------------2--------------3--------------4--------------5--------------6-----··--·--·· 7 The Russian parent exploits all opportunities for learning from the joint venture.

1---·--·--··--·2-··-·-·-·---·-3·--·--·--·--··4···---·-·-·-·-5-----·----····6--·-·---···--· 7 The foreign parent exploits all opportunities for learning from the joint venture.

1--------·-----2--------------3-------------·4---·-·---··---5-··--·--····--6-···-·---·--·· 7 The Russian parent does not make enough efforts to use this JV to learn from its foreign partner.

1--------·-----2-----------·--3------------··4---··-·--·----5···--·-···-·-·6--····-······· 7 The foreign parent does not make enough efforts to use this JV to learn from its Russian partner.

1--·----------·2--·-----------3·-----·-----·-4--··----·---·-5-----·--------6--··----·-----7 Communication with the foreign partner tends to be problematic due to language differences

1··--··-··--···2·--··--··-·--·3-··-·--·····--4-··-····-··-··5··-··-······-·6···-····--·--· 7 Expatriate employees and managers of the JV speak Russian fluently or have a Russian background.

1--------------2---·------·---3··--··-·-···-·4-------·-·----5--------------6··------·-----7

415

6. In your opinion, to what extent has the joint ventnre relationship contribnted to a know·how transfer FROM the foreign parent TO the Russian parent (either via the JV or through direct contacts between the parents) iu the following areas? (For each area. please circle the appropriate number between 1 and 7. In case one of these areas does apply to your situation. please just leave it open)

Very low drgree of Very high degree of know-how tramJa know-how transfer

Product technology 1----------2----------3----------4-----------5----------6----------7 Process technology 1----------2----------3----------4-----------5----------6----------7 Quality control 1----------2----------3----------4-----------5 ----------6----------7 New product development 1----------2----------3----------4-----------5----------6----------7 Marketing Know How 1----------2----------3----------4-----------5----------6----------7 Distribution management 1----------2----------3----------4-----------5----------6----------7 Accounting 1----------2----------3----------4-----------5 ----------6----------7 Financial Management 1----------2----------3----------4-----------5----------6----------7 Human Resource Management 1----------2----------3----------4-----------5----------6----------7 General management techniques 1----------2----------3----------4-----------5----------6----------7 Strategic planning 1----------2----------3----------4-----------5----------6----------7

7. Are there any opportunities for learning from the joint venture's activities that the Russian parent is not exploiting?

o No, all opportunities are exploited by Russian parent o Yes, there are opportunities for learning that the Russian parent does not exploit (please explain:)

8. To what extent has know-how been transferred FROM the joint venture TO the foreign parent? (Please circle the appropriate number on the following scale)

1-·----·-------2----·-----·---3-·····--··-·--4--------······5-····-·-··-·--6-···-···-··--· 7 Vel)' low degree of know-how tran.ifer

Very high degree of know-how transfer

416 Anhang

9. If know·how was transferred FROM the joint venture TO the foreign parent: In what areas has this know·how transfer occured?

10. In your opinion, are there any opportunities for learning from the joint venture's activities that the foreign parent is not exploiting? If yes, in which areas? o No 0 Yes (please explain below)

PART VI: STATISTICS

Finally, please give us some information about yourself:

1. Sex

2. Age: Years

3. Nationality:

4. Years worked in this company: ___ _

5. Current title:

6. Prior work experience with the Russian parent: Years

7. Prior work experience with the foreign parent: Years

8. Prior experience with OTHER companies (excluding the parent companies) in the SAME industry: Years

9. In which of the following areas have you spent the longest time during your career: (Please check only ONE answer)

o o o o

Marketing I Sales Accounting Engineering Human resources

o o o o

Finance R&D Manufacturing General management

10. Do you speak any foreign languages? If so, which ones?

11. If you had to give away 100 points to show to what degree you identify with the parents or the JV, how would you allocate these points?

(If there are nwre than two parents, please add lines accordingly)

Identification with foreign parent: Identification with Russian parent: Identification with JV: Total:

_points _points _points 100 points

Anhang

Anhang6b: Befragte ausHindisch-russische Joint Ventures

Gesamtzahl der durchgefUhrten Interviews: 46 (davon 27 in Moskau und 19 in St. Petersburg)

DurchfUhrungszeitraum Moskau: 26. September bis 18. November 1997

7. bis 27 Oktober DurehfUhrungszeitraum St. Petersburg:

Restriktionen:

Moskau Interstroicomplex Mosvart Saman KP-Emag Sousinternational Edilkoservice Aton Biokhimmac Suromed Infocom Comstar Sovintel Golden line Dialog-delta Clodies Probau Gmh Mosrecopak Sovelan Aroma Importek Tim DMM Pan inter Jane-Pe-Kenny

'¢- Joint Venture seit mind. ein Jahr wirtschaftlich aktiv

'¢- Mind. 10 Mitarbeiter

'¢- Russische Muttergesellschaft wirtschaftlich aktiv

'¢- Zugehorigkeit zum industriellen Sektor

Befragte Joint Ventures

St.Petersbur2 Speetroflash Dresdener Femstebav Nevo Euro-optica Bodegas Bal de Pavlo-Neva Ladoga Degus Carga !BCOM Zarina -V anama Medelen Media S-Z (N-W) OrimiVud VitaQ Tekhnoexan Neva Ltd Ural Nevim Vena Parus Yan

Product v prostOgO prigotovleniva (Fast Food) Neftegastekhnologuiva Camacs Roco

417

Anhang

Anhang 7: Zentrale Ergebnisse der empirischen Befragung auslandisch­russischer Joint Ventures

7.1 Grundlegende Informationen zu den befragten Personen 7.1a Position der teilnehmenden Manager

7.1h Industrieerfahrung der teilnehmenden Manager in Jahren

Mehr als 20 Juhre Keine Angube I Mgr. =2%

1-5 Jahre 9Mgr. = Zo%

7.1e Alter der teilnehmenden Manager in Jahren

Mt'hr als 60 Jallr/:'

6 Mg>". = _13_%_--.--__ -= ..

41-50 Jahre

8 Mfg. = 17%

Wen(~er a/.\ ein lahr

20 Mgr. =43~

3J-40Jahre

17 Mg>". = 37%

419

420 Anhang

7.ld Vorherige Firmenzugehiirigkeit

Anzahl I Prozent I der befra ten Manager I

VOriierige Zugehorlgkeit zum ----1

23 50 I russischen Partner

Vorherige Zugehorigkeit zum 6 13 i auslandischen Partner Keine vorherige ZugehOrigkeit 17 37

i zu einem der Partner -----i Gesamt 46 100j

7.2 Reliabilitiit der Subska1en des Joint Venture Erfo1gs

N Durchschnitt Standard- Korrigierte Alpha bei (1) Iiffizienz/<riterien abweichung Item-Gesamt Eliminierung

(BottomUne) Korrelation des Items 1

ROS 46 4,8 1,7 0,5909 0,7930 i

ROI 46 14,5 1,9 0,7221 0,7328 J Kostenreduktion 46 i 3,2 2,2 0,6305 0,7784 I

'Produktivitiits---;

46 3,4 2,0 0,6297 0,7747 1 I

steigerungen I

Standardisierter Reliabililiitskoeffrzient Alpha = 0,8212

N I Durchschnitt Standard- Korrigierte Alpha bei I (2) Umsa(z/

I Abweichung Item-Gesamt Eliminierung

i Marktkriterien Korrelation des Items Qualitatssteigerung 46 i 5,3 1,5 0,5068 0,5400 •

---"'-

1 5,1 --~--"--------~

Marktanteils- 46 1,7 0,4127 0,6530 ' erhohung I : Umsatzsteigerung 46 ,4,5 1,8 0,5244 0,5057

,

SlIlndardisierter Reliabilitiitskoeffrdent Alpha = 0,6680

7.3 Grundlegende Informationen zu den beteiligten Joint Ventures 7.3a Zeitpunkt des ersten Kontakts

Anzahl I Prozent , I

der befragten Joint Ventures Vor 1980 3 7' 1980-1986 2 4' 1987-1989 17 37· 1990-1992 11 24 1993-1995 9 _!2.~

.-und spater ° 0; Keine Angabe 4 9 Gesamt 46 100 ;

Anhang 421

7.3b Alter der Joint Ventures

Anzahl I Prozent I der befragten Joint Ventures

Vor 1990 13 28 I 1990-1992 14 30 i 1993-1995 15 33 i 1996 und spater 4 91 Gesamt 46 100 I

7.3c Aus1iindischer Kapitalanteil der Joint Ventures

Anzahl I Prozent I

der befragten Joint Ventures I Bis 33,3 9 19 33,4 % - 49,9 % 7 15 50% 15 33 50,1 % -66,6 % 6 13 >66,7% 7 15 ~-----.--- -----.

4 Keine Angabe 2 £ esal!1L ______ ._ 46 100·

~--~~--.--- -- -~-----~

_ ____ ~ __________ _1

• Rundungsfehier

7.3d Erwarteter Status des Joint Ventures in fiinf Jahren

Anzahl I Prozent

rm;er;;ahme durch den der beti:agten Joint Ventures

6 13 russischen Partner Ubemahme durch den 2 41 auslandischen Partner I Verschiebung der

I 1

1: j Partneranteile Unabhangigkeit von

-t-5 I

beiden Partnem 1

I J IV aufgeltist 4 9[ Derzeitiger Status bleibt I 28 61 '

I ~.---.-------l--------.---,-,---_._----------" Gesamt , 46 100 :

7.3.e Verteilung der Entscheidungsgewalt im Joint Venture ---·-·-Anz;;W------T--Prozem-----1

der befragten Untemehmen ! Auslandischer Partner dominiert 10 22 i EntscheidungsprozeB I

I

Russischer Partner dominiert 15 33 I _Ent~cheidung~oz~ _______

'--'- I Geteilte Verantwortung 12 26 I IV ist autonom 8 17' ~---.--------.- ... .--------~

Keine Angabe 1 21 Gesamt 46 100 : ----------.----------~-"~--." -"_._-

422 Anhang

7.3f Beitragsprofil der befragten Beteiligungsunternehmen

Kapilal - 0,4 -0,4

ProzeBtechn - 0,4

-2,4

Personal -2,4

-1,1

Management -0,4 -04

Industrieerfahrung II -0,2 -0,3 •

Distribution im Inland -1,8

0,9

Verwaltungskontak I -2.1

-3 -2 -1 -3=Hauplbeit:rag yom russischen P'.utner 3=Hauptbeitrag vom deutschen P'.utner

7.3g KreuztabeIle: Privatisierungsstatus und JV Beteiligungen des russischen Partners

Partner hat noch Partner hat keine jGesamt -andere JV- andere JV-

Partner isl .. , Beteiligungen Beteiligungen

10 I Teilweise oder vollstlindig in 9 19 Staatsbesitz i

Privat bzw, vollstlindig Erivatisiert 5 ______ ~ __ 19_· Gesamt 14 24 I 38 : --

7.4 Know-How Transfer in den befragten Joint Ventures 7.4a Know-How Transfer in den einzelnen Bereichen: Korrelationsmatrix

, Strat. I AUg. Perso- Finanz- Conlrol Distri- Mktg_ i Prod.- Prm.:-- lnnov.- Qualit.-, Plan. !Mgmt. nal mgmt. Ling bution 1 techno techno mgmt. mgmt.

Slrat. I I

Planung 1 I All. I 0,661

! ! Mgmt. Personal 0,460 i 0,687

: I 1----~,,-----r--o---8--F- ----- 0]65'"

--- ----Finanz- , 0,168 0,225 m mt. : I

coirtWi:-TO)4if-To.413m 0:500"~ 0$ ---1-- --- -_ ..

ling I !

Distri- I 0,325 i 0,390 0,358 0,493 0,566

! bubon Mar- I O,329n --tO,.i38""" ro.4iI" 0,380 0,355 0,443

--, I

keting I

--1 Produkt- i 0,181 1 0,104 0,087 -0,220 -0,004 -0.011 0,149 techno

I I

Prozess- , 0,200 10,162 0,035 -0,263 -0,020 -0,007 0,111 ! 0,959 ! techno I

Innov.- I 0,074 0,190 0,156 -0,247 -0,183 -0,097 0,142 i 0,495 0,539 mgmt. 1 I

Qualit.- 1-0,047 0,215 0,243 -0,085 -0,011 0,005 0,305 0,507 0,536 0,715

mgmt. I • ~ p<O,l •• ~ p<O,OS ••• ~ p<O,Ol

Anhang 423

7.4b Ergebnisse der Faktorenanalyse TC~--------I'-----------i Eigenwert I % der erkHirten % der erklarten Varianz '

__________ . ___ -j'y~iall~_______ _(k~ITIulali\'L _______ J

l~t~~'- _______ + ____________ -=c=-cc-+-. _______ 33.37I __ ______ ~]~rLU ~tor 2 _______ ---'- 27,564 60,936 : [!'a_ktor 3_________ _ ___ ~2c~ . _______ __"Zl.I!2_

~~~~~i~~:~~h~i&~ll=-~ lJ'~sonaL__ p;ir1a~l11ana~em~_nt i~ol1trolling __ [j)islribution ___ _

~~~~ting ___ _ L Produkt~hrl~i~ _____ _ i Prozel3lechn~ogi~ ________ _ l!nnovalio_nsma~l1"lent ____ _ [ Qualitiitsmana emenl

7.4c Reliabilitiit der Subskalen

N Durch rSt;ridmi--- Korrig;~rt~-~lPh~!;i--' schnit; _._ Abwelch~ng Item-Gesamt Eliminierung

(1) Unternehmensfiih_r_un_g--+_+-_ _. Korrelalion dec:cs::::It=::em~s -----i ~~lraLPlanung 454,O_~1_,8 _ 0,6001 __ (),8Q66__ _ i

~~~~~e=~~== :~ ~=-===-K:~=_-_--+0;:-,7;c:8=8~9 ______ ___ ,.0,_,;;:62,.6;;0; _______ ---, Standardisierter RelilIbilitiitskoeffizient Alpha = 0,8135

~N:j)u-~hsch-~itt~--fS!andard~ K-o-rr-j-g-ie-rt-e --: Alph-a-be-j---

I Abweichung Item-Gesamt I Eliminierung (2) Technologie i Korrelalion : des Hems

. Produku~cl;nol;g~f45-~-----12,3--- 0,7643 '0,8155 c ~:~~~~i~f~OIOi~-=-i:F~-}F===~m~==--~:!~-- ~=:~:~~r==---,

~~~~~~_::: _ J45_~~__ J=~ _______ 0 __ ,6_6 __ 3_6 _______ ._L

O_,_8._5_7_0 _____ _

(3) Funktionaler Know­How Transfer

~~~111anagement iCcmtrolljng Distribulion --~---------- -~arketi~L __ _

Standardisierter RelilIbilitiitskoeffizient Alpha = 0,8689

424 Anh.ng

7.5 Kommunikation mit dem russischen und ausliindischen Partner

50% der befr.gten Joint Venture haben maximal I ... Kontakt zum ... Partner (Median) I

Kontakt zurn ausliindischen Partner Telefonischer Kontakt 2 mal pro Monat Schriftlicher Kontakt 4 mal pro Monat Partnerbesuch beim JV 2 mal pro Jahr I

JV Besuch beim Partner 2 mal pro J ahr ~

Kommunikation auf mittleren und 2 mal pro Jahr I

unteren Hierarchieebenen i

Kontakt zurn russischen Partner 1 Telefonischer Kontakt 4 mal pro Monat

Schriftlicher Kontakt 2 mal pro Monat ----l Partnerbesuch beim JV 20 mal pro Jahr JV Besuch beim Partner I mal pro Wache -~ Kommunikation auf mittleren und 20 mal pro Jahr unteren Hierarchieebenen

7.6 Angebotene Trainingsma8nahmen in verschiedenen Organisationsbereichen

I % der befragten Joint Ventures. in denen diese I TrainingsmaBnahme mit Hilfe des westlichen

I

_______ +1 Partners durchllefiihrt wurde (N=46) _____ ~! I Managementtrainlng ) Indirekt durch Zus.arbeit 43 % ) On-the-job in Deutsch!. 33 % I) On-the-job in RuBland 22 % !) Seminare 41 % i) Schri:-:·fC7t!.--:M--=-.t-en-:-· a""'I-------+-- 54 %

Training des Verkaufspersonals I) Indirekt durch Zus.arbeit 28% !) On-the-job in Deutsch!. 13%

I) On-the-job in RuB land 26% .) Seminare 24%

------~

I) Schrift!. Material I Training der Produktionsfachkriifte

48% -------------i

) Indirekt durch Zus.arbeit I 44 %

i) On-the-job in Deutsch!. I 28 % I) On-the-job in RuBiand I 50 %

i) Seminare : 26 % r----------------+---.-------------------- ---------:) Schrift!. Material I 46 % I

Anhang 425

7.7 Kontakthiinfigkeit znm ansliindischen Partner in JVs mit hohem nnd niedrigem Know·How Transfer

Gesamter Know-How Transfer Hoch Niedrig

Kontakte pro Jahr N=15 N=14 Kontakt znrn ansliindischen Partner Telefonischer Kontakt 75 28 Schriftlicher Kontakt 193 50 Partnerbesuch beim JV 6 2

I

Sig.

!

NS NS

--l- 0,1 IV Besuch beim Partner

----;;;-- 2 10,l-

Kommunikation auf mittleren und 69 117 'NS I Unteren Hierarchieebenen i

Kontakt zurn russischen Partner I I Telefonischer Kontakt lI8 166 NS

Schriftlicher Kontakt 188 50 INS Partnerbesuch beim IV 153 60 0,1 I IV Besuch beim Partner 142 79 NS Kommunikation auf mittleren und 69 17 NS Unteren Hierarchieebenen

7.8 Anzahl der Trainingsma8nahmen in JVs mit hohem nnd niedrigern Know-How Transfer

Gesamter Know-How Transfer J Hoch Niedrig i Sig.

I N=15 N=I3 Training fUr Produktionsfachpersonal 2,7 0,6 0,001 I

-Managernenttraining 2,5 1,3 0,05 I

Training fUr Verkaufspersonal 1,7 I 1,0 INS I Gesamtzahl der TrainingsrnaBnahmen 6,9 r[9---r 0,Dl

(aile Bereiche) i I

7.9 Umfeldwahrnehmnng in JVs mit hohem nnd niedrigem Know-How Transfer

Gesamter Know-How Transfer Hoch I Niedrig I Sig. N=15 N=14

I Vorhersehbarkeit der Nachfrage 5,3 i 4,4 10,1 ,

I Geschwindigkeit des technologischen 3,9 1 4,7 INS

I Wandels I

7.10 Kooperationserfahrnng nnd Know-How Transfer 7.lOa Westpartner

Westpartner hat nuch andere ! Eigenkallitalbeteilignngen in Rn81and I

Nein IIa I Sig. J N=26 i N=15 Gesamter Know-How Transfer 3,8 13,9 INS I Funktionaler Know-How Transfer 4,0 ' 3,9 INS I

Management Know-How Transfer 3,3 14,3 10,05 I Technologischer Know-How Transfer 3,9 13,7 INS J

426 Anhang

7.l0b Russischer Partner

Russischer Partner ist noch an anderen

~grenzi!b~r~Jtreiten!l~--IY!lJ~igrL_~ Nein I Ja I Sig. N=25 N=14 ,

Gesamter Know-How Transfer 3,5 14,2 10,1 Funktionaler Know-How Transfer 3,9 i 3,9 ! NS .

Management Know-How Transfer 3,4 '13:9-------tNs----~chnologischer Know-How Transfer 3,3 __ ~"±'L I 0,Q5

- ---~-

7.11 Know·How Transfer und Privatisierungsstatus 7.11a Vergleich des Transfers nach Privatisierungsstatus

,.....-::.-----------_ .. _ .. _._-_._._-_._---Russischer Partner ist. ••

vollstandig in ! vollstandig staatlicher i privatisiert

Teilweise I ! Pri vat oder i Sig.

Hand i

N=20 i N=19

7.11b Know-How Herkunft

__ .. ___ Russ!s£lI~tner is~ ____ ----1 Teilweise I vollstandig Privat oder voll- :

... % des zur Zeit im Joint Venture vorhandenen Know-Hows stammen

in staatlicher Hand standig privatisiert '

N=19 N==-==19:--. __ ~ .. , yom auslandischen Partner 55 % 37 % ... yom russischen Partner 26 % 45 %

•

... aus eigener (d.h, JV) Entwicklung 18 % 14 %

~ .. ~,a=u~s~A~k~q\u=is=il!='o=n~en~v~o=n~a=u=Be~n~---_r~I~%~ ________ ~4% GESAMT 100% ,100%

7.12 Know-How Transfer und Kooperationsmotive der russischen Partner

1st der Know-How oder Technologie-! transfer ein zentrales Kooperationsmotiv ,

des russischen Partners? Nein -ih·-----: Sig-:---1 N=28 , N=13 I !

Gesamter Know-How Transfer 3,7 4,4 0,05 Funktionaler Know-How Transfer 3,9 ; 4,1 ' NS Management Know-How Transfer 3,5 .4,1 iNS Technologischer Know-How Transfer 3,6 4,7 i 0,1 ,

Anhang 427

7.13 Interaktion und Training in verschiedenen Macbtstrnktnren

1-: EntscheidungsgewaIt im JV Iiegt bei Ausl. Partner Russ. Partner Beiden

I Partnem

(N=JO) (N=15) (N=12) i Jahrl. Besuche des aus!. Partners beim JV 7,6 2,1 8.1 ,

Jahrl. Besuche des russ. Partners beim JV 71 99 71 ! -------~---~-------------

Jahr!. Kontakte auf mittleren und unteren 27 22 79 Hierarchieebenen mit ausl. Partner Jahr!. Kontakte auf mittleren und unteren 20 86 124 Hierarchieebenen mit russ. Partner Anzahl der TrainingsrnaBnahmen im 2,6 1,3 2,1 Management Anzahl der TrainingsrnaBnahmen im 1,3 0,9 1,9 Verkauf Anzahl der TrainingsrnaBnahmen in der 2,5 0,9 2,2 I Produktion I

-=-----_._------------Gesamtzahl der TrainingsrnaBnahmen 6,4 3,1 6,3

7.14 Der Einflull der strukturellen auf die relationalen Variablen

Abhiingige re/atiofllJ/e Variable i

JV Vertrauen in Offene & vertrauens- Akti yes lokales I ausl. Partner volle Partnerbeziehung Leminteresse

Konstante 4,461 -0,765 3,814 --;------------ Oi7S-- 0,341" 0,099 i

Auslandischer Kapitalanteil Russ. Partner dominiert -0,307* ·0,267 ·0,237

I JV EntscheidungsprozeB (Dummy) I Grad der auslandischen -0,080 -0,250 0,577 I

Kontrolle tiber kritische I Ressourcen Relati ve Hiihe der JV· -0,214 ·0,361 -0,198 spezifischen Investitionen beider Partner (positiv bei ausl. ~rus~Jnv.) _____ ._----_._------ ---

R' 0,199 0,293 0,474 I ---------------- t-oJoZ 0,208 0,410 Adjusted R' F L--____________ ~R~_O _____ 3,422 7,431 -.-J

p<O.1 ** p < 0.05 *** p<O.OI

428 Anhang

7.15 Eigenschaften von Joint Ventures mit hohem und niedrigem Know-How Transfer (Mittelwertvergleich)

Gesamter Know-How Mgmt. Know How Funkt. Know-How Transfer Transfer Transfer Hoch'» M" ~ Hoch Tief ~ Hoch

Aus!. 52,6 42,6 NS 54,7 41,0 0,05 56,3 Kapitalanteil Auslaodische Kontrolle tiber 0,9 -5,1 0,05 2,0 -2,7 NS 3,6 kritische Ressourcen Relative Hiihe der spezifi- 0,0 -0,4 NS 0,55 0,21 NS -0,13 schen Investi-tionen (positiv bei aus!. Inv. > russ.Inv.) N Vertrauen in aus!. Partner 6,0 4,2 O,QI 5,8 4,4 0,05 5,6 Partner-beziehun~

Vertrauen 5,8 5,2 NS 6,0 5,0 0,1 5,5 Offenheit 5,4 4,5 0,1 5,4 4,3 0.1 5,3

Lokales Leminteresse 4,4 2.6 O,QI 3,9 3,1 NS 4,5

A1terdesN 4,7 5,5 NS 4,3 6,3 0,05 5,0 (Jahre)

Griille (#MA) 106 46 0,1 62 83 NS 87 '" (2)

Hoher Know-How Transfer (oberstes Dottel der Stlchprobe) Niedriger Know-How Transfer (unterstes Drittel der Stichprobe)

Tief

42,1

-4,4

0,14

4,5

5,4 4,7

3,0

5,6

55

~

0,05

0,1

NS

0,05

NS NS

O,QI

NS

NS

Techn. Know-How Transfer Hach Tief ~

45,8 53,1 NS

1,1 -1,0 NS

0,78 0,15 NS

-- --

5,6 4,8 0.1

5,6 5,4 NS 4,7 5,0 NS

4,2 3,4 NS

5,1 5,7 NS

131 58 0,1

7.16 Kullurelle Distanz in JVs mit hohem und oiedrigem Know-How Transfer 7.16a Betrachtung des gesamten Know-How Transfers

Gesamter Know-How Transfer i Hoch ! Niedrig

.. ~.-~

; Sig. I

N=15 ! N=14 I

Gesamte kulturelle Distanz 3,\3 2,89 INS Durchschnittlicher Grad der 59

165

~--: Unsicherheitsvermeidung in der Kultur des I

ausHindischen Partners I I I

Durchschnittlicher Grad der Machtdistanz 42 44 INS I

in der Kultur des ausliindischen Partners i i Durchschnittlicher Grad des 70 67 INS i Individualismus in der Kultur des I ausliindischen Partners I i i

I

Durchschnittlicher Grad der Maskulinitat in 60 1 64 INS

der Kultur des auslandischen Partners I

Anhang

7.16b Betracbtung des funktionalen Know-How Transfers

i-G-e-s-am-te-r-fu-n-k-tio-n-a-Ie-r-* -Kn-o-w---H-o-w-~

~amte kulturelle Distanz

Hoch N=17 3,42

I 55 I Durchschnittlicher Grad der I 'I

I Unsicherheitsvermeidung in der Kultur des I I! ausHindischen Partners i -1---.- I

!D;~chschnittlicher Grad -de~M~chtdist~~ 40------t4i)--- I NS---I I in der Kultur des ausHindischen Partners I I: Durchschnittlicher Grad des Individualismus in der Kultur des ausUindischen Partners Durchschnittlicher Grad der Maskulinitat in

, der Kultur des ausUindischen Partners

69

55 66

Belm Verglelch von lomt Ventures mit hohem und medngen Technologle bzw. Management Know-How Transfer ergeben sich filr keine der kulturellen Dimensionen signifikante Unterschiede zwischen Hoch- und Niedrigtransfer loint Ventures.

7.17 Signifikanz struktureller und relationaler Kooperationsmerkmale in Joint Ventures mit iihnlich bzw. unterschiedlich individualistischen Partnern

Joint Ventures mit geringer Individualismus Distanz zwischen den Partnern (d.h. auch der ausland. Part­ner entstammt einer eher kollektivistischen Kultur)

! Joint Ventures mit hoher I Individualismus Distanz i (d.h. der ausliind. Partner I entstammt einer eher ! individualistischen Kultur)

1

: ~:;;~~~t:les Modell -1,953 N=22 : 1,204 N=22

I.iVV~rt;a~en-i~~~Sl.part;,e; 0,930*** 1 0,420l ! Offene & vertrauensvolle -0,721 ** I 0,033 i I Beziehung der lV Partner __ , ___ ' J ~Enanstre"ll~~ __ ~~~ ______ ro,291 ________ ..J R , ________________ (),!91 _____________ U3~4. _____________ ! ~rl"igierter R' _Q,4Q7 i 0,246 : ~V!"~ ___ , 5,797'" 3,290" I

, Vcreinfachles slruklurelles N=J8 -f,i':'20'---~ ~~~ ____ ~. _~ __ ~_~ ___ ~ ~~ ____ ~~ ____ ..+~~ ___ ~_~ _______ i

J(-"ns~nte__ ___ ______ _±P2-"'**, __ __ -------L~~I *-*-*-____ _______ ; Russ. Partner dominiert lV -0,163 I -0,700*'* EntscheidungsorozeB (Dummy) Grad der ausliindischen Kontrolle 0,462* 0,085 uber kfltlsche Res~urcen ____ ~, _________ -'-, ___________ _

I Relative Hohe der lV-spezlfi- 0,051 -0,103 schen Investltlonen belder Partner

fJP2s~ti':'~au~JI1v >}uss,Ji1vl_ _ _________ _ ~ I I ' ~rie:i~_;:ierRi- -------- ~~~--~-------;-{~-------·-~l ~W~ _____ ~ __ U483 __ ~~5'"

p < 0,1 ** P < 0,05 *** P < 0,01

429

430 Anhang

7.18 Gesamtregressionsmodell des Know-How Transfers in verschiedenen Bereiche (Ergebnisse der schrittweise Regressionsanalysen)

Management Know-How

Funktionaler Know-How

Technologischer i

Know-How Transfer Transfer Transfer I

fCK=on=s=ta==n:.::te'--_--:c:--:--:-:-----j---'0:.!.:,5:..:64~------ ~~'--_____ +_4'-'-,04'---'-9'__·""----___ ___i

Ausgewiihlte Variablen JV Vertrauen in aus!. Partner 0,411*** Andere Direktinvestitionen des auslandischen Partners in

0,373" ------- ------------ -------

~R~u~B=lm=d~?~(D~u=mm~ay~))-------+~~~----~--------~-----------~ Grad der auslandischen 0,299* * Kontrolle tiber kritische Ressourcen Aktives lokales Leminteresse 0 587*"

fCA=usC,lac"n-='d:7-is:":c:=he:":D=--=oIDI'-'-7, n=a=nz=:-de=s-=,J""V:-+------+---'-'-" ------ 0,531'" Entscheidungsprozesses

~(o::D--=:umm=n,,:-,y;):-c-=--,o:-------:---+---------------------- ____________________ 1

Andere JV Beteiligungen des 0,376*' !

russischen Partners (Dummy) I

Auslandischer Kapitalanteil - 0,347** I

JV GroBe (Anzahl der MA) ---- -0,362'.----:

f---:R~'--:---:--c---=__-----_t___::'0,3~9:::5,_____--1~0,3":-44~---- ____ .!l,40~ ______ _ Korrigierter R' 0,335 0,324 0,317_...,j F-Wert 6,537 16,811*** 4,832*** __ ' '~p<O,1 " ~ p < 0,05 ••• ~ p <0,01

7.19 Determinanten des Know-How Transfers zweiter Ordnung 7.19a Gesamter Know-How Transfer zweiter Ordnung

Ergebnisse der schrittweisen Regression (1)

Abhangige Variable: Gesamter Know­How Transfer zweiter Ordnung an das t

r= _________________ -+.:.:ru=sc:::si::.sc=h:=e...:M=utteruntemehmen

~;:;:;;~~riabje:-----------------:O..&6.L------- ---Gesamter Know-How Transfer ersler Ordnung 0,252* JV Vertrauen in auslandischen Partner 0,330" Aklives lokales Leminleresse 0,354 ••• R' 0,543 ~-77~~=_----------_+_7~~-------~

Korrillierter R' _____________________ O.!?9~ _______________________ , F-Wert 13,484***

• ~ p < 0,1 •• ~ P < 0,05 ••• ~ p <0,01

(I) Die potentielle Multikollinearitat wurde anhand der Toleranzen der einzelnen Variablen und der Condition Numbers des Modells tiberpruft. Die Untersuchungen deuten nicht auf Multikollinearitiits-probleme hin,

Anhang

7.19b Know-How Transfer zweiter Ordnung nach Bereichen

Management Funktionaler Technologischer I Ergebnisse der schriJtweisen Know-How Know-How Know-How Regression {OJ Transfer z.O. (2) Transfer z.O Transfer z.O Konstante -0,131 0,241 -1,136 Kontrollvariable:

I Know-How Transfer erster 0,545*** 0,392*** 0,535*** Ordnung im jeweiligen Bereich ({) I JV Vertrauen in 0,359*** auslandischen Partner Aktive~~()~~l:e!!1in~ O,358*~* 0,421*** I

R' 0538 0,493 0,509 ~_orrigierter R' ..J!..~!!~~ __ ~.c 0,481 I F-Wert 20,391*** 17,004*** 18,153*** I

*-7p<O,1 '*-7p<O,05 ***-7p<O,OI

{OJ Die potentielle Muhikollinearitat wurde anhand der Toleranzen der einzelnen Variablen und der Condition Numbers des Modells UberprUft. Die Untersuchungen deuten nicht auf Multikollinearitats-probleme hin.

(1) FUr den Transfer von Management (Funktions-I Technologie-) Know-How zweiter Ordnung wird also zunachst der Management (Funktions- I Technologie-) Know-How Transfer erster Ordnung als Kontroll­variable in die Regression eingebracht. So soli untersucht werden, welche Variablen - neben einem hohen Know-How Transfer erster Ordnung- einen Einflu6 auf den Know-How Transfer an das russische Mutterunteroehmen haben.

(2) z.O.= zweiter Ordnung

7.20 Der Zusammenhang zwischen West-Ost und Ost-West Know-How Transfer

Know-How Gewinn des I Ko"eiationskoeJflZienten auslandischen Partners I

[GeSamie;:Know:Ho;Transferan das iOint Venture 0,397*" 1 Funktionaler Know-How Transfer an das Joint Venture 0,359** ! --~-----~-~~~-

Management Know-How Transfer an das Joint Venture 0,391** I Technolog. Know-How Transfer an das Joint Venture 0,128 I Gesamter Know-How Transfer zweiter Ordnung 0,473*" I

p<O,l •• p < 0,05 ••• p<O,OI

431

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