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EDITORIAL Templates for Creativity
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ome years ago the word template had a rather traditional meaning. The earliest templates were small pieces of wood that could be used as guides in the often repetitive work of the craftsman. The template was of value because it served as a means of replication and of generating variety. Perhaps a template was one of the earliest of all guides in the manufacture of artifacts. The ability to support repetitive actions resulted in labour saving. The contribution to variety supported an essential ingredient in generating creative and aesthetically pleasing products. In engineering, the simple templates that helped in the building of machines of all kinds became more sophisticated. Now the `machines that make machines' are the successors to the simpler templates. Word processing packages have also extended the meaning of template. Most packages offer short-cuts or templates that the user can put to use so as to generate a memo, or a letter or a graphic. The template again offers the combination of fitness for use for repetitive tasks, and scope for modification each time of use to achieve local-level originality. We can see that a template for writing a letter does not reduce the scope for being creative in the way we shape the contents of the letter; yet it helps out the various elements that shape the structure of a letter. Here we have the way in which structure and freedom co-exist in creative production. It might be argued that in writing a letter we may wish to be creative about its structure as well as its contents. The template may be found wanting in impact, for example These are issues that might be worth pursuing further. At the simplest level, however, we can see the merits of resorting to templates within the processes of generating novel and creative products. In short, templates are possible aids to everyday creativity. # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
Templates and Structures for Creativity There is one view of creativity that regards all constraints as inhibiting. To which, we might comment that some kinds of constraint seem more inhibiting than others, and that constraints can also be regarded as a necessary component within a wider `world'. The process of identifying and seeking to do something about constraints is one way of describing creative effort. This leads us to thoughts of threat/opportunity as two sides of the same coin. Even in the west we are becoming more familiar with this notion, so central to eastern philosophies. So there is nothing ultimately paradoxical about structures (such as templates) that are valuable elements within the creative process. If `some constraints are more inhibiting than others' we need to look more carefully at what sort of constraints, under what conditions, are supportive of creativity? The question was implied in the work of the British researcher Michael Kirton. Famed for his KAI (Kirton Adaption Innovation inventory), Kirton drew attention to a previously ignored possibility in studies of the creative individual. He suggested that creativity as a mental product could emerge from a process with relatively little attention to structure. This is what he termed an innovative style or preference. It could also emerge from a mental process with relatively high levels of structure, which he termed an adaptive style or preference. Before Kirton, the innovative style was generally regarded as the only one associated with creativity. We might see it as a template or structure that supported creativity. Kirton pointed out that the adaptive style was also supportive of creativity, although it tended to favour a `different kind of creative product'. So, we now have different templates and different kinds of product. Kirton has helped us realise
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that templates or structures have to have some sort of `fit' with the requirements of a situation. At times the person favouring an innovative style (`template') may be highly effective; at times it will be the adaptive, highly structured approach that is more likely to be effective. Both styles are productive of innovation, and we are better able to see the distinctions between breakthrough creativity and step-by-step or developmental creativity.
The Voice of the Product This journal has papers that indicate ways in which templates and structures can support creativity. Jacob Goldenberg and David Mazursky take the term template to indicate identifiable regularities in product features that can serve as means of facilitating and channeling the creative process. The implication is that products can `speak to us' and tell us about those features that have become encoded into them. In effect, the complexity of the market gets encoded and can be decoded to `tell' us about new product possibilities before any possibility of conventional `signals from the marketplace'. Goldenberg shows how the `voice of the product' can be studied. One of his methods, that of morphological analysis, is in our terms a structure that enables creativity. It happens to be one that establishes a relatively high level of structure on the ideational search. The authors suggest that the less structured approaches that occurred in developing more breakthrough products we intuitive and tacit, whereas the creativity technique makes the process of knowledge acquision and conversion more explicit.
Benign Structures for Team Development The article by Goldenberg examines templates for new product development. Our own article (Rickards and Moger) examines `benign structures' for team development. Like Goldenberg, we have come to believe in the importance of structures that enhance creativity. The term indicates that structures are not necessarily inhibitors of creative processes and outcomes. We suggest that the application of creative problem-solving techniques represents efforts to strengthen the use of some benign structures. From that point of departure with established theory we are developing insights into the way various operational procedures re-structure behaviours, particularly within project-focused and taskfocused teams.
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The third contribution dealing with templates comes from Gerard Puccio, who has served a long apprenticeship at the hub of creative education research at Buffalo. Puccio briefly outlines the historical contributions of the Buffalo School before introducing a new measure of personal preferences. His work suggests that operating a template or structure for creative problem-solving will have differential effects on users. This has considerable implications in the design and application of structures, not least in the scope for better utilisation of the differential talents within a problem-solving team.
Less than Benign Templates John Groth and John Peters have conducted an extensive study of perceived blocks to creativity. This is itself an established route to considering how to enhance creativity. In the context of this issue, we might regard the blocks as malign structures, the study of which helps identify the more positive or benign structures or templates for supporting the creative process.
The Multi-facetted Nature of Creativity We should not, however, assume, that a template-based view of creativity will remove all the complexities of the subject. We are reminded of this in Cameron Ford's study in which interpretative style, motivation, ability and context are all contributing features that impact on executive's creative performance. A similar multiplicity of factors occurs at the level of enterprise support systems, studied and reported by Rustam Lalkaka and Pier Abetti. Perhaps support systems can themselves be seen as templates in which case the key success factors vary according to the maturity of the enterprise. The final contribution, by Patrick Sik-wah Fong from Hong Kong, re-examines the concept of Value Management as a template for group creative problem-solving. It indicates how such methods are applied to the culturally important issue of the potential bad feng-shui of redeveloping of a site facing a funeral parlour. Thus the issue spans Eastern and Western experiences, and examines creativity across a range of levels and contexts. In such variety the concept of benign structures or templates for creativity is revealed, and remains a challenge for future studies. Tudor Rickards
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The Voice of the Product: Templates of New Product Emergence Jacob Goldenberg and David Mazursky The paper presents a new framework of analyzing the product itself to infer about future market demands. This framework consists of past regularities that were identified to underlie the emergence of successful new products. By identifying templates of innovation an innovator may be able to predict the future product even before the market signals the needs or when the market information is not accessible. If successful in predicting new products by inspecting the product itself, innovation can be supported by the proposed knowledge system (i.e., the self catalytic dynamics of product evolution) which is invariant to market information. When market information is not accessible (typically in case of latent needs, genuinely new products) the product-based information is sufficiently effective to help in predicting future demands. The conclusion is that reflective practitioners should actively listen to the product and its trends as another source for ideation, because there is more relevant information embedded in the internal dynamics of product evolution than previously recognized in marketing practice. Keywords: Creativity, ideation, templates, new product development.
Introduction: Regularities in New Product Emergence
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onsiderable research in marketing suggests that marketing forces drive the evolution of new products and services. Market driven new product ideas are often inferred from market needs and many product ideas emerge from asking customers to describe their problems with current products. This suggests that market-based information should be considered early in the stage of new product ideation. Furthermore, the concentration on market demands has led to the formation of methods devised to predict the success of new product innovations and performance measures such as sales and market share. The market, according to this view, impacts the product in many ways including development, rate of innovation, etc. Recently, Goldenberg, Mazursky, and Solomon (1999 a) questioned whether new products should evolve solely on the basis of knowledge derived from market-based information, or whether there is an intrinsic product-based scheme stimulating development # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
of products which complements marketbased processes. The main thesis advanced in that research was that certain regularities in product-based trends are identifiable, objectively verifiable, generalizable across products, and learnable, and that these regularities, can serve as a facilitative tool that channels the ideation process. The idea behind this approach can be conceptualized by viewing the relations between products and their markets as consisting of Natural Selection mechanisms: products which fail to fulfill the needs of the customer disappear while products that satisfy consumer needs survive until the next change takes place in market demands. According to this axiom markets can be viewed as an environmental pressure, which forces products to constantly evolve. This view of surviving of the fittest is not inconsistent with the prevailing approach in which listening to the ``voice of the customer'' (environment inputs) is crucial for inducing changes that ensure success of the product. According to our proposition, years of development yield a considerable amount of
Natural selection mechanisms
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information about customer needs that is accumulated and embedded in the product itself. Moreover, since failures in need satisfaction do not leave any traces, this information represents an effectively selected knowledge. The structure of the product then becomes a representation of past processes of the market. Accordingly, the question becomes can we hear the voice of the customer by listening to the product?
The Market as a Source for New Product Ideas
Market research is indispensable
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Over the past generation, marketing experts have developed valuable strategies and tools for predicting the success or failure of new products. They also developed methods for planning and designing products in response to ``the voice of the customer'' (e.g. the Conjoint Analysis or the House of Quality see detailed review in Urban and Hauser, 1993; Griffin and Hauser, 1993). We are accustomed to assuming that the use of these evaluation and prediction methods reduces the rate of failure of new products. The concept that ``the market determines the path of the product to success or failure'' is also at the heart of the practice that considers consumers' preferences as the primary tool in planning a new product (e.g., Srinivasan 1997). This paradigm has lead to the current belief that the source of ideas for new products lies solely with those responsible for product success ± the customers. New ideas recently voiced note that genuinely innovative products, ones that take the market by surprise, are foreseen neither by the market nor by competitors. Marketers' disappointment in the market as a dry source of innovative products is aptly expressed by Urban and Von Hippel (1988), who claimed that the customer of a present product is in an inferior position to supply the researcher with information about his future needs They believe that while customers may be able to express their opinions about a product set before them and even predict whether or not it will succeed, they will be unable to foresee what new product they may require in the future. Griffin (1993) expressed doubt about consumers ability to foresee which products exactly should the firm develop, the details and features of the future blockbuster products, and more generally, they can not provide reliable information about anything with which they are not familiar or have not personally experienced.
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Another argument that was presented in Goldenberg Mazursky and Solomon (1999b) can be illustrated by the following virtual experiment: Consider two market researchers representing two competing banks, hired to analyze market structures and benefits in order to help design two separate new savings plans for the banks. Also assume that they have similar abilities and qualifications, and both would sample the market using the same marketing research methods. The odds that one researcher will come across valuable information for a new product idea are associated with the chances that a person that is aware of the relevant need will fall into their sample. Since both marketers use approximately the same sample size (as they have similar research budgets), they have equal chances of capturing the same information bearer. The chance of exposing a valuable information bearer will increase as demand for the product increases. Thus, where demand exists for a certain product ± market research will be more successful in producing an idea likely to succeed. However, in such case, the market is already expecting this new product, and it is very likely that competitors are concurrently developing similar products given the high awareness. Thus, the battle for market innovation has shifted from the creative thinking arena to the professional mode where the bank must be able to prepare a more desirable plan, topped possibly by its introduction of the plan a few weeks ahead of the competition. We may conclude then that in order to take the marketplace by surprise, a marketer must advance an unpredicted idea ± one that does not yet exist in the marketplace. Such an idea must be captured even before the market submits strong signals to its need, rendering market research methods (for eliciting ideas) less effective. Our above conclusion may be interpreted to mean that market research is of little value. In fact, the opposite is true; market research is indispensable. It can determine the best design of a product given market preferences, predict the product's success and ascertain the most appropriate time to launch the new product. Market research would become yet even more valuable, however, if we were to discover another source of ideas for new products, a source that would be able to predict accurately the possible future or latent needs. This source has to be invariant to the market based information, in our virtual example an innovative product that might catch competitors off-guard must be explored within a new source of ideas and information outside of the market itself.
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Product-based Information as a Source for Product Ideas A product that does not fulfill a vital need disappears, just as a living creature unable to compete for food dies out. Analogous to Darwin's theory of Natural Selection, this reasoning states that given the changing needs of the marketplace over time, the products that will survive are those that adapt to the changing environment through alterations in their own attributes. This implies that over time, the market needs are ``mapped'' or ``encoded'' into a product, which continues to accumulate properties that enable it to remain competitive. The product becomes a physical representation of the market benefits structure, and it contains all the information about the evolution of the needs. If correct, we should be able to infer market needs by ``encoding'' the product-based information. For example, the moisturizing trait of a skin ointment attests to the lack of moisture in the skin where the ointment is used. We can reach this conclusion without having to ask the dry-skinned customer even a single question.1 As another example, consider the sports shoes: The change from rigid soles to more pliable ones points to athletes' needs for their shoes to absorb the shock of their feet hitting the pavement while running or playing basketball. We may deduce this need without consulting orthopedic doctors or professional basketball players. Just as market researchers attempt to identify trends in the marketplace on which to base a new generation of products, we can identify market trends by analyzing a product itself in order to predict the basic attributes of a new product. A trend embedded in a product can be described as a series of discernable and measurable alterations, that when analyzed can be used to predict the next alteration in the series.2 The templates that were identified in Goldenberg, Mazursky and Solomon (1999a), are, in fact, a well-defined sequence of operators that manipulate the product based information. The evidence that 70% of the successful new products can be pertained to one of 5 templates, along with the evidence that in failure products less than 8% can be pertained to a template (Goldenberg, Lehmann and Mazursky, 1999) implies that the search of new ideas within the bounded scopes of a templates may be an efficient exploration. Because the templates consist of a source of information which is invariant to the market at least potentially one can predict a new product emergence even before the market provides the necessary signal. This argument
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is discussed in detail in Goldenberg, Mazursky and Solomon (1999b).
Introducing the Attribute Dependency Template via a Case Analysis: Baby Ointment Baby ointment is designed to ease the pain from rashes on a baby's delicate skin, to heal the baby's skin and possibly to prevent the rash from reappearing. Rashes appear mostly in the groined area due to prolonged contact with the diapers that absorb babies' excretions. The ointment under discussion is composed of a fatty substance, a moisturizer for nourishing the skin and an active ingredient for healing the burn. In this case it is interesting to note that the basic concept and even the formulas used in this product remained unchanged ever since the beginning of the century. As already stated, numerous methods deal with the important issues of product design and value enhancement for successful market penetration. Several recognized methods examine customer preferences in order to create the most preferable profile for a new ointment, which in turn helps forecast a preliminary prediction of the product's success. We emphasise again that we do not wish to refer to such methods here ± not because they are inferior, rather because we present here a different perspective in approaching ideation. When the time comes to innovate, the choice of method will depend on the market situation and the internal situation of the firm. Back to the case at hand: If a firm were to develop a strategy to launch new products in the market, it could create a pubic awakening. After all, who would the public deem the leading baby-ointment manufacturer: the company that has changed nothing in several decades or the company that delivers new advantages and responds to changing need every few months? But how could our firm come up with new product ideas? We mentioned that we must be able to ``read'' information embedded in a product as if we were reading a roadmap of potential changes. The most common template identified in Goldenberg, Mazursky and Solomon (1999) was Attribute Dependency, in which two unrelated variables become interdependent. An example of this template is a disposable diaper that changes color upon urination. Before the advent of this new product, diaper color was unchangeable. The innovative product establishes a dependency between the presence of urine and the appearance of a color. The basic color (e.g., pink) changes to a
A different approach to ideation perspective
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. Internal variables: viscosity of the oint-
different color (say blue) along a certain area of the diaper after a baby urinates. The structure of this template in the case of diaper is depicted in Figure 1. Another example of other products that can be pertained to this template are eyeglasses that change color according to the level of radiation they absorb ± where the color of the lenses becomes darker in the light and lighter in dark. In order to develop a baby ointment along the Attribute Dependency template, we first must explore the product and its immediate surroundings in search of relevant variables. There is a distinction between internal variables and external variable. While internal variables are controlled by the manufacturer, the external variables are defined as existing in the immediate surroundings of the product yet they cannot be controlled by the manufacturer. In the case of sunglasses above, the color is an internal variable and the sun radiation is external variable. The following variables were noted by consumers in a few depth interviews:
ment; odor; amount of fatty substance; color; and amount of active substance . External variables: amount of excretions at a given moment; acidity of excretion; sensitivity of the baby's skin; the baby's age; type of food the baby consumes; and time of day. After the variables' space is outlined a forecasting matrix is constructed: the columns of the matrix consist of internal variables solely, the rows of the matrix may consist of a mixture of internal and external variables. When there is no dependence between two variables, the relevant matrix element is marked with a zero. Just as there had been no dependency in the past between diaper color and presence of urine (Figure 1) so is there no dependency here between color of ointment and amount of excretions at a given moment (element D1). Thus D1 is marked 0. A partial matrix is presented in Figure 2.
color
color blue
ÐÐ"
pink
pink concentration of urine
concentration of urine
(a)
(b)
Figure 1. The outcomes of the Attribute Dependency template - a diaper's color change. Viscosity
Odor
Color
B
Amount of active substance C
D
Amount of fatty substance E
A 1) Amount of excretions at given moment
0
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2) pH
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3) Sensitivity of skin
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4) Age
0
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0
0
5) Type of food
0
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0
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6) Time of day
0
0
0
0
0
Figure 2. A partial matrix of baby ointment variables.
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All the elements in the above matrix are in the ``zero mode''. That notes that no relationship exists between the dependent and independent variables. Does the above matrix indicate anything about the product? The categories? The marketplace? Although the zero-mode matrix is composed of data about the product, it actually reflects the market situation. The ointment, which is considered to be high quality product, has not changed for decades. This lack of change is illustrated by the zero matrix above. This situation may have three possible explanations: 1. The manufacturer accurately predicted the market a hundred years ahead. The original designer and planner of the ointment might have understood market needs, changes in associated products such as diapers, and societal and family shifts so well that the company need not search for new products that were unavailable in his time. 2. The market for ointment has not undergone any social or economic change. Needs that existed decades ago have been frozen and are still relevant today. 3. For various reasons, manufacturers have refrained from disturbing the market to search for new needs. This inactivity has caused a kind of slumber in both market expectation and product development. As awareness of needs arises, product development occurs followed by emergence of new products. In the complex reality of the marketing world, each of the above explanations has its place. If we were conducting this analysis in 1910 (few years after the first ointments were introduced), explanation No. 2 would be most accurate. Present-day reality, however, clearly points to explanation No. 3. Although the manufacturers have not consciously anesthetized the market, there is a reason to believe that we are standing at the threshold of the quiet before the storm ± an avalanche of new products flooding the marketplace as soon as the first product is introduced. This example is a rare and extreme case. In most cases, the picture will not be so sharp nor shall the events in the marketplace take such a dramatic turn. Even so, we argue that the matrix can be used to predict new products on the horizon ± though not the best timing for their introduction to the market. Timing, launch strategy and appropriate marketing mix are not tied to the methodical search for new product ideas. Instead, they follow the process for identifying products that may seem promising at first
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glance. Therefore, the purpose of the matrix is to elicit promising ideas that may be introduced when the time is right. The matrix may help us develop new ideas through the Attribute Dependency mentioned above. The procedure is outlined below: 1. For each ``zero mode'' element, define a new dependency, namely, how will the two independent variables become dependent on each other? 2. Preliminarily examine whether the product is able to sustain the added dependency. 3. Find and define the benefits of the new idea by searching the new product structure. What would the advantage be for the customer using the new product? Let us review a few elements of the matrix one by one.
Matrix Cell B1: Odor and Amount of Excretion 1. Define the added dependency. In contemporary baby ointment products, the ointment's odor remains constant regardless of the amount of a baby's excretion. We may introduce a new dependency, whereby the ointment remains odorless as long as no excretions are present in the diaper but gives off a (pleasant) fragrance as soon as excrement is present. 2. Ascertain product feasibility. At this stage, we must address the question, ``Is there any use in continuing in this direction?'' We could probably find some way to introduce into the ointment tiny capsules containing a pleasant-smelling substance. The capsules would ``explode'' when they come into contact with an acidic substance such as excretion, releasing into the air the pleasant odor. If the addition of this dependency would require a substantive R&D or the addition of toxic substances into the ointment, however, the idea likely will be discarded at this point. 3. Search for benefits. One must tread carefully here. At first glance, we might not see a need for a fragrant ointment product. Solid excretion gives off an odor in any case, announcing its appearance. Liquid excretions, which are less odorous, are denoted already by a change in the color of the diaper. Yet the experienced user of templates will notice these valuable clues: the addition of an excretion-dependent color dimension to
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the diaper clearly shows both the need and relevance for an excretion-dependent odor dimension. A careful examination will reveal the reason. When diapers are covered with layers of clothing, a visual indication of the presence of liquid excretion will not be noticeable. An odorous ointment would provide a parent with a distinct advantage, sparing them the need to remove the baby's pants to check on the state of the diaper, and saving the baby from a long wait for a change of diaper.
Matrix Cell A6: Time and Viscosity 1. Define the added dependency. In contemporary baby ointment products, the ointment's viscosity is not time-dependent: it has the same viscosity day and night. We may present a new dependency, whereby the ointment will be viscous at certain times of the day and liquid at other times. 2. Ascertain product feasibility. At first glance, periodic changes in the viscosity of ointment might seem too complex and costly to develop, even without considering the benefits of such an ointment. The first reaction therefore might be to rule out this possibility.
Differing attribute dependencies
Here we would be prudent to note the existence of two different kinds of attribute dependencies: those within the product attributes, and those between them. In cases where it would be impossible to impose a ``spontaneous alteration of the product a dependency that the customer can control directly may be added instead (e.g., as in pain relievers for day and night). Accordingly, we may present a package containing two ointments ± one thick and lathery (viscous) and one light and airy (liquid) ± for the parent to use at the prescribed time. 3. Search for benefits. Without a clear advantage, no parent will buy a double quantity of ointment or waste his/her time using different ointments at different times. A clear definition of the timing (i.e., when to use a viscous ointment and when to use a lighter, airier one) is required. Answers to a short questionnaire (regarding this new concept) filled out by parents have shown that a viscous ointment is advantageous at night when diapers are changed less frequently, since the ointment can serve as a barrier between the excretions and the baby's sensitive skin. In the daytime, when babies' diapers are changed more frequently, we may allow the baby's skin to
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``breathe'' by using the lighter cream. Accordingly, the customer might be presented with this new concept by stressing the above-mentioned benefits. Parents would appreciate a viscous ointment at night so that both they and their babies will sleep peacefully. They would want the liquid ointment in the day to allow their babies' skin to breathe. When presented with a choice between this adaptive ointment and an ointment with constant viscosity, the customer may associate the adaptive ointments with other adaptive habits ± day and night pain relievers, day and night diapers, etc. Thus he or she may agree to try the new product concept.
Column C Let us now examine the possibilities in column C of the matrix. The concentration of the active ingredient in our product is currently the same for all existing ointments. Remembering that the added dependency may be delivered between the product attributes, we will ignore for the moment the difficulty of a ``spontaneous'' change in the ointment. Let us instead offer a series of ointments with different concentrations of the active ingredient. The change in dimension will be expressed by external variables: baby's age, type of diet and degree of skin sensitivity.3 Consider the connection between the concentration of the active ingredient and the baby's diet: Newborns usually begin their lives nursing on mother's milk, graduate to a synthetic milk formula, then progress to baby food. They also might receive homemade pureed vegetables or soups. Each dietary stage contributes to a different pH level in their excretions, and thus to differing exposures to skin irritation. Here, the added dependency may be expressed as a series of ointments adapted to each dietary stage. Again, the launched product may be better suited to each dietary stage via different combinations of ingredients ± in contrast to an all-circumstance product ± may attract the attention of a parent. Column C contains several possibilities for such ointments targeting varying circumstances.
Managing the Ideation Process Issues A Degenerated Matrix Versus a Saturated Matrix In this paper, baby ointment has been described through a matrix in which all
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elements were in the zero mode. We may assume that in time many ``1'' positions will appear on this matrix. Let us define two extremes, a degenerated matrix and a saturated matrix. . A degenerated matrix is one in which all or
most elements are in the zero mode (i.e. Figure 3A) . A saturated matrix is one in which most cells are in mode ``1,'' indicating that many variables are interdependent (Fig. 3B). A
B
C
D
1
0
0
0
0
2
0
0
0
0
3
0
0
0
0
4
0
0
0
0
Figure 3A. A Degenerated Matrix
A
B
C
D
1
1
1
1
1
2
1
1
1
1
3
1
1
1
1
4
1
1
1
1
Figure 3B. a saturated matrix A degenerated matrix suggests the potential to offer the market new products with several new benefits not yet materialized. The manager has to examine the market situation carefully to arrive at an appropriate decision: Should the firm introduce new products? Should the firm enter this market at all? Should he wait, and if so, how long? By contrast, a saturated matrix suggests that the firm may have ``missed the boat'': The communication between product developers and the market have already yielded many new Attribute Dependency based products. Now that the firm decided to join the game, a little room for maneuvering is left. Coming across a saturated matrix situation, we must realize that analysis will be much more difficult. The number of innovations that our matrix can help us find will be smaller, and in many cases these innovations may have already been foreseen. A saturated matrix, however, contains other valuable
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information. The product indeed might have exhausted its potential for development, from this template's perspective. If so, no marketing efforts will change this fact. In such a case, two alternatives should be examined: . Analysis of another product. Often, a firm
has several products to which changes may be made. . Use another template. The rules of product development obey codes other than just the Attribute Dependency. In reality, matrices are rarely extreme, but instead exhibit intermediate situations. Therefore, the decision-making process must be carried out while at the same time considering the extent of the matrix's inclination to one or the other extreme ± degeneration or saturation. Awareness of the dynamics in the categories of the products under consideration should also be maintained. In practice, it is not always necessary to prepare a matrix for each and every product in order to practice observing products or to find new opportunities. The purpose of the matrix is to regulate our thinking by establishing an order with easy-to-follow rules. As mentioned earlier approximately 70% of the successful products follow one of five templates. Approximately 50% of them follow this template. This means that by applying the Attribute Dependency template rules as predefined paths, we may be able to predict the appearance of some 30% of successful products even before their appearance on the market.
Conclusions The developers of the Dominos Pizza service, the Walkman, the 3M's Post-it and so forth, did not know that they were in fact playing a game with fixed rules. The principle of templates was not known at the time, therefore they could not have used it. The relevant aspect is whether we can learn from their and others' creativity, and thus mould their examples into a new pattern of understanding to facilitate our search for innovative ideas. Preliminary examination of those ideas (such as those carried out by Concept tests) may enable us to evaluate the most appropriate next step. In essence, the tests will help us determine which ideas should be developed, and when and how to present them to the marketplace. Those firms who engage with ideas by gleaning ideas from product based information (in addition to the traditional reliance on
A game with fixed rules
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market based knowledge) may gain two distinct advantages: 1. Their ability to be first to the market may be enhanced, in those cases that the competitors will be slower to develop ideas by examining market needs. 2. Manufacturers may be able to plan how to channel the imminent demands to their benefit by preparing ahead of time. In our daily chase for solutions to current problems, we often tend to forget that we may be able to change significantly a company's direction by making only small alterations. This is, perhaps, the main advantage of creative ideas. This paper is not focusing on organizational aspects of creativity management (e.g., Rickards, 1998; Quinn, 1985), or factors that may govern the interaction between various types of organization and innovation management paradigms (e.g., Rickards and Moger, 1999). It is suggested here that further research on the ways the template approach is related to these important aspects is needed.
Acknowledgement This research was supported by grants from the K-mart International Center of Marketing and Retailing and the Davidson Center.
Notes 1. Note that analysis of the ointment's attributes cannot teach us about the size of the market defined as ``dry-skinned'', nor about the habits of product consumption. This may be learned only through market research. 2. Note the difference between this approach and the product- or production-orientation. We claim that we can forecast marketplace requirements by observing changes in products, which themselves follow the market changes. 3. Indeed, series of products already exist for various skin sensitivities (e.g. shaving cream for regular and sensitive skin).
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References Goldenberg, J., Mazursky, D. and Solomon, S. (1999) ``Toward Identifying the Inventive Templates of New Products: A Channeled Ideation Approach,'' Journal of Marketing Research, 36 (May), 200±210. Goldenberg, J., Mazursky, D. and Solomon, S. SelfCatalytic Innovations: Forecasting Incremental Innovations from Internal Information in technological systems Technological Forecasting and Social Change, (forthcoming). Goldenberg, J., Lehmann, Donald, R., and Mazursky, D. The Primacy of the Idea Itself as a Predictor of New Product Success a forthcoming MSI working paper. Griffin, A. and Hauser, J. R. (1993) ``The Voice of the Customer,'' in Marketing Science, 12, 1±26. Griffin, A. (1993), Obtaining information from consumers in the PDMA Handbook of New Products Development, John Willy & Sons, NY, 154±55. Rickards, T. (1998) Assesing Organisational Creativity: An Innovation benchmarking Approach, International Journal of Innovation Management, 2, 367±82. Rickards, T. and Moger, S. (1999) The development of benign structures : Towards a framework for understanding exceptional performance in project teams, International Journal of New Product Development and Innovation, 1. Quinn, B.J. (1985) Managing Innovation: Controlled Chaos. Harvard Business Review, May± June, 73±84. Srinivasan V., Lovejoy, W.S. and Beach, D. (1997) ``Integrated Product Design for Marketability and Manufacturing,'' Journal of Marketing Research, 34, 154±63. Urban G. L. and Hauser, J.R. (1993) Design and Marketing of New Products, New Jersey: Prentice Hall. Urban, G.L. and von Hippel, E. (1988) ``Lead User Analysis for the Development of New Industrial Products,'' Management Science, 34, 569±82.
Jacob Goldenberg is a Lecturer at the School of Business and Administration, the Hebrew University of Jerusalem, Israel. David Mazursky is an Associated Professor at the School of Business and Administration, the Hebrew University of Jerusalem, Israel.
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How Benign Structures can Support and Retain Creative Performance in Teams Susan Moger and Tudor Rickards We suggest that the concept of benign structure is important in understanding how creative leadership can intervene to support and sustain creative performance. We describe this insight with reference to the leadership observed in project teams of various kinds. Our interpretation of the evidence is that creative leadership produces benign structures which help teams pass through two structural barriers (`press') that bear on team performance. The weaker barrier requires help on inter- personal relationships. The stronger barrier requires help so that performance levels go beyond established and accepted norms. The benign become most obvious in the application of creative problem solving techniques.
O
ne of the more persistent themes within creativity research has been a search for systematic approaches that support creativity. The body of work most directly connected with stimulating creativity through structured interventions is that derived from the creative problem-solving approaches of Parnes and Osborn. The original attempts by Osborn to achieve excellence in team meetings led to brainstorming and subsequently to the international diffusion of a structured form of team brainstorming known as the Parnes-Osborn model. Considerable debate has developed regarding the legitimacy of structured techniques for stimulating creativity. Perhaps unsurprisingly, interest in developing theory in this area has also been limited. Yet, the techniques have retained some practical credibility as means of stimulating creative productivity. The creativity techniques have been studied mainly within teams, although some workers such as Edward de Bono have attended to techniques seeking to enhance individual. Studies at the level of the group have assumed that creativity is a valued, perhaps necessary, characteristic of teams generating new and valued outputs. However, an important issue has remained largely unexplored, namely the features that might differentiate creative teams from others that achieve `standard' or expected outputs. # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
This question emerged within an extended collaborative project between a Business School and a network of regional firms mainly operating in the manufacturing sector. For some years, teams of MBAs, using a creative problem-solving methodology developed from the Parnes-Osborn model, have worked with directors or owners of smallmedium enterprises to generate innovative ideas for change for the organisations. A panel of experienced and independent executives evaluates the outcomes of the project on criteria of relevance, originality and feasibility. Over the years, a pattern of team performance has been observed. The majority of teams reach roughly the same level of performance, making judging extremely difficult. From time to time, a team emerges with qualitatively superior performance rated on creativity including commercial relevance and applicability. These teams have become the focus of our investigations. What leads to such superior creative performance? Conversely, some teams under-perform, to a near catastrophic extent. What produces such unexpected poor performance levels? Advocates of creativity techniques and training have paid little attention to the possibility that teams may have to pass through stages of development prior to reaching optimal levels of performance. Similarly, researchers into the stages of team
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development have remained silent about the relationship between creativity training and ultimate performance characteristics of teams. We concluded that theories of team development and of team creativity needed to be integrated into a new framework. In this paper we take these ideas and show how they lead to an explanation for creative leadership.
Creativity and Team Development When left without further qualification, creativity in our treatment refers to a multifacetted process through which novel and relevant outputs emerge. Creative leadership is regarded as the behaviours associated with the role of team facilitator in the implementation of creative problem-solving systems such as Parnes-Osborn brainstorming. We also extend the term to a leadership style found in a wider category of teams than those using creative problem-solving techniques. The style seems to have much in common with transformational leadership (Bass and Avolio, 1990, 1994). We see barriers to team development as arising both from externally imposed constraints (environmental press) and from internally generated constraints (socially constructed barriers).
The Traditional Team Development Model Some years ago, after reviewing the literature extensively, Tuckman (1965) proposed a model of team development. His four stage model became well known for its `form, storm, norm, perform' sequence. A subsequent review by Tuckman and Jensen (1977) concluded that the literature generally supported the original model, to which a fifth stage (`adjourn') was added, as shown in Figure 1. The stages are today regarded as idealised, that is to say, the stages may have considerable face-validity as a general sequence. However, empirical observations of specific teams reveal complexities that can not be explained as a simple stage sequence. Teams may never attain a norm of performance, or may regress to an earlier stage of development. Nevertheless, the model retains its value as a simple means of discussing and exploring team dynamics. The model proposes an orientation phase (forming), which continues until personal conflicts are exposed and addressed (`storming'). The subsidence of the storm indicates that norms of behaviour have been estab-
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* Extra stage inserted later
Figure 1. The Stage Model of Team Development after Tuckman and Jensen (1977) lished. Team efforts then become directed towards tasks (performing). Finally, the team reaches some kind of termination - through task completion, or membership disruption (the additional stage of adjourning). At the core of the model is the implication that teams pass through several developmental stages prior to effective performance. The assumption is that intra-personal, and inter-personal needs have to be addressed before behaviour norms are established. Only then can task effectiveness be achieved.
Reworking the Tuckman-Jensen Model Based on our experiences with teams attempting to develop innovative products, we would consider two critical questions to be `what mechanisms are at play when a team fails to achieve expected performance?' and `what mechanisms lead to outstanding perform-
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ance?' These questions are shown in terms of the Tuckman-Jensen model in Figure 2. The questions can be answered if we consider a two-barrier model to creative performance in teams. This new framework (shown in Figure 3) reworks the classical model of team development to illustrate this point. The first barrier represents the interpersonal and intra-personal forces that have to be overcome prior to norm formation. We assume that the barrier is weak, in the sense of providing only a temporary obstruction, which most teams overcome. In contrast, again drawing on general understanding of the rarity of outstanding performance, we assume that the second barrier is a more difficult one for teams to pass through. It represents the forces that are overcome when a team breaks out of the conventional expectations within a particular social context such as a corporate culture. These two assumptions lead to our two-barrier hypothesis of team development. This can be formally stated as follows: `The performance characteristics of a comparable set of teams operating with common tasks can be accounted for
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in a developmental process that encounters two successive constraints or barriers to excellence. The first is a weak barrier through which most teams pass to achieve a shared standard of performance. The second is a strong barrier through which few teams pass. Teams that fail to pass through the weak barrier exhibit dysfunctional behaviour. Most teams pass the weak barrier, but then produce similar performances in terms of ideas, decisions, and observed structures and behaviours. Fewer teams pass through the strong barrier. These teams display exceptional creative performance that is easy to recognise when benchmarked against that of the majority of teams exhibiting standard performance outputs and behaviours.
Preliminary Empirical Studies of the Two-barrier Hypothesis We have tested the two-barrier hypothesis under two kinds of conditions. The first involved studies of project teams of business graduates engaged on realistic business
A two-barrier hypothesis
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Figure 3. A revised model of team development introducing a weak barrier to standard performance and a strong barrier to exceptional or creative performance challenges. The second occurred through access to the reports of multiple teams entering an innovation contest within a multi-national industrial organisation. Within a set of comparable teams dealing with comparable tasks, and provided with similar levels of training and information, the overwhelming majority attains the `acceptable quality' of standard teams. Infrequently, a team produces ideas and observed behaviours that are delightfully unexpected and creative. Even less frequently, a team fails to perform to a level that earns a pass credit. Perhaps we should add that even within the standard teams, the training in creative problem solving is reported as helping in establishing effective norms of behaviour. The general consensus is that the training at very least helps teams to move smoothly towards the norm/perform stage of development. Over a period of years working with such teams we would estimate that the frequency of dysfunctional teams ranges from 0%±15%. These are easily identifiable by tutors and fellow students, as well as through their
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inferior results. Outstanding teams probably crop up with a similar frequency. The second body of work through which we tested the two-barrier model became available when we gained access to nominations for an innovation award within a large corporation over a three-year period. Each year its ten divisions were invited to submit a nomination from their most effective and innovative project team. The intrinsic and extrinsic rewards for the winners provide high motivation for divisions to nominate their best performing team. Over the threeyear period there was a one hundred percent participation rate, so that we assessed 30 innovation projects. Only once was there an obvious winner. The innovation had been achieved in face of severe environmental challenges, and secured the corporation's position in a new international market remote from corporate headquarters. Of the remaining nominations, the great majority (27 out of 29) showed evidence of a high level of competence. This is a remarkable level of convergence of performance, consistent with strong corporate norms
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of quality. As a consequence, the assessor had to report to the board that there was no clear winner, in two out of the three years. In these years, the company resolved the problem by introducing additional and idiosyncratic criteria that permitted a winner to emerge! We also found two submissions that were so inferior to the others that the teams clearly failed to pass through the weak barrier. The work was below what would be expected of teams achieving the corporate norms of standard performance. (Our interpretation is that the corporate expectations lead to quite high standards of performance shared across what we have called `standard' teams. By the standards of another, less effective organisation, these might be classed as exceptional. However, the standard teams also have predictability in performance, lacking the kind of breakout thinking that transcends taken-for-granted assumptions). The two reports from teams we classed as dysfunctional, were the only ones that sought to place blame on others outside the group. It would be consistent with notions of team development to assume that these dysfunctional project groups had failed to learn the expected norms of behaviour attained by the majority of teams, including norms of self-sufficiency within allocated resources. Lack of experiential learning may be an important characteristic of teams that have difficulties in passing the weak barrier. A small number of dysfunctional teams, and a small number of exceptional teams had been found, together with a large number of teams of similar and standard performance. Such a profile of excellence supports the twobarrier framework we are proposing. The second study has the merits of more realism - each project team was engaged on a real-life industrial task. The results are also consistent with the view that effective large corporations are developing strong cultures in which innovation becomes a norm. In this instance there was an expectation that project teams overcome the innovative challenges within their regular work. However, the strong culture also serves as a ceiling to innovative breakthroughs, as well as a standard of excellence.
Creative Leadership and Benign structures The conceptualization of team development as involving two different kinds of barrier has encouraged us to search for mechanisms to improve team performance, and for means of reducing the impact of the barriers. Self-
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reports from teams receiving creativity training suggest that many teams are conscious of a barrier that seems to occur at the `storm' stage of the traditional team development model. This barrier is seen as one that most teams deal with through unconscious team processes. However, some teams mention that the difficulties of resolving team issues are assisted if a conscious effort is made to address roles and responsibilities. The process may be one that occurs without a great deal of conscious thought. However, the rationale of facilitative leadership is to provide creativity-enhancing structures. The possibility therefore emerges of creative leadership as moderating the environmental press through the provision of benign structures. The notion of creativity techniques providing a `set to break sets' is one that has been advocated by Parnes (1993). As we worked with these teams we began to think of the team leader in creative facilitator mode, as supplying such benign structures. If the leader is called in `just to do a brainstorming' there is the possibility of transient structure that lasts no longer than the brainstorming. If, however, the leader and team continue to apply the principles until they become `sets to break set' the benign structres become permanent. They replace some ingrained habits often found in teams such as negativity to new ideas, either-or thinking, and so on. The experimental evidence gives some support to this proposition. Several teams found value in training in De Bono's Six Thinking Hats technique (De Bono, 1987). This approach involves team members discussing a range of team roles in order to plan an agreed sequence of roles. For example, the team may first agree a structure (planning or blue hat thinking), The plan might involve fact finding (white hat) followed by problem finding (creative or green hat) and idea finding (green hat with supportive yellow hat), deferring strong evaluation for longer periods (black hat thinking). The team may also accept that some members have had strong emotional reactions that too often are suppressed. A space for such red hat thinking becomes important. The training provides means for a team to become more self-aware and to open up possibilities of more openness in identifying acceptable team roles. The teams that behave in exceptional fashion seem to have developed enhanced skills in dealing with a range of factors such as team climate, ownership of ideas, shared goals, and resilience to setbacks. In our training work we introduce a form of facilitative leadership that encourages team
The creative facilitator
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openness. This style seems particularly associated with transformational team outcomes noted by other workers (e.g. Bass and Alvolio, 1990, 1994). The exceptional teams are those that epitomise the principles behind the creative techniques such as a willingness to defer judgement (`search widely'), and to support one another's ideas (`hitch-hiking'). These characteristics are not simply shown in specially structured creativity sessions. They reflect attitudes that have become internalised into all the team's inter-personal interactions.
Implications for Creative Teams We have reached a somewhat unexpected finding regarding the use of creative problemsolving methods. For us, they are of value because they make more visible the processes of creative leadership. We see the application as a kind of social learning that has long term benefits in installing `benign structures' in the way the teams members interact. The Six Thinking Hats approach is but one example of a promising structure that helps teams through the weak barrier of norm formation. Training in other creative problemsolving systems seems to help teams to consider possibilities beyond habituated perspectives. But we also suggest that the direct application of the technique can be of minimal impact, if there is no understanding of how the leadership intervention operates. In relatively few cases, interventions may serve to accelerate progress through the strong barrier. It may well be that some of these teams
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would not have crossed the barrier without some such training. We conclude that the training will help a large number of teams to pass through the weak barrier so as to support the development of cohesive units with shared values and norms. At the more ambitious level, the training may help teams transcend norms thereby producing outstanding creative team results.
References Bass, B.M. and Avolio, B.J. (1990) `The implications of transactional and transformational leadership for individual team, and organisational development'. Research in Organisational Change and Development, 4, 231±272. Bass, B.M. and Avolio, B.J. (1994) Improving organisational effectiveness through transformational leadership. Thousand Oaks, Ca., Sage. de Bono, E. (1985) Six thinking hats. London: Penguin. Parnes, S.J., Ed. (1993) Sourcebook for creative problem-solving. Buffalo, NY: Creative Education Foundation Press. Tuckman, B.W. (1965) `Development sequence in small groups'. Psychological Bulletin, 63 (6), 384±399. Tuckman, B.W. and Jensen, M.C. (1977) `Stages of small group development revisited'. Group and Organisational Studies, 2, 419±427.
Susan Moger is a Research Fellow at Manchester Business School. Tudor Rickards is Professor of Creativity and Organisational Change at Manchester Business School.
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Creative Problem Solving Preferences: Their Identification and Implications Gerard J. Puccio Creative problem solving has been one of the most widely used and researched creative process models. The purpose of this study was to explore individuals' preferences for different aspects of this model. The main premise to this research is that the creative problem solving process involves a series of distinct mental operations (i.e, collecting information, defining problems, generating ideas, developing solutions, and taking action) and people will express different degrees of preference for these various operations within the model. This study describes the development of the Buffalo Creative Process Inventory, a measure designed to identify preferences in terms of the major operations within Creative Problem Solving. Factor analysis, and correlations with two established style measures, indicate much promise for this new measure.
I
n a general sense, creative problem solving refers to any activity during which an individual, team or organisation attempts to produce novel solutions to ill-defined problems. Given the pace of change in today's world, it is argued widely that this form of thinking is necessary for organisations to be competitive (Firestien, 1996; McFadzean, 1998; Mumford, Whetzel, and Reiter-Palmon, 1997; Rickards, 1990; Van Gundy, 1983). To help individuals think creatively, Osborn (1963) developed a model of the creative process called Creative Problem Solving (CPS). The Creative Problem-Solving model provides a structured framework for creativethinking principles, tools, and stages. In its current form, the Creative Problem Solving model includes three components, namely Understanding the Problem, Generating Ideas, and Planning for Action (Isaksen, Dorval, and Treffinger, 1994). These areas of operation can be further broken down into six stages. Understanding the Problem includes Mess-Finding, Data-Finding and Problem Finding. Generating Ideas subsumes a single stage called Idea-Finding, while Planning for Action includes Solution-Finding and Acceptance-Finding. Since its introduction, Creative Problem Solving has been subjected to years of research (Isaksen 1995; Parnes and Meadow, 1959; Parnes and Noller, 1972; Torrance and Presbury, 1984) and development (Isaksen, Dorval, and Treffinger, 1994; # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
Parnes, 1997; Noller, Parnes and Biondi, 1976). As a result, Creative Problem Solving has been identified as one of the most widely used and successful approaches for developing creative-thinking skills (Torrance, 1972; Torrance and Presbury, 1984). Initial research on Creative Problem Solving focused on establishing the model's effectiveness in developing creative-thinking skills. The most significant study within this era was the landmark Creative Studies Project conducted at Buffalo State College. Parnes and Noller's (1972) study demonstrated that training in Creative Problem Solving significantly enhanced students' creative-thinking abilities as measured by a battery of tests. Subsequent research and development went beyond impact issues and explored the interaction between the use of Creative Problem Solving and individual differences. One program of research was known as the 'Cognitive Styles Project' (Isaksen, Puccio, and Treffinger, 1993). The main thrust of this program was to identify how the way people organized and processed information influenced their use of Creative Problem Solving. The progression towards a more complex view of Creative Problem Solving paralleled a general call for researchers to undertake more ecological and interactionist approaches when studying creativity (Harrington, 1990; Woodman and Schoenfeldt, 1990). Early work tended to isolate the main facets of creativity,
Ecological and interactionist approaches
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namely aspects of the person, elements of the process, qualities of the product, and dimensions of the environment. More recent work has emphasized the interaction among these facets. The present study builds directly on the assertion that creativity is multi-faceted so that in order to understand its nature, we must examine how creative behavior emerges from interactions among person, process, product, and environment. The specific purpose of the present study, and the program of research encompassing this investigation, is to examine the link between the Creative Problem-Solving process and individual differences. The primary question addressed by this program of research is ``Do people express preferences for different stages of the Creative Problem Solving process?'' From an applied perspective, the goal is to help people become aware of their Creative ProblemSolving preferences so that they can better understand their strengths and weaknesses when solving problems creatively. This knowledge may help people to more skillfully solve open-ended problems by recognizing their natural tendencies and skills, and to use Creative Problem-Solving strategies to strengthen less-developed skills. With the above goal in mind, a measure was developed that identified individuals' preferences for the various stages of the Creative Problem-Solving model. This work is founded on four principles. One, the creative process is a way of thinking and solving problems that all normally functioning people have the capacity to do. Two, the creative process involves a set of mental operations and these operations can be delineated. Three, Creative Problem Solving is a useful framework for delineating operations within the creative process. Four, people possess preferences for different mental operations which are called cognitive styles. Therefore, it could be argued that people will express preferences for different areas of operation (i.e., components and stages) within the Creative Problem-Solving model. These principles guided the development of a self-report measure that would identify an individual's Creative Problem-Solving preferences. The measure was named the Buffalo Creative Process Inventory (BCPI) because of the rich Creative Problem Solving tradition associated with the city of Buffalo (USA), that is through the historic work carried out at the Center for Studies in Creativity and the Creative Education Foundation. If Creative Problem Solving is a useful way of looking at the creative process, then it should be possible to develop statements that represent the stages of the Creative Problem-
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Solving process. This is precisely what this study has done. The method section provides a detailed description of the BCPI. Research conducted by Kirton and Basadur closely relates to the development of the BCPI. First is Kirton's theory of cognitive style called Adaption-Innovation (Kirton 1976, 1994). Kirton suggested that people express characteristic differences in how they show their creativity. Rather than identify how much creativity people possess, Kirton's theory and measure focus on people's style of creativity. Kirton's theoretical continuum runs from a more adaptive orientation, that is a preference for working within the current paradigm or system to improve it, to an innovative orientation, which relates to a preference for challenging or going outside of prevailing paradigm or system. Kirton argued that both styles are equally valuable and as such one style is no more important or necessary than the other. Since its introduction in 1976, Kirton's theory and measure have received much attention. One area of productive investigation has focused on the interaction between the creativity styles defined by Kirton and aspects of the creative process. Pershyn (1992), for example, found that adaptors and innovators expressed their natural process for solving a problem creatively in qualitatively different ways. Rickards and Puccio (1992) found that when working on real problems in groups, adaptors and innovators reported making their best contributions at different locations within the creative problem-solving process. Adaptors felt they were most effective during the convergent phases (i.e., selecting, evaluating, and refining options), while innovators believed their best contributions came during the divergent phases (i.e., generating many diverse and original options). Moger (1997) found that adaptors and innovators express specific preferences for certain kinds of Creative Problem-Solving tools. These studies illustrate how Kirton's theory and measure have been useful in providing insights regarding the link between cognitive style preferences and a more general view of the creative process. These broader observations make it possible to deduce some general connections between individual preferences and the Creative Problem-Solving model, but since Kirton's theory was not developed with this model in mind, it is difficult to identify clear and explicit relationships between the adaptor-innovator preferences and the Creative Problem-Solving process. Basadur's (Basadur, Graen and Wakabayashi, 1990) development of the Creative Problem Solving Profile (CPSP) is more closely related
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to the line of investigation presented here. In fact, Basadur's work and this study share a common purpose, namely to help individuals identify their preferences for aspects of Creative Problem-Solving model. However, the theoretical foundations of the measures are substantially different. Basadur's measure is based on the assertion that two information processing dimensions are related to progression through the stages of the Creative Problem-Solving model. The first dimension refers to how people gain knowledge, anchored on one end by direct concrete thinking and the other end by detached abstract thinking. The second dimension relates to how people use knowledge. At opposing poles on this dimension is the use of knowledge for ideation versus the use of knowledge for evaluation. Four quadrants emerge when these two dimensions are crossed. The four quadrants relate to four distinct styles of creative problem solving. Quadrant I is formed by a preference for direct concrete experience and ideation. This style is called the Generator. Quadrant II emerges from detached abstract thinking and ideation, which Basadur refers to as Conceptualizer. The third quadrant is comprised of detached abstract thinking and evaluation. This style is called an Optimizer. Finally, the fourth style, labelled Implementor, results from a combination of direct concrete experience and evaluation (quadrant IV). Basadur suggested that each style reveals a person's preference for different stages of creative problem solving. Specifically, the Generator prefers Problem-Finding and FactFinding. The Conceptualizer prefers ProblemDefinition and Idea-Finding. Evaluation and selection relates to the Optimizer, while the stages Gain Acceptance and Action are preferred by the Implementor. The measure presented in this paper differs significantly from Basadur's approach to Creative Problem-Solving styles. The BCPI is based on descriptive statements of activities associated with each stage of the Creative Problem-Solving model and does not assume the existence of underlying information processing preferences. The BCPI requires that respondents consider how descriptive various creative problem-solving activities are of them. Another key distinction between Basadur's measure and the BCPI relates to the items contained in the respective measures. Where Basadur's measure features sets of four words that are then rank ordered by the respondent, the BCPI uses descriptive statements of process activities that represent different operations within each stage of the Creative Problem-Solving model.
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The purpose of the present study was twofold. First, to report on the initial development of the BCPI. Second, to examine the relationships between the styles measured by the BCPI and those associated with Kirton and Basadur's style instruments.
Methods The 198 participants (51 male, 80 female, 67 not reported) in this research study were involved in various creativity programmes and courses delivered by faculty of the Center for Studies in Creativity. Most of the participants were working professionals. Specific groups included in the sample were university professionals, employees from small local companies, and graduate students enrolled in a creativity workshop. All participants completed the BCPI. Thirty-six completed both the BCPI and Basadur's measure and 57 completed both Kirton's measure and the BCPI. The study involved three paper-and-pencil self-report measures. They were completed by the participants either before or during their respective courses. The BCPI contains 50 items designed to describe various activities associated with the CPS process. The items were originally created to reflect distinct activities associated with the six stages of the CPS process (i.e, Mess-Finding, Data-Finding, Problem-Finding, Idea-Finding, Solution-Finding, and Acceptance-Finding). This was accomplished by considering the purpose of each stage. For example, the statement ``I enjoy spending time looking beyond the initial view of the problem'' was designed to measure an individual's preference for the Problem-Finding stage. A number of earlier versions of the BCPI were used to identify items that appeared to work best. This was accomplished through inter-rater agreement (i.e., experts who categorized the statements according to CPS stages) and statistical analysis of the items (i.e., correlations, factor analysis, Cronbach alpha). The respondent is asked to indicate the extent to which each item describes him or her by placing an `x' along a five-point scale ranging from `not like me at all' (1) to `very much like me' (5). Kirton created a 32-item measure, the Kirton Adaption-Innovation Inventory (KAI), to assess people's preferences along the adaptorinnovator continuum. The measure yields four scores: three subscale scores and a total score. One subscale, called Sufficiency of Originality (SO), assesses the extent to which individuals' either prefer to proliferate
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original ideas when faced with a problem (an innovative tendency) or to focus on a smaller number of workable ideas (an adaptive tendency). Another subscale focuses on individuals' preferences to be thorough, precise and methodical (an adaptive trait). This scale is called Efficiency (EFF). The third subscale, called Rule/Group Conformity (RGC), measures a respondent's preference to either respect (adaptive) or resist rules and authority (innovative). The combined subscales produce an individual's overall adaptorinnovator preference. The total score ranges from 32, the adaptive pole, to 160, the innovative pole. Numerous studies have shown the KAI to be psychometrically sound (Kirton, 1976, 1994). Basadur's measure, the Creative Problem Solving Profile (CPSP), features 18 sets of four words. The respondent is asked to rank these words from most to least descriptive of himself/herself. Twelve of these sets are used to calculate the preference scores, the remaining six are distractor items. The sets of words are presented in four columns. The columns are summed to identify the respondent's scores for the two ways of gaining knowledge (i.e., experiencing and thinking) and two ways of using that knowledge (i.e., ideation and evaluation). As described earlier, the four specific CPS preferences (i.e., Generator, Conceptualizer, Optimizer, and Implementor) are determined by the combination of scores across the two dimensions.
Results Since the BCPI is under development, the first step in the analysis was to factor analyse the items to determine if the theoretical structure of the measure would emerge (i.e., the six stages of the CPS model). Principal components analysis was used with varimax rotation to extract discrete factors. This analysis yielded 12 factors. The items and their loadings on the first six factors are shown in Table 1. The remaining factors are not shown. They were defined by a single item. Table 1 displays the stage for which the item was originally intended and its loading in the factor matrix. This matrix includes only items with loadings 5.30. The factor analysis did not produce a matrix that had a perfect one-to-one relationship with the six stages of the CPS process. However, in examining the items closely it was easy to identify specific themes that clearly related to areas of operation associated with Creative Problem Solving. Factor 1 was comprised primarily of Idea-Finding items
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(i.e., 5 of 11 items) and other items that focused on the use of imagination to generate novel ideas. The clear theme among all these items was an attraction to work with unique ideas and a preference for divergent thinking. For example, the item with the highest loading was ``I enjoy stretching my imagination to produce many ideas.'' This preference was called the `Ideator'. The second factor was made up mostly of Solution-Finding items (i.e., 5 of 12 items) and items from other stages that focused on evaluating and refining ideas into workable solutions. Among these items was a heavy emphasis on analysis and convergent thinking. For example, the highest loading item was ``I like to generate all the plusses and minuses of a potential solution.'' This factor was referred to as the `Developer'. The third factor was defined by Solution and Acceptance-Finding items. The core theme among these items was a focus on taking action. Here the items were concerned with executing solutons and bringing ideas to fruition. Therefore, this factor was referred to as the `Executor' preference. The statement ``I really enjoy implementing an idea'' had the highest loading. Factor 4 was comprised primarily of items from the MessFinding and Data-Finding stages. The theme among these items was a focus on taking in information and looking at a problematic situation from the broadest perspective. For example, ``I like to take in the whole picture'' had the highest loading. This preference was referred to as the `Collector'. The fifth factor was comprised of only three items. Two of these items were virtually identical, therefore the factor was excluded from further analysis. Finally, the sixth factor was dominated by Problem-Finding items (i.e., 3 of 4 items) that focused on developing precise statements of the problem. ``I like to focus on creating a precisely stated problem'' had the highest loading. This preference was referred to as the `Clarifier'. To compare the BCPI to the other measures, scores were created for the five style preferences described above. These scores were based on the sum of the respective items for factors 1, 2, 3, 4, and 6. Items that loaded on more than one factor were included only in the scale for which they had the highest loading. Table 2 displays the number of items and descriptive statistics for the scales associated with the three respective measures. Also, alpha coefficients were calculated for the BCPI and Badadur's CPSP, but not for the KAI since its reliability is well established. After the preference scores were generated for the BCPI, these five preferences were compared with the four preferences identified
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Table 1. Factor Analysis of the BCPI (N=198)
CPS Stage
Factor 1 Ideator
PF IF IF Neutral PF IF IF SF PF MF IF SF SF AF PF AF AF PF DF SF SF SF MF AF AF AF SF SF AF MF DF SF MF DF MF SF SF AF PF PF PF SF Eigenvalue % of Variance
.79 .79 .72 .71 .64 .59 .59 .56 .55 .54 .48 .39
Factor 2 Developer
Factor 3 Executor
Factor 4 Collector
.49 .32 .48 .74 .70 .66 .62 .62 .58 .56 .47 .42 .40 .37 .32
.41 .32 .30
.33 .33 .30
.75 .73 .57 .54 .54 .53
.33
.69 .57 .55 .42 .39 .36
.32
3.77 38%
.86 .85 7.34
.33
.32
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Factor 6 Clarifier
.32
.49
14.69 29%
Factor 5
2.50 42%
1.85 45%
1.71 49%
.74 .54 .50 .42 1.51 52%
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Table 2. Descriptive Statistics and Alpha Coefficients for the BCPI Preference Scores Scales
# of Items
Mean
SD
Alpha
BCPI (n=198): Clarifier Collector Ideator Developer Executor
4 6 11 12 6
12.48 22.59 38.20 39.82 21.80
3.12 3.96 8.58 8.81 4.79
.70 .75 .90 .89 .84
Basadur'sCPSP (n=45): Experiencing Thinking Ideation Evaluation
12 12 12 12
98.65 46.14 16.24 36.27
13.45 6.25 3.61 7.47
.78 .67 .75 .73
KAI (n=57): Total SO EFF RGC
32 13 7 12
88.54 39.26 16.51 33.00
12.51 7.24 3.92 6.97
Note: `n' indicates the total number of subjects who completed each measure. Due to missing data the `n' for the respective subscales varies slightly.
by the CPSP and the total and subscales for the KAI. The four CPSP preferences were created as follows: Generator = Experiencing 6Ideation; Conceptualizer = Ideation6 Thinking; Optimizer = Thinking6Evaluation; and Implementor = Evaluation6Experiencing. The correlation matrix between the BCPI and the KAI yielded seven significant coefficients (n=57). The only one sigificant correlation that emerged between the KAI total score and the BCPI preferenceswas found for Ideator and Kirton's innovator style (r = .44, p5.001). This is theoretically consistent since the innovator likes to toy with ideas. Examination of the subscales showed that this relationship is driven by a strong positive relationship between the SO subscale and Ideator (r = .76, p5.001). The preference to proliferate original ideas (SO) appears to be related to the Collector style (p = .37, p5.01), that is a preference to search broadly for information about a problem. The remaining positive significant relationship between SO and Executor was unexpected (r = .40, p5.01). A preference to produce many original ideas and a desire to bring one's ideas to fruition appears to be antithetical, as many creative process models make a distinction between coming up with ideas and implemeting those ideas. Further exploration of this relationship
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is required. The three negative relationships are readily interpretable. The preference to develop and refine ideas into workable solutions (Developer) correlated with a concern for efficiency (EFF; r = -.32, p5.05) and conformity (RGC; r = 7.27, p5.05). The correlation matrix also showed that creating a precise statement of the problem (Clarifier) related to conformity (RGC; r = 7.29, p5.05). These relationships indicate that defining problems and refining solutions would appear to be adaptive qualities. Analysis of the CPSP and the BCPI produced three significant coefficients (n=36). A significant positive relationship was found between Conceptualizer and Ideator (r = .37, p5.05). Basadur suggested his Conceptualizer has a preference for the Idea-Finding stage. Ideator was negatively correlated with Basadur's Implementor style (r = 7.46, p5.01). This appears to make sense as people who prefer to use their imagination to think divergently about ideas appear to be less apt to enjoy the analysis and convergent thinking necessary to implement a solution. Taken together the positive and negative coefficients yielded by the Ideator factor seems to be theoretically consistent with Basadur's work. That is Basadur's model suggests that the Conceptualizer and Implementer are in opposing quadrants.
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The remaining significant relationship is curious, that is the negative relationship between Executor and Optimizer (r = -40, p5.05). This may indicate that Executors are so preoccupied with implementing, that they have little patience for refining and developing rough ideas.
Discussion The results of the study highlighted the promise of identifying and assessing individuals' preferences for different aspects of the creative problem-solving process. Although the factor analysis did not produce factors that directly corresponded to the six stages of the Creative Problem-Solving model, it did yield five clear clusters of items that can be easily related to the creative process. The preliminary comparison of the preferences associated with the BCPI with the two previously established style measures provided some evidence for the former's validity. In general the relationships among the measures were in the theoretically expected directions. For example, Kirton's innovators prefer to collect diverse bits of information and to use their imaginations to generate ideas, while adaptors seem to prefer clarifying the problem and developing solutions. Correlations with Basadur's measure also generated expected relationships, such as the relationships between Conceptualizer and Ideator. Although, it is surprising that given the similarity in purpose there was not a greater number of significant correlations between the CPSP and the BCPI. This may be due to the small sample size, the format of the measures, or the underlying theoretical foundation of the respective measures. Results from this initial investigation of the BCPI shows that the measure holds some promise for both theoretical and applied work. From a theoretical stand point, the BCPI provides a tool to test and explore the CPS model. The structure of the BCPI presents a method for verifying the efficacy of the CPS framework. In other words, is there support for making distinctions among certain process stages? Also, it provides an effective means to operationalize interactionist research that links person to process. Such work may reveal the extent to which individuals' inherent approaches to the creative process can be interpreted via the CPS model, as well as reveal qualitative differences among people who express different preferences. Finally, the BCPI can be used as a tool in person-environment fit research, that is understanding outcomes associated with the
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congruence between people's creative process preferences and aspects of the creative process most required by their jobs. There are two primary applied implications associated with the BCPI. The first relates to the individual. Knowledge regarding one's preferences for aspects of the creative process can enhance individual effectiveness. Once understood this information can help the individual better use his or her talents, as well as develop strategies for coping with tasks that require aspects of the creative process which are least preferred by the individual. Information about creative problem-solving preferences might prove to be a very useful orientation to creativity courses. This work also presents some clear implications for problem-solving teams. A profile of a team's creative problem-solving preferences would help the team to work more effectively. It may enhance communication and certainly foster an appreciation for differences. The BCPI provides a mechanism for making the CPS framework personally relevant to both individuals and teams. Once the structure of CPS is made explicit, and preferences for various aspects of this structure are understood, individuals and teams are in a much better position to use metacognitive strategies to enhance their creative process. This study took an initial step in examining the usefulness of the BCPI. In a field that contains many more home grown measures than tools that have been subjected to sustained research (Puccio and Murdock, 1999), the BCPI seems to offer hope of a reliable measure that links person to the creative process. Future work is needed to confirm the factor structure, replicate and extend the present study, establish the measure's predictive validity, and develop a deeper understanding of the respective preferences identified by the BCPI.
Relating items to the creative process
Acknowledgements The author gratefully acknowledges the helpful advice provided by Dr. Andrew Joniak, Associate Professor of Business and Alex F. Osborn Visiting Professor of the Center for Studies in Creativity, Buffalo State College. The author also thanks Dr. Min Basadur for his kind permission to use his measure.
References Basadur, M., Graen, G. and Wakabayashi, M. (1990) Identifying individual differences in creative problem solving style. Journal of Creative Behavior, 24, 111±131.
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Firestien, R.L. (1996) Leading on the Creative Edge: Gaining Competitive Advantage through the Power of Creative Problem Solving. PinÄon Press, Colorado Springs, USA. Harrington, D.M. (1990) The ecology of creativity: a psychological perspective. In Runco, M.A. and Albert, R.S. (eds.), Theories of Creativity. Sage, Beverly Hills, USA, pp. 143±169. Isaksen, S.G. (1995) On the conceptual foundations of Creative Problem Solving: a response to Magyari-Beck. Creativity and Innovation Management, 4, 52-63. Isaksen, S.G., Dorval, K.B. and Treffinger, D.J. (1994) Creative Approaches to Problem Solving. Kendall/Hunt, Dubuque, USA. Isaksen, S.G., Puccio, G.J. and Treffinger, D.J. (1993) An ecological approach to creativity research: profiling for creative problem solving. Journal of Creative Behavior, 27, 149±170. Kirton, M.J. (1976). Adaptors and innovators: a description and measure. Journal of Applied Psychology, 61, 622±629. Kirton, M.J. (ed.) (1994) Adaptors and Innovators: Styles of Creativity and Problem Solving (rev. ed.). Routledge, London, UK. McFadzean, E. (1998) The creativity continuum: towards a classification of creative problem solving techniques. Creativity and Innovation Management, 7, 131±139. Moger, S. (1997) ``Structured Techniques for Supporting R&D and Design Activities: A study Extending the Preference ± Practice ± Performance Model of Basadur, Graen and Green'', Proceedings of The R&D Management Conference, Manchester, UK. Mumford, M.D., Whetzel, D.L. and Reiter-Palmon, R. (1997) Thinking creatively at work: organizational influences on creative problem solving. Journal of Creative Behavior, 31, 7±17. Noller, R.B., Parnes, S.J. and Biondi, A.M. (1976) Creative Actionbook: Revised Edition of Creative Behavior Workbook. Charles Scribner's Sons, New York, USA. Osborn, A.F. (3rd ed.) (1963) Applied Imagination: Princples and Procedures of Creative ProblemSolving. Charles Scribner's Sons, New York, USA.
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Parnes, S.J. (1997). Optimize the magic of your mind. Creative Education Foundation in Association with Bearly Limited, Buffalo, USA. Parnes, S.J. and Meadow, A. (1959) Effects of brainstorming instruction on creative problem solving by trained and untrained subjects. Journal of Educational Psychology, 50, 171±176. Parnes, S.J. and Noller, R.B. (1972) Applied creativity: the creative studies project: part II ± results of the two-year-program. Journal of Creative Behavior, 6, 164±186. Pershyn, G.S. (1992) An Investigation into the Graphic Depictions of Natural Creative Problem Solving Process. Unpublished master's thesis, State University College at Buffalo, Buffalo, USA. Puccio, G.J. and Murdock, M.C. (Eds.) (1999). Creativity Assessment: Readings and Resources. Creative Education Foundation, Buffalo, USA. Rickards, T. (1990) Creativity and Problem-Solving at Work. Gower, Aldershot, UK. Rickards, T. and Puccio, G.J. (1992) Problem finding, idea finding, and implementation: an exploratory model for investigating small-group problem-solving. In. Barrar, P. and Cooper, C.L. (eds.), Managing Organisations in 1992: Strategic Responses. Routledge, London, UK, pp. 247±263. Torrance, E.P. (1972) Can we teach children to think creatively? Journal of Creative Behavior, 6, 114±143. Torrance, E.P. and Presbury, J. (1984) The criteria of success used in 242 experimental studies of creativity. The CreativeChild and Adult Quarterly, 9, 238±243. VanGundy, A.B. (1984) Managing Group Creativity: a Modular Approach to Problem Solving. American Management Association, New York, USA. Woodman, R.W. and Schoenfeldt, L.F. (1990). An interactionist model of creative behavior. Journal of Creative Behavior, 24, 10±20.
Gerard J. Puccio is Director of the Center for Studies in Creativity, State University College at Buffalo, Buffalo, New York, USA.
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What Blocks Creativity? A Managerial Perspective John C. Groth and John Peters Barriers and inhibitors block creativity and suppress or drive into hiding the creative talents of individuals and limit or destroy ``creative willingness.'' The paper reports on perceived blocks to creativity based on ``face to face'' input from over 1700 people, 67 groups, over a tenyear period.
Introduction
T
he creative talents of people are a valuable resource for an organization. The mind is the source of ``human leverage.'' The creative genius of people provides opportunity for leverage of human capital. Leaders and managers face the challenge of releasing, nurturing, and focusing the creative talents of individuals to achieve desired effect. ``Barriers'' and ``inhibitors'' block ``creative willingness.'' Inhibitors consciously or unconsciously influence creative willingness. Real and perceived barriers and inhibitors may exist. Since perceptions influence behavior, even false barriers are of import to those who desire to increase creative willingness. Barriers or inhibitors block, suppress, and drive into hiding the creative talents of individuals.1 Barriers thwart the efforts of the leader and/or manager who seek to bring human creative talent to focus on achieving goals. There are some distinctions between barriers and inhibitors. On another occasion we will examine the characteristics of barriers versus inhibitors. In this paper the use of barriers/ inhibitors interchangeably offers acceptable simplification. A variety of factors inhibit people in their willingness to use their creative talents. One might speculate on the inhibitive forces. Instead, the authors decided to ask managers, face to face, what factors inhibit their creative willingness. This paper reports on what men and women feel constrains or inhibits the creative willingness of people in their work environment. The reports from managers reflect ``face # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
to face'' input from a large number of people in a controlled setting over more than a fouryear period. The results are of interest to the practicing leader and/or manager, individuals, and researchers. A leader often is intent on tapping the creative genius of people.2 A leader resolved to releasing, nurturing, rallying and focusing the creative talent of the human resources of his or her organization will find this paper interesting, informative, and relevant. A manager charged with the responsibility of human resource management may desire to release and focus the creative talents of people to achieve particular ends. The results provide the prescription for managing an environment that allows the emergence of the creative talents of employees. Individuals will find the results intriguing and recognize a number of the inhibitors reported by others as personally relevant. Readers also may identify ways to enhance access to their own creative talents. Researchers will find the findings important for several reasons. Researchers have explored factors that inhibit people in their willingness to use creative talents. This report is more ammunition for increased research aimed at providing practical assistance to leaders, managers, and individuals in their efforts to release the creative talents of humans. The profession has an opportunity to assist others in releasing, nurturing, and focusing creative talent for great effect. The timing is right: more businesses and organizations are recognizing and accepting the prospect of great leverage of mind. As researchers and consultants, we can and should
Barriers and inhibitors
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help them find and place the lever and fulcrum ± and instigate movement in mind. The motivation for this work stems from the interplay of two perspectives. . The frequently observed unwillingness to
access, have trust in, and benefit from people's creative talents. . From reports of others and personal observation ± sometimes under the worst of circumstances ± of the breakthrough of creative talent with resultant incredible effects. Curiosity prompted us to ask people to identify barriers perceived to block or inhibit creative willingness. The paper provides a brief sketch of selected relevant items from the literature, followed by background information for this study. Next follows a description of the method employed to glean the information from managers. Then the paper provides the findings, offers some speculations, and closes with a summary. The sources or causes of perceived barriers to creative willingness are important. The remarkable effectiveness of factors in the suppression of creative talents also holds interest. A second paper will focus on the process and factors of influence that have blocked ± for many ± access to the creative realm of the mind.
Background Often people think of creativity and the creative act in a limiting sense ± perhaps yielding a work of art that hangs in a museum or a new symphony. We characterize creativity in a broad context. Words of A. Koestler superbly capture the spirit of the more inclusive definition: ``. . . the defeat of habit by originality.'' The challenge of motivating, leading, and focusing the talents of each person in a work force ± rather than only a select and small set of individuals typically characterized as creative ± prompt the broad stroke to creativity. Figuring out a clever way to move a product more efficiently to the customer, discovering how to reduce the wear on a cutting tool, diagnosing an intermittent fault on a complex piece of machinery, knowing the precise words to favorably influence behavior ± all represent harvest from the creative genius of people. A short voyage through and sampling of the recent literature support our efforts. Research and writers have discussed and offered valuable insights on creativity in the work-
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place as well as the nature of the creative process. For an excellent review and to stimulate thoughts and offer perspectives on the theory of creativity, we commend the works of Amabile (e.g., 1998), Busse and Mansfield, and Rickards (e.g., 1973, 1981, 1991, 1991). The Busse and Mansfield contribution offers both insights and ample stimulation on the nature of the creative process. The works of Rickards collectively lend an appreciation of factors and important perspectives on global as well as micro issues related to creativity. Rickards, and Rickards and co-authors, also show ample appreciation of the practical aspects of providing for and stimulating creativity and innovation. The Rickards and Jones (1991) work offers background of particular import to this paper. A sampling of the works of these researchers appears in the references. In addition to these contributions, in terms of both theory and application, other literature also identifies some of the difficulties encountered in fostering creativity in the workplace. Lee (1998) points to a focus on new products that offer real differentiation as a backlash to the endless stream of ``me-too'' products in recent years. Lee predicts that the path to future successful products will demand a sufficiently different paradigm from existing algorithms for product development. The author calls for the development of ``ideas culture'' environments in which individuals are not afraid to question accepted practice. Ogilvie (1998) argues against the relevance of using old approaches to new problems and takes issue with the planning process. Ogilvie also targets imagination as an underused part of strategic planning. His prescription suggests creative, action-based decision-making processes supercede the traditional strategic planning processes. Others address the fostering of creativity. Morand (1998) discusses the recent trend towards ``casual Fridays'' in relaxation of dress codes. He points to informality as a tactic employed in hopes of encouraging social familiarity and status leveling with the intent of fostering creative thinking. A change in atmosphere perhaps signaled by change in acceptable dress hopefully develops free-flowing communication networks and individual creativity. On a similar theme, Houlder (1998) cites examples of how the exercise of business discipline over creativity can lead to clashes of culture. Houlder recommends the need for the special handling of creative people and the need for management controls to keep creative organizations on the rails. He also stresses the role of skilled leadership and of
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the challenge of the work itself in inspiring creativity. We find it somewhat curious that actions aimed at increasing the willingness of people to engage in creative thoughts and possible actions would target a particular day in the week. We suspect the distribution of opportunities and problems do not recognize the need to appear only on Fridays. Similarly, although a change in dress code may alter behavior, a change in the historically imposed dress codes of the mind seems more appropriate. Buckler (1998) suggests that the predominance of ``taught learning'' ± as opposed to ``discovered'' learning - is stifling creativity and innovation. Bentley (1998) criticizes managers who scorn `touchy-feely stuff,' arguing that ``The soft stuff is really the hard stuff.'' Bentley also promotes the notion that people work best together when they have mutual respect and care for each other's interests.
The Harvest: Managers Views The setting The observations stemmed from individuals in management education programs. Each program was one, two or three weeks in length. A six to eight hour block of each of these programs focused on creativity. This segment occurred at the end of each program. Consequently, having worked and socialized together, the individuals were reasonably familiar with one another. Hopefully, this made people more comfortable in volunteering thoughts and opinions. In 16 of the 67 programs, one author had worked with participants prior to this session for a day in an unrelated area.
The sample Nearly all of the individuals were mid-level or first-level managers. One small group of six people consisted of the president of a division of large firm (revenues of billions) and the five top vice presidents. Three individuals (two in one group and one in the small six-person group) previously had participated in another program in which the seminar leader spoke on creativity. For the other groups, this day was the first exposure of the seminar leader to the participants.
Bias The people included in management development programs likely do not represent the
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population at large or even, a particularly subgroup. Consequently, we do not extrapolate the findings to a particular population. Nevertheless, these individuals represented interesting sources. Available data will not support a particular conclusion about the representatives of the sample. Although a biased sample, one suspects these individuals enjoyed similarities with the many thousands of others employed in similar positions. Second, speculations suggest the level of these managers results in them being more familiar with the attitudes and perceptions of a broader array of people in the work environment concerning barriers to creativity. Except for the group of six top-level executives, these people, as a matter of daily routine, interact with a diverse array of people ``who do the work.'' Managers at a higher level in an organization may well remain insulated from input from subordinates on this topic ± especially given one of the most cited barriers. The total sample consists of 1781 people in 67 different groups. These individuals had employment with for profit, non-profit, government agencies, and the military. Approximately five percent had heritage in foreign countries and ``grew up'' in different cultures.3 The garnering and recording period for this information covers March, 1992 to February, 1998. The nature of participants initially argued for dividing the 67 groups totaling 1781 people into three major subgroups. Twelve of the 67 groups contained total of 199 people having a mix of employers. Twenty-five groups with a total of 801 consisted of people directly or indirectly involved in the retail industry. They all had the same employer. These individuals did have responsibilities and experience spread over a variety of functional areas ± not just directly related to point of sale. The remaining 30 groups clearly represent a very biased sample. The 781 individuals in these 30 groups may have had various backgrounds but currently are all one profession. Each of these people was in the law enforcement profession and employed in Texas. Their employers ranged from state agencies, to large metropolitan police forces, to counties, to small villages. Their positions ranged from chief to first level supervisor. These participants likely do not represent any kind of a sample of the ``full population.'' This biased sample offered the prospect of unusual and interesting observations allowing comparison between this ``different culture'' and the results of the more diverse groups. The reports from these individuals were not as expected. On reflection, the nature of their
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responses might in fact strengthen the potential conclusions of the study.
participants prompted the leader to seek clarification before continuing.
Method
Specific Exercise
Pre-exercise. Participants were not aware of the nature or content of the individual sessions or ``exercises'' prior to the beginning of each session and or exercise. They knew only the topic for the day. Purposely the participants had no reading assignments or prior preparation related to the segment. The intent was to avoid the effects of previously presented program materials, readings and discussions on how individuals might respond. The objective was to avoid directing behavior, thoughts, and responses during the exercises. Naturally, people may have arrived with some prior notions and exposure to issues related to creativity. We have no details on any special background in this area except for the three previously mentioned. Excluding the three from the session was not practical. Except for these three people, post-program evaluations indicated the sessions on creativity had been a unique, ``first of its kind,'' experience.
Environment Participants were in a neutral environment. Except for the one small group of six, the ``superiors'' of participants were not present. In several instances, one or more people in each group were from the same organization. We assured participants, and it was in fact true, that we did not relate responses to any individual. Second, prior to any exercise or discussions, the program ``catalyst'' advised participants that: individual worksheets from exercises would remain personal, and not collected; participation was voluntary with no coerced public response; notes made only reflected the comments of people and the date and name of the group. Real time note taking using an overhead projector allowed participants to both observe and offer any corrections or additions. To avoid influencing comments, the seminar leader explained he would defer comments until after all others had the opportunity to speak. Visual cues from writing comments in view of the group may have triggered or influenced successive comments. Given the audience had already heard the comments, displaying notes as made seemed more important to assure people notes did not relate comments to names. Failure to understand a comment by the seminar leader or
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We invited the group to offer voluntary contributions. The harvest of their opinions and feelings occurred in a near spontaneous fashion. The results that form the basis for this paper stem from one segment of the program and an exercise. No one was aware of the nature of the exercise prior to the beginning of the session. Other discussions with the full group and small group exercises on different topics preceded this particular exercise. These served to break the mindset and make people more at ease in sharing thoughts and ideas. The harvest of managers' views proceeded in two stages. First, people met in groups of four or five. Next, all these subgroups returned for a joint session. Purposely, we did not provide the opportunity for advanced thought concerning the exercise. The discussion leader gave instructions in two minutes or less, indicated the desire for spontaneity, started the clock, and sent the small work groups to separate rooms. The instructions indicated the short time allowed for each stage of the exercise. The instructor urged the participants to quickly jot notes in word or outline form. He also asked that members of a group not argue or debate the relevance of an offering from a person. The intent was that the small groups identify as many possible barriers or inhibitors in the short time allowed ± and not reach conclusions about the relevance or importance of any particular barrier. In some sense, because of the strict and short time limits and absence of advanced preparation, one might term the responses spontaneous. The exercise tasked participants with identifying: . On a personal basis, perceived barriers to
creativity in the work and personal environment. Instructions called for silence during the first few minutes of the group meeting to allow each person to make individual notes before others offered comments. Individuals were free to edit/ add to their personal comments as a result of group discussions. . Inhibitors to creativity that were likely common across all people in any corporate or organizational setting. (Group discussion.) . Perceived barriers to creativity in the corporate/organization setting in which they worked.
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In addition to the verbal instructions, each person received written directions on the sheet on which he or she recorded responses. Individuals knew that we would not collect their individual work sheets and we would not compel anyone to share items on a sheet. The intent was that individuals not feel inhibited or potentially embarrassed the recording of a barrier. Recall that the directions called for each person to first focus individually on identifying factors that personally inhibited creativity. The work sheet provided space for each person to jot notes reflecting personal perceived barriers to creativity. In terms of individual assessment, individuals considered barriers without distinguishing between the personal and professional environment. After the allotted five minutes, individuals shifted to discussion in the small groups of four or five people. Once again, participants focused on barriers to creativity in both the personal and professional setting. Intentionally, the time for the work group period was also short, only fifteen minutes. We favor the short work time since we believe it promotes spontaneity. The small groups now returned to the joint or full group session. The discussion catalyst (as opposed to leader) served as the public scribe in the full group session. With rare exception, individuals seemed open and eager to share factors they identified as inhibitors or barriers to creativity. In several instances of each program, the scribe had to slow the responses since he could not scribble fast enough, even using abbreviations, to note the comments. People were not restricted to making comments related to barriers previously recorded on worksheets during the subgroup sessions. Participants were free to share new thoughts stimulated and released during the full group period. The sharing of responses often triggered such additional thoughts. During the harvest of thoughts some reported that individually or in their group they had identified the same factors reported by the other work groups. Given the nature of the process, the reported factors were in no particular order. Since we purposely did not collect individual worksheets, we can not offer frequency data based on individual responses.4 Any apparent order in the summary ``data'' in this paper reflects order of emergence of the inhibitors in the full groups' sessions. It does not reflect reported order from separate work groups or individuals.
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Analysis The authors purposely avoid the too common temptation to somehow subject the ``data'' to some form of statistical analysis. In this instance, such analysis would be statistically indefensibly, add little, and risk subtracting much. The data simply do not support such manipulation or test. Instead the paper shares what mangers report, then offers comments of potential insight, and leaves the ultimate conclusions to the reader. The ingestion, digestion, and contemplation by readers of the ``results'' offer greater promise than any summary statistic.
Managers Report The results suggest visual cueing was not a problem. Findings represent the harvest from full groups, not from the small work groups. A representative summary of the full gathering from one group appears in Table 1. Table 2 provides the most commonly cited factors in the full group ``public'' report. In every single instance for all 67 groups:
Table 1. Perceived Barriers To Creativity Sample Group Response Reported Inhibitors . . . . . . . . . . . . . . . . . . . . . . . .
Fear of Failure Lack of Confidence Environmental Factors Fear of Rejection Fear of Success and its Consequences Fear of Challenge Routines Habits Paradigms Pre-conceived Notions Rules Standards Tunnel Sight Internal Barriers Structure Socialization External Barriers Money Rebellion Health and Energy Mood Attitudes Desire Time
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Table 2. Perceived Barriers To Creativity: Most Common Responses Reported Inhibitors (not ordered) . . . . . . . . . . . . . . . . . . . . . . . . .
Fear Intrusion of Daily Tasks Peer Pressure Lack of Tools/Resources Stress Expectations Environmental Factors Barrier of Money Rules Standards Regulations Time [lack of] Rebellion (not willing to fight system) Health Problem, Lack Energy Stress Expectations Habit Dependency Mood Lack of Interest/Motivation Lack of Desired Environmental Response Recognition Societal Norms Fear of Criticism Work Constraints (``work so demanding, trying that . . .) . Health
. . . . . . . . . . . . . . . . . . . . . . . . . . .
. ``Fear(s)'' of various ``types'' surfaced as a
A summary of what managers told us yields a few important precipitates.
factor or importance. . ``Fear(s)'' was the first factor mentioned in 46 or 47 of the 67 groups. . ``Fear(s)'' was one of the first three inhibitors reported in 63 or 64 of the 67 groups.5 The nature of ``fear'' varied. Some examples of fears included the fear of failure; of rejection; of ridicule; of peer group pressure; of success; of consequences; of criticism. Table 3 provides an ad hoc segregation of the barriers into possible categories that might support insights. The authors subjectively identified these categories after completing the sessions. Some inhibitors or barriers appear in more than one category. In addition, the ordering of inhibitors within each category is arbitrary and does not reflect a reported order. We emphasize the data do not support this categorization. We offer this exhibit in hopes of stimulating thoughts and discussion.
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Time Constraints [imposed] Discipline Ego Background/Upbringing Insecurity Lack of Knowledge Ideas Unwanted Lack of Goals/Objectives Home Pressures History of Failure Apathy No Confidence Us vs. Them Attitude Paradigms Pre-conceived notions Fatigue Tunnel Sight Socialization Structure Fear of Success Fear of Challenge Desire [lack of] Religious beliefs Boss [attitude] Boss [not want] Education [formal] Interruptions
. Judging from the responses, factors in the
. . . . .
professional environment do lead to inhibitors that reduce, restrict, or eliminate the creative willingness of individuals. People perceived the presence of numerous barriers to creative willingness. Barriers exist in the ``personal sense or context'' as well as in the professional work environment. Fear(s) of some type is the predominate barrier. The barriers identified across this relatively large number of groups and people were common. The barriers reported by those in law enforcement were similar if not the same as those reported by the other groups. However, these groups did report with greater frequency some additional barriers they viewed as unique to their work setting
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Table 3. Perceived Barriers To Creativity: Categorized Responses* Self Imposed . Personal environment . not conducive . Health, lack energy . Stress . Fear . Expectations . Habit . Dependency . Mood . Lack of interest . Lack motivation . Lack of desired response . (``at work and at home'') . Societal norms . Work constraints . Time constraints [imposed] . Time [insufficient] . Priorities [not setting] . Priorities [not keeping] . Discipline . Background/upbringing . Insecurity . Lack of knowledge . Lack of goals/ objectives . Home pressures . History of failure . Apathy . No confidence . Pre-conceived notions . Tiredness . Tunnel sight . Socialization . Structure . Fear consequences of success . Fear of challenge . Desire Professional Environment . . . . . . .
Fear Health and Energy Stress Expectations Habit Lack of Interest/Motivation Recognition
. . . . . . . . . . . . . . . . . . . . . .
Societal Norms Fear of Criticism Time Constraints Discipline Ego Insecurity Lack of Knowledge Ideas Unwanted Lack of Goals/Objectives Home Pressures History of Failure Apathy No Confidence Us vs. Them Attitude Paradigms Pre-Conceived Notions ``Tunnel Sight'' Socialization Structure Fear consequences of success Fear of Challenge Desire
Environmentally Imposed . . . . . . . . . . . . . . . . . . . . . .
Personal Environment Intrusion of Daily Tasks Interruptions Pressure Lack of Tools/Resources Expectations Barriers, e.g., lack of money Time Health and Energy Education [formal] Professional Environment Peer Pressure Lack of Tools/Resources Stress Expectations Barrier of Money Rules Standards Regulations Time [lack of] Rebellion Health and Energy
Participants were unaware of these response categories. The authors decided on the categories and the assignment of a stated inhibitor to one or more categories. Some reported items seemingly belong in more than one category.
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(legal and liability; formalized procedures, rules, and policies).
Implications and Speculations On another occasion we will offer detailed comments on the causes of perceived barriers or inhibitors to a person's willingness to exploit ones creative abilities. At this time we focus briefly on three issues: . The implications of our conclusions based
on what managers told us.
. A preliminary prescription for those who
desire to increase the creative willingness of individuals. . A speculation on another potential issue of import.
Implications Perceived barriers exist that inhibit the willingness of individuals to use creative talents. Managers that desire to increase the efficiency and contributions of human resources and feel creativity is important in that process should give attention to perceived barriers in the environment and in the minds of people.
Prescription
Removing perceived barriers
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We argue that the removal of perceived inhibitors to creativity will result in greater utilization of creative talents. The manager faces the problem of identifying and finding practical way to remove barriers that inhibit the creativity of employees. Efforts intent on removing barriers might focus on the ``personal environment'' as well as the ``professional'' setting. However, many would assert one should not attempt to interfere or influence an employee's personal life. On the other hand, that guidance should not keep the work environment from not only allowing but also supporting individual efforts to access and develop a greater use of creativity in the personal environment.
environment. If not, an examination of the work environment may unearth perceived fears that are dysfunctional with respect to a host of intended behavior, e.g., the role of fear in blocking effective communications between people.
Summary Responses from a large number of people in 67 different groups over the period 1988 to 1998 period suggest that individuals perceive barriers to creativity in the work environment. Second, groups reported common inhibitors. We argue that efforts intent on increasing creative willingness should address the removal of perceived barriers in the environment and in the minds of people. Third, we speculate that perhaps fear(s) may contribute to other dysfunction.
Notes 1. A subsequent paper will focus on steps managers can take to remove, reduce, or temporarily eliminate barriers to creativity in the work environment. 2. The authors recognize some scenarios exist when the last thing a leader wants is the emergence of creative abilities and actions. 3. We regret we did not have an acceptable way to garner information from participants in a manner that would trace comments to individuals allowing for possible detection of differences by culture. Instead, in an effort to provide for an open sharing of comments, we assured participants and keep the trust that we would not relate or record comments in a fashion allowing their association with an individual. 4. The prospect of collecting nice complete data sets was alluring. Instead we favored potentially greater openness by the assurance that we would not collect the written comments of people. 5. There was uncertainty in the recording on one of the record sheets. That is the reason for the uncertainty in this number.
Speculation
References
The repeated surfacing of fear(s) as a barrier prompts us to speculate on the possible presence and implication of fear(s) in the work environment relative to other issues of import. There are pros and cons to the role of fear, its influence on behavior, and its role in an environment. Rather than enter this debate, we suggest that a manager address whether it is a conscious decision and intent to create perceived fear(s) in the work
Adams, J.L. (1979) Conceptual Blockbusting: A Guide to Better Ideas, 2nd ed. New York: Norton. Amabile, T.M. (1998) ``How to Kill Creativity'' Harvard Business Review, Sept±Oct, 77±87. Amabile, T.M., Hennessey, B.A. and Grossman, B.S. (1986) ``Social Influences on Creativity: the effects of contracted-for reward,'' Journal of Personality and Social Psychology, 50, 14±23. Badaway, M.K. (1986) ``How to Prevent Creativity Mismanagement,'' Research Management, July± August, 28±55.
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Bentley, T. (1998) ``The soft stuff is really the hard stuff (human relations in the workplace),'' Management Accounting, February. Brill, A.A. (1929) ``Unconscious Insight: Some of its Manifestations.'' International Journal of PsychoAnalysis, 10, 145±161. Brown, M. and Rickards, T. (1982) ``How to Create Creativity,'' Management Today, August, 38±4l. Buckler, B. (1998) ``Practical steps towards a learning organization: applying academic knowledge to improvement and innovation in business processes,'' The Learning Organization, 5, No. 1. Busse, T.V. and Mansfield, R.S. (1980) ``Theories of the Creative Process: A Review and a Perspective,'' The Journal of Creative Behavior, 14, No. 2, 91±103+. de Bono, E. (1971) Lateral Thinking for Management, London: McGraw-Hill. Gundry, L.K., Kickul, J.R., Prather and C.W. (1994) ``Building the Creative Organization,'' Organizational Dynamics, 22, no. 4, 22±37. Hall Rose, L. and Lin, H. (1984) ``A meta-analysis of long-term creativity training programs'', The Journal of Creative Behavior, 18, 11±22, Buffalo. Higgins, L.F., Qualls, S.H. and Couger, J.D. (1992) ``The Role of Emotions in Employee Creativity,'' Journal of Creative Behavior, 26, No. 2, 119±129. Hirst, B. (1992) ``How Artists Overcome Creative Blocks,'' Journal of Creative Behavior, 26, No. 2, 81±82. Houlder, V. (1998) ``Keeping a lid on egos at work (managing creative people),'' Financial Times, (UK), January 26. Lee, C. (1998) ``Buck your ideas up (product innovation) Marketing, (UK),'' 5 February. MacKinnon, D.W. (1962) ``The Nature and Nurture of Creative Talent,'' American Psychologist, 17, 484±495.
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Morand, D.A. (1998) ``Getting serious about going casual on the job,'' Business Horizons, January± February. Ogilvie, D.T. ``Creative action as a dynamic strategy: using imagination to improve strategic solutions in unstable environments,'' Journal of Business Research, 41, Issue 1. Rickards, T. (1981) ``Creativity in tiny increments,'' International Management, 7, 114. Rickards, T. (1991) ``Innovation and creativity: woods, trees and pathways,'' R&D Management, 21, No. 2, 97±108. Rickards, T. (1973) Problem-Solving Through Creative Analysis, Farnborough: Gower Press. Rickards, T. and Jones, L. (1991) ``Towards the Identification of Situational Barriers to Creative Behaviors: The Development of a Self-Report Inventory,'' Creative Research Journal, 4, 303±315. Simon, H. (1987) ``Making Management Decisions: the Role of Intuition and Emotion,'' Academy of Management Executive, February, 57±64. Simonton, D.K. (1990) ``Creativity in the Later Years: Optimistic Prospects for Achievement,'' The Gerontologist, 30, No. 5, 626±631. Simonton, D.K. (1991) ``Emergence and Realization of Genius: The Lives and Works of 120 Classical Composers,'' Journal of Personality and Social Psychology, 61, No. 5, 829±840.
John C. Groth is Professor of Finance, Lowry Mays College & Graduate School of Business, Texas A & M University, Texas, USA. John Peters is a Partner at Livingstone Bell and Associates, Calgary, Canada.
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Interpretive Style, Motivation, Ability and Context as Predictors of Executives' Creative Performance Cameron M. Ford Creativity has overtaken financial capital as the principal constraint facing businesses. Upper-level executives must, therefore, be able to develop creative solutions to strategic and administrative issues in order for firms to remain viable. Executive creativity not only contributes directly to corporate differentiation and innovation, it also helps create an environment that encourages, or perhaps requires, creative contributions from others. Executives are critically important knowledge workers that direct and enable the creative efforts of intellectual assets within a firm. Unfortunately, few empirical studies have sought to examine the creativity of knowledge workers beyond the narrow confines of basic research or R&D labs. This article presents an initial empirical test of an integrative theory of creative individual work performance in the domain of executive work. The study shows that by simultaneously considering executives' interpretive style, motivation to pursue creative outcomes, creative ability, and work setting one can explain substantial variation in executives' creative work performance.
C
Competing through knowledge
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reative actions represent novel and valuable variations from established routines that are necessary to initiate and sustain organizational change and innovation. By undertaking creative actions in the face of ambiguous circumstances, organizational actors generate personal and organizational knowledge that serves as a fundamental source of organizational learning (Ford and Ogilvie, 1996). Firms that generate knowledge, innovation and change through creative action can establish strategic competencies that provide long-term competitive advantage over less creative competitors (March, 1991; Barney, 1991). This is especially true for knowledge workers and knowledge organizations that compete on the basis of their ability to produce customized solutions to meet client demands. Upper-level business executives play a particularly important role in enabling organizational learning processes. Their actions not only produce substantive outcomes, but also send signals regarding desired behaviors to other organization members. Executives who consistently introduce creative solutions and take personal risks com-
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municate the legitimacy of these behaviors to others. This process is likely to create shared understandings among those reporting to an executive that support creative contributions. Unfortunately, few empirical studies have focused on explaining or predicting creative performance in organizations beyond the non-representative contexts of basic research and development. Virtually no research has looked specifically at the factors that contribute to executive creativity. The purpose of this study is to provide an initial test of an integrative theory of creativity within the context of executive work. Enriching our understanding of creativity in this context may help improve our ability to develop creative leaders who can enable the creative contributions of a broad range of knowledge workers. One of the difficulties that occurs when one tries to apply prior creativity research to organizational settings is that theoretical and empirical efforts to explain creativity have ended to focus on a narrow range of influences on individual performance. For example, the most prominent body of creativity research has emphasized individual # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
PREDICTORS OF EXECUTIVES' CREATIVE PERFORMANCE
differences related to divergent thinking, convergent thinking, and associated abilities (Barron and Harrington, 1981). Other researchers (including many of those who have focused on creative professional performance) have examined individual differences in motivational characteristics or interests associated with outstanding creative achievement (e.g., intrinsic motivation, adaptors/ innovators, biographical studies ± Amabile, 1983; Kirton, 1989; MacKinnon, 1970). Another important, but less prominent, body of research has attempted to predict creative achievement by exploring the interpretive styles creative performers use to ``find'' problems that require creative solutions (Getzels and Csikszentmihalyi, 1976). Finally, a limited number of well-known studies have examined attributes of work settings that facilitate or hinder creative performance (Amabile, Conti, Coon, Lazenby and Herron, 1996; Pelz and Andrews, 1966). One of the unfortunate characteristics of each of these research traditions is that studies focused on one aspect of individual performance rarely acknowledge or incorporate findings related to other influences. For example, those who study individual differences in creative ability, creative motivation, and problem finding ability rarely cite each others' work (Ford, 1995). As a result, the valuable contributions of each of these lines of research tend to be studied in isolation rather than in a more comprehensive portrayal of the processes that facilitate creative professional achievement. Fortunately, there have been several important recent conceptual contributions that have served to emphasize the complex interactions of processes that influence creative work performance (e.g., Amabile, 1988; Ford, 1996; Ford and Gioia, 1995; West and Farr, 1990; Woodman, Sawyer and Griffin, 1993). On the basis of his extensive literature review of empirical research on creative performance in professional and organizational settings, Ford (1996) has developed a theoretical framework that attempts to integrate a variety of influences on individual creative performance noted in previous research. This theory suggests that empirical studies of creative performance will be more effective if they simultaneously consider the joint influences of an individual's interpretative style, motivation, creative ability, and work setting on creative professional performance. The remainder of this paper outlines some of the major dimensions included in this more comprehensive theoretical approach, and presents an initial empirical study aimed at testing the utility of the logic underlying the theory.
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Prior Research Most empirical creativity research has attempted to identify individual differences that distinguish creative performers from their less creative peers. As noted above, research on creative abilities has a long and productive history that traces its roots back to Binet's, and later Guilford's (1975), work on divergent thinking, and includes (e.g., Arieti, 1976; Gordon, 1966; Harrington, 1979), and imagery abilities (Barron and Harrington, 1981). Unfortunately, studies using these tests have produced only modest correlations with creative work performance (Barron and Harrington, 1981). However, the modest contributions noted in prior studies may be confounded by interactions with other factors that influence creativity in organizations. For example, Pelz and Andrews (1966) found that creative ability was strongly related to creative performance in environments that supported creativity. However, in unsupportive environments creative ability was negatively related to creative performance. The overall relationship between creative ability and creative performance was not apparent until one looked at the interaction between creative ability and the work setting. Motivation processes that influence creativity have become a more recent focus of empirical research, especially in studies examining creativity in organizational settings. Amabile's work on intrinsic motivation (Amabile, Hill, Hennessy and Tighe, 1994) has been particularly influential because it has demonstrated how situational factors affect creativity through their facilitating and constraining influence on motivation. This research demonstrates that external pressures such as evaluations and contingent rewards sometimes hinder motivation to pursue creative acts (Amabile, 1983). These contextual influences may elicit conflicting goals that facilitate habitual actions such as attempting to please rewarders or avoiding negative evaluations rather than focusing on solving a problem in a creative fashion (Ford, 1996). Other empirical studies, many of which utilized biographical research methodologies, on the link between motivation and creativity have shown that personal interests (e.g., curiosity, creativity, superiority), facilitate creative action (Ford, 1995). Thus, prior research has established that strong personal interests in creative tasks leads to enhanced creative performance. This should not be too surprising because personal goals are a primary influence on individual motivation (Ford, 1992). Another important aspect of individual performance that is somewhat underrepresented
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in prior creativity research is individuals' interpretive style. However, research on ``problem finding'' (Dillon, 1982; Getzels and Csikszentmihalyi, 1976) has pointed out the importance of these processes, and has identified individual differences that effectively predict professional artists' creativity 18 years after an initial assessment (Csikszentmihalyi and Getzels, 1988). Presented problems, for which ``appropriate'' or ``obvious'' interpretations and actions are present, simply require an individual to exploit currently available problem-solving schemas or scripts (Csikszentmihalyi, 1990). Discovered problems, on the other hand, force controlled information processing and may pique interest in taking creative action. However, individuals differ in their interpretive style in terms of the extent to which they rely on well-structured, habitual interpretations as a means of interpreting new situations. Individuals who focus on narrow individual elements of a problem are less likely to develop creative solutions than those who approach situations with a more holistic, systems-view perspective. Overall, this research shows that some individuals are more likely to rely on familiar interpretations that suggest routine solutions than others. Finally, work settings that are perceived by employees as supportive of creative behavior have also been found to contribute to creative professional performance. A broad range of contextual features have been noted such as effective leadership, personal discretion, effective communication networks, changeoriented management, a nurturing organizational culture, effective reward systems, adequate resources, and directions to ``be creative'' (Ford, 1995). The most comprehensive studies of this nature have been presented by Amabile et al. (1996) and Pelz and
Andrews (1966). In both studies, a supportive work environment was strongly predictive of creative work performance, although as mentioned previously the impact of the work environment may interact with individual differences on other contributing factors to creative performance. Although research on interpretive style, motivation to pursue creative task, creative ability, and supportive contexts has produced useful findings, these bodies of research have been conducted virtually independently of each other. The theory presented below integrates these diverse approaches by portraying the joint influences of interpretative style, creative motivation, creative ability, and supportive work settings on creative professional performance. The subsequent empirical study then tests this theory within the context of creative executive performance.
Theoretical Framework Bringing these influences together in one model portrays individual creativity as resulting from the joint influence of interpretive processes, motivation processes, and abilityrelated processes all functioning within a supportive context. This model and the variable labels used to represent each of these processes in the empirical study are depicted in Figure 1. The following sections further describe each variable in the model and present empirical findings that serve to justify the propositions tested in this study.
Interpretative Style Individuals continually engage in interpretive processes that reflect the reciprocal interaction of information seeking, meaning ascription,
Figure 1. A Model of Creative Individual Work Performance
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and action (Gioia and Chittipeddi, 1991). However, because of the dearth of creativity research that examines the interaction between individuals and situations (Amabile, 1983), relatively few empirical or conceptual efforts have focused on these interpretive processes. However, a limited body of research indicates that individuals differ in the extent to which they rely on well-structured, habitual interpretations. The primary empirical evidence related to these processes is that a problem finding orientation (Dillon, 1982; Getzels and Csikszentmihalyi, 1976) facilitates creative performance. Dillon (1982) describes this orientation as an interpretive process wherein an individual combines constituent elements inherent in a situation in a way that produces or invents a problem. Alternatively, an individual may be more prone to focus on facts and details in a situation in hopes of recognizing cues that indicate an existent problem (Dillon, 1982). This research suggests, then, that individuals who favor holistic interpretations featuring associations among elements are more likely to take creative action than those who prefer attending to individual elements until a problem becomes evident. This brings us to our first proposition: Proposition 1: Executives whose interpretive style reflects a holistic, problem-finding orientation will have higher creative work performance than executives whose interpretive style reflects a narrow, problem-recognizing orientation.
Motivation ± Creativity Goal Personal goals are necessary to organize intentional behavior and, therefore, take a primary role in explaining a person's motivation to attempt creative actions. A person's goals, interests, or intentions serve to organize attention and action (Ford, 1992). Creativity researchers have discovered several personal interests associated with creative performance in organizational and professional contexts. Much of this research was conducted by the Institute of Personally Assessment and Research (IPAR), and has demonstrated that interests in creativity, variety, independence, achievement, and superiority are associated with creative professional achievement (Ford, 1995). Furthermore, research on ``innovators'' (cf. Kirton, 1989) has shown that they value creativity more so than their ``adaptor'' counterparts in organizational settings. Because organizational settings seldom prompt peoples' creative intentions, it is not surprising to see creative professional achievement coming mostly from those who are personally
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interested in, or intrinsically motivated by, creative action (cf. Amabile, 1983). Consequently, those individuals with a high interest in creative goals or outcomes are more likely to perform creatively at work. This leads us to our second proposition: Proposition 2: Executives with a personal preference toward pursuing creative goals (outcomes) will have higher creative work performance than executives with less interest in creative goals.
Creative Ability One of the oldest axioms in management is that performance is a function of motivation and ability. The most frequently studied creative abilities are divergent thinking and associational skills (Barron and Harrington, 1981). Divergent thinking abilities help an individual to generate many alternative solutions to an open-ended problem. Associational abilities provide a means for generating or identifying unusual associations or patterns. Using analogies and metaphors may provide a particularly useful avenue for discovering non-obvious relationships. The implication is that high creative thinking abilities will be associated with high creative performance. Proposition 3: Executives with higher creative thinking ability will have higher creative work performance than executives with lower creative thinking ability.
Supportive Context Supportive contexts communicate expectations regarding the relative desirability of alternative courses of action. The extent to which a particular behavior is associated with positive personal consequences will influence individuals' leanings with respect to that behavior. Those working in unsupportive contexts who have suffered ill consequences, or imagine rejection or punishment from creative actions will be reluctant to undertake such behaviors. Alternatively, supportive contexts have been noted as facilitators of creative action (Amabile et al., 1996). In summary, people who work in environments that create positive expectations regarding the consequences associated with creative behavior are more likely to enact creative behaviors at work.
Creating positive expectations
Proposition 4: Executives working in highly supportive contexts with respect to creative behavior will have higher creative work performance than executives who work in less supportive contexts.
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Method
Measures
Respondents
Interpretative Style
All the respondents were enrolled in an Executive MBA course in Organizational Behavior. The total of 43 respondents averaged 37 years of age and had an average of over 14 years of general work experience. Seventy-five percent of the study participants were male; 25 percent were female. The participating executives worked in a wide variety of knowledge domains as reflected in the representative sampling of job titles listed in Table 1. Table 1. Representative Job Titles Held by Executive Participants Associate Director of Development Controller Corporate Accounts Manager Corporate Manager Compensation Director of Contracts Director of Engineering Director of Finance Logistics Manager Manager of Sales Forecasting Metropolitan Division Managers Plant Engineering Manager Program Director Senior Product Manager Senior Sales Consultant Vice President, Manufacturing
Procedures The measures included in this study were collected within the context of an Executive MBA Organizational Behavior course at a major public university. The participants were asked to complete several self-assessment questionnaires throughout the semester. Completion of the assessments used in this study was an integral part of the course pedagogy and was a required course activity. The dependent variable, creative work performance, was collected independently using a consensual assessment technique (Amabile, 1982) with executives' peers serving as judges. Two demographic variables, age and gender were also collected as control variables. However, they did not significantly influence the results produced by the study and subsequently dropped from the analyses reported below.
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The only existing measure of a problemfinding interpretive style is Getzels and Csikszentmihalyi's (1976) technique. However, this procedure was not used because it requires several hours of work on multiple tasks that are more relevant to art than business. Given the impracticality and questionable relevance of this measure, a Myers-Briggs type inventory (version contained in Whetton and Cameron, 1995) was utilized to assess the extent to which executives tended to interpret problems in a manner consistent with the tenets of the problem finding literature. Specifically, the sensing scale, which measures the extent to which an individual develops pragmatic, precise interpretations using concrete facts and details, was subtracted from the intuitive scale, which measures the extent to which an individual forms imaginative, creative interpretations utilizing novel associations and new possibilities (Gardner and Martinko, 1996). This procedure provides a sense of the relative dominance of one information gathering style over the other. Gardner and Martinko (1996) allude to utilizing Myers-Briggs type indicators in this fashion by predicting that ``sensing managers are predisposed toward practical, conventional, detail-oriented and systematic behavior; intuitive managers are inclined toward idealistic, unconventional, and creative behaviors'' (p. 64). Because many previous studies using this measure have established the reliability of these scales (Gardner and Martinko, 1996), the executives were instructed to self-score this measure and hand in their overall scores in an effort to facilitate the conduct of the class. Although the scoring procedures were reviewed in class so that errors could be detected and corrected, this procedure precluded reporting a direct measure of the reliability of this scale in this study. Creativity Goal The Assessment of Personal Goals (APG) (Ford and Nichols, 1996) was used to measure a participant's interest in pursuing creative activities. The APG asked respondents to describe their interest in engaging in creative activities related to five different hypothetical behavior episodes. Their average interest expressed across these five behavior episodes was then used as an indicator for their interest in creative activities. Possible scores range from a low of 1 to a maximum of 9. The five-item scale for task creativity produced a reliability coefficient alpha of .77.
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Creative Ability Creative thinking ability was measured by Mednick's Remote Associates Test. This test is designed to measure the respondent's ability to derive novel associations between diverse concepts. As such, the Remote Associates Test measures associational skills (Mednick, 1962). This measure has been effectively employed as a measure of creative ability in several studies of creative performance in organizational settings (e.g., Pelz and Andrews, 1966). As was the case with the Myers-Briggs type indicator, it was felt that the reliability of this measure had been well enough established by over three decades of research to allow the executives to self-score this measure and hand in their overall scores (after an in-class review of the scoring procedures). This process saved significant class time, but precluded a direct test of the scale's reliability. Supportive Context This was measured with the 15-item ``Organizational Encouragement'' scale contained in the Work Environment Inventory (Alpha = .91) (see Amabile and Gryskiewicz, 1989 for a full description of the measure). The items include descriptors of the extent to which the organizational culture supports creativity, the reward and recognition systems for creativity, the active flow of ideas, etc. Responses on this scale can range from one to four. Creative Work Performance Creative work performance was measured by a consensual assessment technique methodology (Amabile, 1982). Executives were asked to select evaluators who were familiar with their day-to-day work performance. The three evaluators, who in effect comprised an ``expert panel,'' were instructed to rate their colleague's creativity and return their assessment directly to the researcher. The questionnaire simply asked ``How often is this person's work creative or innovative?'' Evaluators responded to this item on a seven-point scale ranging from ``Seldom creative'' to ``Usually creative.'' Consistent with Amabile's (1982) instructions for utilizing the consensual assessment technique, evaluators were left to employ their own subjective definitions of creativity. The three evaluators' assessments of each executive's creative performance were combined to form a consensual assessment. Inter-rater reliability among the multiple evaluators was satisfactory (alpha = 0.64), especially considering the
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ambiguous nature of creative performance in executive work settings.
Analyses The executives' responses were analyzed using multivariate regression to provide tests of each of the research propositions. Unfortunately, the limited sample size restricted the analysis to tests of the variables' main effects.
Results The descriptive statistics and correlations among the variables in this study are reported in Table 2. One noteworthy finding among these results is that the mean of creative performance is moderately high (5.6 on a 7-point scale) with a relatively small standard deviation. These skewed values are perhaps not surprising given that the executives selfselected their evaluators, with whom the executives must have been friendly enough to ask a small favor. Also, the executives enrolled in the executive MBA program represent an elite group of employees whom one might expect to be top (creative?) performers in their respective firms. The implication of this distribution is that the dependent variable suffers from a restriction of range that may reduce the potency of subsequent statistical analyses. The correlations among the independent variables demonstrate that the correlations among the independent variables are generally modest, thus reducing the risk of collinearity problems in the regression analysis. The regression analysis results are presented in Table 2. This analysis provides support for three of the propositions offered earlier; namely propositions 1, 2 and 4. Specifically, a problem finding interpretive style, interest in creative activities, and a supportive context all helped to explain these executives' creative performance. This analysis explained 27% of the variance in these executives' creative work performance.
Discussion Despite the restricted range of creative performance in the sample, the regression analysis was able to predict a substantial amount of the variance in independent, consensual assessments of the creativity of executives' work performance. The results also showed that multiple independent influences were significant predictors of executives' creativity. This suggests that previous
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Table 2. Descriptive Statistics and Correlations Variables*
1. 2. 3. 4. 5.
Interpretive Style Creativity Goal Creative Thinking Ability Supportive Context Creative Work Performance
Mean
sd
Creative Goal
Creative Thinking Ability
Supportive Context
Creative Work Performance
3.2 5.0 8.6 2.4 5.6
3.5 2.0 4.2 .6 1.0
7.30
7,02 .13
.00 .22 7.08
.25 .32 7.02 .41
* N = 43
Table 3. Multiple Regression Analysis Analysis of Variance DF Regression 4 Residual
Sum of Squares 14.836 28.739
Mean Square 3.709 .756
F = 4.094 p5.01 Variable Constant Interpretive Style Creativity Goal Creative Thinking Ability Supportive Context
Creativity as a personal goal
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empirical research on creativity in professional and organizational settings may have relied on under-specified conceptual frameworks. Simultaneously considering the contributions of interpretative style, creative motivation, creative ability, and supportive contexts may enrich future empirical studies of creativity and improve organizational researchers' ability to explain, predict, and influence creative executive performance. This promising, albeit limited, test of Ford's (1996) theory of individual creative action may serve as a productive guide for future theoretical and empirical research on creative action in complex organizational settings. The pattern of findings presented by the regression analyses highlight the importance of interpretive style, as well as interest in creative tasks in predicting creative executive performance. Perhaps ironically, the most frequently studied determinant of creative
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Adjusted R Square = .27
B
SE B
t
p
2.86 .10 .18 .00 .60
.73 .04 .07 .03 .24
3.92 2.55 2.48 .15 2.46
7.01 .02 .02 .88 .02
achievement, creative ability, did not influence the creative performance of the executives in this study. On the other hand, the significant impact of a problem-finding interpretive style is perhaps especially noteworthy because they are rarely accounted for in organizational creativity research. Interpretive processes and executive sensemaking have been widely studied in organizational research, and the results of this study suggest that this literature may provide particularly promising new avenues for understanding and influencing creativity in organizational settings. The positive influence of creativity as a personal goal is consistent with biographical research showing that creative professionals are more curious and more interested in creative tasks than their less creative peers (cf. MacKinnon, 1970). It is also consistent with research on ``innovators'' who value creative
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action to a greater extent than their ``adaptor'' counterparts. Kirton (1989) presents extensive evidence that these different preferences influence creative performance in a variety of organizational settings. The positive influence of supportive work settings is also not surprising. The scale utilized to measure this concept has been associated with creative performance in previous studies by Amabile and her colleagues (Amabile et al., 1996). Perhaps the most consequential contribution of this study is that it offers a rare attempt to investigate the actual creative performance of business executives. As discussed previously, upper-level executives play a critical role in instigating and supporting the creative actions that lead to long-term organizational learning and strategic differentiation. Empirical studies that explain real creative work performance in organizational settings are surprisingly rare, especially outside of the atypical environment of R&D labs (Ford, 1996). Given the increasing important role played by knowledge workers in non-manufacturing settings, greater emphasis should be placed on understanding creative performance across a broader range of organizational settings, especially those where creativity is a less explicit aspect of job performance. As an initial test of a theory of individual creative action, this study was subject to some limitations. As has already been mentioned, the lack of variance in the executives' creative performance may have limited the ability of the independent variables to explain additional variance in creative performance. For example, it may be that the reason that ability did not predict creative performance in this sample is that both ability and creative performance were restricted (both high) by the selection procedures used by the Executive MBA program. Perhaps the ability of the analyses to explain these executives' creative performance is especially impressive given these measurement limitations. By examining field sites that include a wider range of creative performance, future research may improve on this promising initial test of a comprehensive theory of influences on creative professional performance. Collecting a larger sample of executives would have also been desirable because it would have allowed more sophisticated statistical analyses focused on the interactions of the variables depicted in Figure 1. Prior research suggests that these interactions may be quite powerful and critical to understanding the complex array of forces that contribute to executives' creativity. Nevertheless, the results of this study suggest that Ford's (1996) theory provides a
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promising foundation for future efforts to explain creative professional performance. By identifying and testing a broader range of variables than is typical in prior creativity research, this theory may provide more useful guidelines for influencing creativity that reflect the complex dynamics associated with creative action in organizational settings.
References Amabile, T.M. (1983) The social psychology of creativity: A componential conceptualization. Journal of Personality and Social Psychology, 45, 357±376. Amabile, T.M. (1988) A model of creativity and innovation in organizations. Research in Organizational Behavior, 10, 123±167. Amabile, T.M. and Gryskiewicz, S.S. (1987) Creativity in the R&D laboratory. Greensboro, NC: Center for Creative Leadership. Amabile, T.M. and Gryskiewicz, S.S. (1989) The creative environment scales: work environment inventory. Creativity Research Journal, 2, 231±253. Amabile, T.M., Hill, K.G., Hennessey, B.A. and Tighe, E.M. (1994) The work preference inventory: Assessing intrinsic and extrinsic motivation orientations. Journal of Personality and Social Psychology, 66, 950±967. Arieti, S. (1976) Creativity: The magic synthesis. New York: Basic Books. Bergum, B.O. (1973) Selection of specialized creators. Psychological Reports, 33, 635±639. Bergum, B.O. (1975) Self-perceptions of creativity among academic inventors and non-inventors. Perceptual and Motor Skills, 40, 78. Barney, J.B. (1991) Firm resources and sustained competitive advantage. Journal of Management, 17, 99±120. Barron, F. and Harrington, D.M. (1981) Creativity, intelligence and personality. Annual Review of Psychology, 32, 439±476. Cohen, W.M. and Levinthal, D.A. (1990) Absorptive capacity: A new perspective on learning and innovation. Administrative Science Quarterly, 35, 128±152. Csikszentmihalyi, M. (1990) The domain of creativity. In Runco, M.A. and Albert, R.S. (Eds.) Theories of creativity (pp. 190±212). Newbury Park, CA: Sage Publications. Csikszentmihalyi, M. and Getzels, J.W. (1988) Creativity and problem finding. In Farley, F.H. and Neperud, R.W. (Eds.), The foundations of aesthetics, art, and art education (pp. 91±106). New York: Praeger. Dillon, J.T. (1982) Problem finding and solving. Journal of Creative Behavior, 16, 97±111. Ford, C.M. (1996) A theory of individual creative action in multiple social domains. Academy of Management Review, 21, 1112±1142. Ford, C.M. (1995) Creativity is a mystery: Clues from the investigators' notebooks. In Ford, C.M. and Gioia, D.A. (Eds.) Creative action in organizations: Ivory tower visions and real world voices (pp. 12±49). Newbury Park, CA: Sage Publications.
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Ford, C.M. and Gioia, D.A. (1995) Creative action in organizations: Ivory tower visions and real world voices. Newbury Park, CA: Sage Publications. Ford, C.M., ogilvie, dt. (1996) The role of creative action in organizational learning and change. Journal of Organizational Change Management, 9, 54±62. Ford, M.E. (1992) Motivating humans: Goals, emotions and personal agency beliefs. Newbury Park, CA: Sage. Ford, M.E. and Nichols, C.W. (1996) Assessment of Personal Goals. Menlo Park, CA: Mind Garden. Gardner, W.L. and Martinko, M.J. (1996) Using the Myers-Briggs type indicator to study managers: A literature review and research agenda. Journal of Management, 22, 45±83. Getzels, J.W. and Csikszentmihalyi, M. (1976) The creative vision: A longitudinal study of problemfinding in art. New York: John Wiley. Gioia, D.A. and Chittipeddi, K. (1991) Sensemaking and sensegiving in strategic change initiation. Strategic Management Journal, 12, 433±448. Gioia, D.A. and Poole, P.P. (1984) Scripts in organizational behavior. Academy of Management Review, 9, 449±459. Gordon, W.J.J. (1966) The metaphorical way of learning and knowing. Cambridge, MA: Porpoise Books. Guilford, J.P. (1975) Creativity: a quarter century of progress. In Taylor, I.A. and Getzels, J.W. (Eds.), Perspectives in Creativity (pp. 37±59). Chicago: Aldine Pub. Co. Harrington, D.M. (1979) Creativity, analogical thinking and muscular metaphors. Presented at American Psychology Association Meeting, New York.
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Kirton, M.J. (1989) Adaptors and innovators at work. In Kirton, M.J. (Ed.) Adaptors and innovators: Styles of creativity and problem solving (pp. 1±36). New York: Routledge. MacKinnon, D.W. (1970) The personality correlates of creativity: A study of American architects. In Vernon, P. (Ed.) Creativity: Selected Readings (pp. 289±311). Penguin Books. March, J.G. (1991) Exploration and exploitation in organizational learning. Organizational Science, 2, 71±87. Mednick, S. (1962) The associative basis of the creative process. Psychological Review, 69, 220±232. Mumford, M. and Gustafson, S. (1988) Creativity syndrome: integration, application, and innovation. Psychological Bulletin, 103, 27±43. Pelz, D.C. and Andrews, F.M. (1966) Scientists in organizations. New York: Wiley. West, M.A. and Farr, J.L. (1990) Innovation and creativity at work. Chichester, England: Wiley. Whetton, D.A. and Cameron, K.S. (1995) Developing management skills (3rd ed.). New York: Harper Collins. Woodman, R.W., Sawyer, J.E. and Griffin, R.W. (1993) Toward a theory of organizational creativity. Academy of Management Review, 18, 293±321.
Cameron M. Ford is Assistant Professor, Management Department, University of Central Florida, USA.
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Business Incubation and Enterprise Support Systems in Restructuring Countries 1 Rustam Lalkaka and Pier A. Abetti After two decades of rapid growth, the United States business incubation industry has reached maturity with 530 incubators. In contrast, growth is still increasing rapidly in restructuring countries with industrializing and transitional economies, which have over 500 incubators. We present a situation analysis of incubators and enterprise support systems in these countries, and discuss the key success factors, based on trends of convergence of all initiatives into an integrated infrastructure. We then offer insights on strategically planning for the future, and policy guidelines useful to governments, international organizations, and local stakeholders that are planning, implementing and managing incubator projects in restructuring countries.
Introduction
T
he new forces for economic growth worldwide are technological innovation and entrepreneurship. After the collapse of the Soviet Union and the transition from centrally planned to market economies, it is widely recognized that the private sector is the most effective ambient for harnessing these forces, in order to create wealth, generate employment and promote material and social well being. In turn, entrepreneurial fast-growing small and medium-sized enterprises are the backbone of the private sector as they help diversify the economy and offer a wide range of goods and services both to national and international markets (Vesper 1983, Harper and Finnegan 1998). Therefore, both industrialized and industrializing countries have formulated strategies and policies for supporting entrepreneurship development and assisting small and medium enterprises in acquiring modern technological resources and management practices (Htun 1997). These policies have been implemented in a variety of financial and non-financial incentive and support systems, offered by central and local governments, foundations, business organizations, universities and international organizations, such as OECD, the European Union and several agencies of the United # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
Nations. Among this myriad of initiatives, New Business Incubators and Enterprise Support Systems have emerged worldwide as highly effective methods for promotion of decentralized economic growth from the bottom up both in industrialized (Molnar et al. 1997) and in transition and industrializing economies (Lalkaka 1997a). In contrast, top-down policies of centralized financial incentives and protective policies for selecting ``winners and losers'' have been shown to be counterproductive in some European countries (Levie 1993). The infrastructure of New Business Incubators and Enterprise Support Systems was built up gradually in industrial countries during the last two decades. It appears that this movement has now reached maturity. In contrast, rapid growth is now occurring in restructuring countries, that is, in countries with industrializing economies (such as Brazil, China, Egypt, India, Malaysia, South Africa, Korea, Taiwan R.O.C., etc.) and transitional economies (such as Poland, Hungary, Russia, Slovakia, Ukraine, Uzbekistan, etc.). In parallel, we observe the emergence of networks of enterprise support systems. In some countries, particularly in Asia, these systems are converging towards an integrated infrastructure, whereas is some other countries, for instance Russia and
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Ukraine, these are still uncoordinated initiatives. The objectives of this study are: 1. To compare the development, present status, and accomplishments of New Business Incubators in the United States and in restructuring countries. 2. To present selected case studies of convergence of Enterprise Support Systems in some Asian countries, and of isolated efforts in some post-communist nations. 3. To summarize the lessons learned in the field and present policy guidelines useful to practitioners who are planning, implementing and managing similar projects, sponsored by international, national, public or private organizations.
Results
The authors have contributed to the creation and development of this infrastructure for entrepreneurship since 1987 in a series of feasibility studies, business plans, implementation actions, field work, and on-site and off-site training courses, in the following countries:
The economic and social results of US business incubators are summarized below, according to a recent study conducted by the University of Michigan, Ohio University, the National Business Incubator Association and Southern Technology Council (Molnar et al. 1997).
The paper summarizes the results of our past and ongoing field research based on: (1) on-site interviews with central and local government officials, economic development officials, representatives and consultants of national and international agencies, business persons, politicians and opinion leaders; (2) feedback from the incubator managers, tenants and participants in the assisted countries; (3) business plans and proposals prepared by incubator managers, economic development organizations and by the authors.
New Business Incubators in the United States After two decades of rapid growth, the United States business incubator industry
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1. A network of 530 incubators, the majority of which are active members of the National Business Incubator Association (NBIA 1996a and 1996b). 2. A fair record of job creation and regional economic growth at low cost and with a good return on investments for supporters (Molnar et al. 1997). 3. A synthesis of the best practices available in the field, that can be translated into guidelines for improving the probability of success of new and existing incubators (Rice and Matthews 1995, Tornatsky et al. 1995).
Method
Latin America and Caribbean: Mexico, Chile, Colombia, Brazil, Puerto Rico, Jamaica, Uruguay Asia and Pacific Rim: China, South Korea, Indonesia, India, Malaysia, Singapore, Syria, Thailand, Taiwan, Turkey, Palestine Territories Africa: South Africa, Egypt, Mauritius, Morocco Transitional Economies: Poland, Romania, Slovakia, Albania, Hungary, Russia, Ukraine, Uzbekistan
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has reached maturity and some quantified accomplishments:
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1. Job Creation. Firms that participated in Incubators reported that these had created, on the average, 468 direct and 702 total jobs. The majority (62%) of the direct jobs were high value-added, since they were created by R&D, technology and manufacturing enterprises. 2. Cost Effectiveness. The estimated public subsidy cost per job created was $1,109. 3. Return on Investment. Local, state and federal subsidies for incubators may be considered as investments for generating tax revenues from the companies assisted. For a sample of 23 incubator firms, the return in terms of tax revenues was almost five dollars for every dollar invested. 4. Growth. By 1996 firms that participated in incubator programs had grown by over 400 percent per year, with average annual sales growth of $1,240,000 and employment growth of 3.7 jobs per year. 5. Survival. While the survival rate of new companies after 4 years was only 37 to 70 percent (Timmons 1988), 87 percent of firms graduated from incubators were still in operation in 1996. Given the high economic and social costs of unemployment, business bankruptcies, or closings, it may be concluded that incubators represent an effective modality for creating and sustaining high value-added jobs and tax
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revenue, compared to financial subsidies and incentives for attracting existing companies to a specific location, a zero-sum game. A good example of US Incubator and Technology Park is the experience of Rensselaer Polytechnic Institute (RPI), a private technological university. The origins of the RPI Incubator go back to 1980, when researchers started a solar power company in the basement of an old building. The incubator was formally opened in October 1982 and now includes two buildings, with a total of 80,000 ft2 (7200 M2) of laboratories and offices. In the last 16 years, more than 100 companies have been started at the incubator and 85% have survived. Twenty-two companies are incubating now with 193 full time employees and a higher number of part-time employees, mostly graduate students. Total direct employment created by the ``graduated'' companies is estimated at 1500+, with total aggregate sales of over $175 million. The RPI Technology Park was inaugurated on vacant land in October 1983, one year after the incubator. The total area is 1250 acres (500 hectares), but only 450 acres (180 hectares) are reserved for the tenants and park management. Of these, 250 acres (100 hectares) have been developed to date. There are now 21 buildings for a total surface of 870,000 ft2 (80,000 M2), housing 50+ companies with 2100 employees. The great majority (90+%) of these companies is actively involved with RPI faculty and students in technical and business management work, hiring students part time and full time according to their needs. It should be noted that the incubator and the Technology Park were built and operated with RPI's own funds, without government grants and subsidies. While the park is now financially self-sufficient, the incubator's rental and service fees cover all the operating costs except depreciation on the two buildings. While a large proportion of U.S. incubators does receive direct or indirect subsidies, a small number (approximately 20%) operate on a for-profit basis. For example, the Lexington Business Center in Elkhart, Indiana has a prudent, no-frills operating approach, which results into a 30 to 40% annual return on investment (Tiedemann and Lalkaka 1998). In the United States, enterprise support systems are well developed but not always fully utilized according to the ratings in surveys of users (Lalkaka 1997a, p. 19). It is the role of Incubator Managers to direct their tenants and former graduates to the support systems most suited to their needs, and assist them in preparing the necessary paperwork
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(McMullan 1988, Abetti and Savoy 1991). Similar support systems are offered by the European Union and by the member countries, again with varying levels of effectiveness (Levie 1993, Koskinen and Virtanen 1998), and quite effectively for two Brazilian technology incubators (Lalkaka and Shaffer 1999).
Adaptation of Good International Practices Rice and Matthews (1995) performed a detailed study of the 20 best US Incubators (out of a total of 500) and distilled good practices that had contributed to the success of these incubators. Naturally questions arise: Can these practices be applied and transferred to incubators in restructuring countries? Can they be adapted to different local environments? An OECD study under the Local Economic and Employment Development (LEED) program, (OECD 1997) reviews experiments in the US as well as Germany, France, United Kingdom, Italy and Australia. As incubation programs expand, they come in for closer scrutiny and criticism. The assessment generally shows positive imports on improving the survival rates of firms in the incubator and on promoting regional economic development. While the overall costs of state support per job created compares favorably with other public job creation programs, the small number of firms created in incubators raises important issues of scale and time horizon. It is concluded that incubation is a medium- to long-term undertaking. From a theoretical viewpoint, entrepreneurs all over the world share similar visions, commitments and beliefs, and therefore are motivated by the same psychological, social and economic factors (see, for instance, Shane and Venkatamaran 1996, Vecsenyi and Hisrich 1990, Hisrich and Grachev 1994). In addition, three quarters of incubators in restructuring countries are technological incubators and modern technology is essentially of western origin. Consequently, we would expect many similar aspects and common success factors in technological entrepreneurship worldwide (Eisenhardt and Forbes 1984, Moenaert, DeMeyer and Clarysse 1994). From a practical viewpoint, a large number of incubators in developing countries have been assisted by experts from western countries, and their managers were trained in the West. Therefore, these managers are in position to comprehend the value of good western practices and adapt these to the specific environment of their incubators.
Good practice guide
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Restructuring Countries Support Systems for New Enterprises Recent analyses in restructuring countries indicate that the major obstacles from the viewpoint of new enterprises are at the political, economic, organizational and cultural levels. These include high taxes, rents, wages, and interest payments: the lack of telephones, e-mail and office facilities; low demand for products and competition from subsidized State enterprises or foreign companies; burdensome regulations; and unfriendly policies towards self-owned businesses. The process of structural reform is less than ten years old, and is still quite painful (Hisrich 1998). New forms of support for venture creation can help reduce the pain, the gestation period and start-up costs, while greatly increasing the chances of survival and success. The early stage techno-businesses in these difficult environments have to be provided access to good infrastructure, management and knowledge, all within the ever present need for finance (Abetti 1992). Infrastructure Support To help address the scarcity of appropriate space and support, a large number of industrial estates, special economic zones, and technology parks are being developed. Their defining characteristic is the availability of prepared land and infrastructure support for business and research purposes. While industrial estates in some countries such as Turkey have proved successful, in others they have become high-cost, subsidized facilities with inadequate returns. The Special Economic Zones, such as Shenzhen in China, and Export Processing Zones, such as Tan Thuan at Ho Chi Minh City in Vietnam, have recorded good foreign investment-led growth rates. They serve to introduce new market policies in the economies in transition. It is now recognized, however, that these zones also tend to raise wages and prices without commensurate upgrading of local skills or technology. As operations mature, they must move into higher value goods and services based on local innovations, and be expanded in backward regions for more balanced growth. At another level, industrial clusters for garments, furniture, metalworking, etc. in India, Indonesia, Chile and Brazil are expanding rapidly. They start spontaneously, and then benefit by local and state-sponsored design, materials and marketing support. In the inter-country arena, a dozen growth triangles are forming in Southeast Asia in the ASEAN framework, based on complementary
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skills, materials, and markets; such cooperative investments are also now planned among the SAARC countries of the Indian Ocean and sub-continent. Management Support If the primary requirement is management support, a business development center can provide a range of counseling, training, information and related services. These, however, need to be linked to financing and technical resources to help the entrepreneurs implement their plans. The United Nationsassisted small business services program in Romania is now being expanded to central Asia. The pioneering Small Industry Service Institute network in India used to be government subsidized and run, with loss of effectiveness over time as the service demands of dynamic entrepreneurs overtook the supply capacities of poorly remunerated civil servants. Now associations and chambers are filling the breach. Emerging models, such as SEBRAE in Brazil, and KOSGEB in Turkey are more business oriented, cover the full spectrum of support and require progressive payments of the services received by beneficiaries. Technology Support The former socialist countries had vast research and technical education facilities, now in decline due to paucity of financial resources. However, the transfer of the considerable body of scientific and technical knowledge, often developed for military purposes, has been more difficult and much slower than expected. First, the conversion of military, engineering and production facilities (i.e. from tanks to refrigerators) was ineffective due to lack of business and marketing know-how, high production costs, and especially the lack of entrepreneurs. Second, a considerable amount of technology from the research institutes was disembodied (on paper) and the researchers did not have the necessary skills to embody this knowledge into products that would be competitive in the world market even with the help of visiting western experts. For instance, the planned Helsinki, Finland and St. Petersburg, Russia ``Twin Incubators'' are still in the planning stage after three years of discussions. On the other hand, in most industrializing countries the scientific bases are still weak and the technology support generally needed by technopreneurs is access to expertise through proximity to technical universities and the facilities at R, D & E institutes. They especially need trade/technology information
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through Internet (Jin, Yim and Mason 1998), publications and travel to symposia and trade expositions.
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istics in the countries studied are summarized in Table 1. These countries represent more than half the incubators in the restructuring world. What emerged from the data available was a prototypical incubator of 2,300 square meter gross space, with 17 resident companies, 136 workers and sales of almost US$ 1 million at the end of year 3. By year 6, some 25 companies would be in the incubator employing 600 persons, with 18 graduated enterprises. Such performance could be raised to higher levels at a welldesigned and managed facility.
Business Incubation for New Venture Creation The business incubator, linked to a research park and technical university, appears to come closer to meeting the needs for holistic approaches. Therefore, three-quarters of all incubators (and tenant businesses) in industrializing countries are focused on technology (against about 40 percent in the US) and are generally located at universities or research parks. There is significant potential for synergy between park and incubator if this is expressly prepared from the outset. The technology park generally focuses on research and its commercial utilization: it is essentially an enhanced real estate development that takes advantage of proximity to a source of significant intellectual capital, conducive environment and associated infrastructure. In contrast, the business incubator concentrates on the process of small enterprise development, and is the microcosm of work space plus support services, significantly augmented by shared facilities and assisted access to outside services and seed capital. The incubator can thus become the fulcrum for leveraging various types of support. The UN-sponsored assessment of the incubators in seven industrializing countries demonstrates that technology and business incubators are beginning to make a significant impact on economic development (Lalkaka and Bishop 1996). The incubator character-
Culture and context These are significant considerations in the planning and operation of incubators. In fact, cultural differences provide strong preferences towards, and constraints against some types of organizational structures, business strategies and evaluation modalities that differentiate across countries the types of structures and characteristics prevailing in local firms and other organizations (Abetti, Hirvensalo and Kapij 1998). In some countries of Southeast Asia, entrepreneurs prefer to work in their households assisted by family. This preference calls for an ``open'' or ``out-wall'' incubator where management serves tenants within the facility and on an out-reach basis. In West Asia and the Middle East, problems of secrecy and ``copy-cat'' entrepreneurism require special measures to ensure confidentiality. In some Islamic countries, incubators are being organized for the empowerment of women entrepreneurs. In Latin America, university professors may be stigmatized if they indulge
Culture and context
Table 1. Industrializing Country Incubators (1996) Country
Incubators Total
Sample
Average Investment US$ 000
Building Net M2
Tenants Firms
Employees
Brazil China Czech R. Mexico Nigeria Poland Turkey
42 73 27 10 2 19 5
16 31 17 6 2 19 2
n/a 454 n/a 526 n/a n/a 568
810 4,702 5,756 676 1,871 1,813 951
10 36 26 6 7 15 16
55 727 105 n/a 38 88 72
143
93
496
3169
24
359
OVERALL
Note: n/a = not available
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in crass commercial activities. Unless the planners and managers are sensitive and responsive to these cultural preferences or constraints, the incubator is doomed to failure. Understanding of such cultural differences greatly facilitates the collaboration of companies in incubators of different countries. For instance, the development of software by Ukrainian software factories originating in the Kiev and L'viv incubators and the commercialization of their software in the United States by a company located in the Rensselaer Incubator (Kapij and Abetti 1997).
Cases of Convergence or Divergence The imperative of bringing enterprise support mechanisms under a single aegis to optimize effectiveness has been well appreciated in some Asian situations, as demonstrated by the cases of Malaysia, China, Uzbekistan, South Africa, Egypt, and Ukraine. Brazil Starting in the mid-1980s, the National Scientific and Technological Development Council (CNPq) initiated the Technological Innovation Program. Growth accelerated in 1993 and Brazil now has 74 business incubators, mostly in the South and Southeast. As of August 1998, these incubators housed 614 small enterprises, employing 2,700 persons, and had graduated 226 companies. The tenant businesses are in the fields of computer software development (33%), specialized services and consulting (17%), electronics and telecommunications (14%), biotechnology, pharmaceuticals and fine chemistry (9%), precision mechanics and automation (8%), clothing and leather products (7%), food products (5%) and other product or service markets (15%) (Guedes and Filartigas, 1998). During 1998, the major sources of public financial support for Brazil's incubation programs were SEBRAE (40% of respondents), city governments (17%), CNPq (14%), and Financeiro de Estudos e Projectos (FINEP, 18%). The significant SEBRAE support is both a blessing and a potential danger: if this funding is curtailed as a result of federal government austerity measures, many of Brazil's business incubation programs will be severely challenged, as happened in Mexico (Lalkaka and Shaffer 1999). ``Bolsistas,'' government-funded research interns, are an important source of direct subsidy to incubated enterprises that helps to reduce personnel costs, while providing students with practical work experience.
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These are university graduates, technicians, and engineers involved in specific research and development projects for incubated enterprises. Their salaries are paid by agencies such as CNPq and FINEP. The 1998 ANPROTEC survey indicated that 11.8 percent of the employees in incubated enterprises, including 6.8 percent of the entrepreneurs themselves, are ``bolsistas.'' Some state governments, such as Minas Gerais and Sao Paulo, also provide support for business incubators parks through their respective Foundations for the Support of Research in Science and Technology. More than 30 Brazilian universities, covering one-fifth of the total college students participate in incubator projects, mainly in technological fields. Another feature in Brazil is the involvement of the private sector: among the largest sponsors of incubators are federal-state agencies and private not-forprofit organizations (40 percent of total). For instance, the Federation of Industries for the State of Sao Paulo (FIESP) now runs a dozen business incubators as its contribution to entrepreneurial venture development in the state. Malaysia In Malaysia the recent financial set back has hardly deterred the overall drive to move from an investment-led economy to an innovation-driven system. The Technology Park Malaysia (TPM) inaugurated in 1996 covers 120 acres and involves a state investment of US$ 80 million. Located 10 km from Kuala Lumpur, it is in the vicinity of five universities, eight national research institutes and the emerging Multimedia Super Corridor, TPM comprises well-designed innovation±incubation±enterprise houses, a central resources hub and R & D lots, together with excellent residential, recreational and related facilities. The integration of support services includes a modern prototype production center, quality control laboratories and a venture capital fund under park management. A further investment of US$ 88 million is planned to expand TPM to 700 acres in the next four years, and it is being corporatized under public-private leadership. To enhance the benefits of convergence, the organization links the incubator and park under one director of technology who reports directly to the managing director. Further, a single national association covers both parks and incubators in Malaysia, a linkage strategy adopted also at associations in other industrializing countries such as China, Indonesia, Brazil and Mexico.
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China Among industrializing countries, the largest incubator program is in China with 85 incubators. From a modest beginning in the 80s with assistance from the United Nations, the Chinese incubators have graduated over 200 enterprises, expanding their contribution to economic restructuring. The incubators are non-profit, state-owned corporations, reporting to some combination of the provincial/ municipal Science and Technology Committees and local economic development zone. Two-thirds of the entrepreneurs come from adjacent universities and technical institutes. The direct government role is limited to seed funding. A number of incubators manage local investment funds, provide loan guarantees and equity (risk) investments for their tenants. Often attractive subsidies, including free land, help to reduce capital costs while flexibility in leasing commercial space has raised operating revenues, with resultant surpluses for reinvestment in new buildings. While the TORCH program provides the policy guidelines and CASTIP serves as the incubator association, the planning and management responsibility is left to local agencies. Measures are underway to make the incubators more autonomous, with for-profit corporate status. Eight of the 85 have now been transformed to International Business Incubators, where small foreign high-tech companies will be assisted to enter the complex Chinese market, while Chinese tenants will be helped on joint-venturing and exporting their products and technologies. These successes should not obscure the difficulties identified by local management: insufficient assistance to tenant companies, low levels of local technological development, weak incubator center management or frequent reassignment of managers, inability to develop value-adding advisory and training services, and undefined standards for tenant entry and exit. Uzbekistan As the Government of Uzbekistan forces the pace of transforming its 70-year command system to a market economy, the business incubator program is helping to overcome the hindrances encountered by start-up selfowned businesses, including problems of cumbersome registration, high taxes, inadequate banking, materials procurement, and accessing credit and business support. With political support at the highest level and initial UN assistance, three pilots were started at Tashkent and Samarkand in mid-1995. A year later, the Republic Business Incubator
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Network has been expanded to 23 incubators serving 365 tenant businesses with estimated production value of about US$ 5 million. The Incubator program is being used effectively to create private businesses and leverage small, enterprise-friendly policies. South Africa There has been a network of facilities called ``hives of industry'' for many years, established by the Small Business Development Corporation. A new development is the start of an incubator at Johannesburg by a large corporation ± South African Breweries ± to help provide alternative livelihoods to their laid-off employees. A technology incubator at Technikon Natal, Durban will empower previously disadvantaged communities, by extending their technical education through hands-on experience to become employers, not just employees. State agencies ± NTSIKA and KHULA ± are establishing three pilot Local Industrial Parks comprising business incubators and multi-tenant buildings. Ukraine In contrast to the above cases of convergence, the situation in Ukraine is still difficult for local entrepreneurs and the various international, national and local initiatives are neither coordinated or integrated. From 1991 to 1996, Rensselaer Polytechnic Institute has been proactively involved in developing technological entrepreneurship in Ukraine. Through international cooperation between private and public institutions in the United States and universities and start-up private firms in Ukraine, the infrastructure was built up with two New Business Incubators in Kyiv and L'viv and a joint venture for technology transfer and commercialization. About 150 Ukrainian entrepreneurs were trained in Ukraine and USA, and courses were also given to ``train the trainers'' with a UkrainianEnglish casebook (Abetti and Rice 1995). As a result of this six-year effort, funds in excess of one million dollars were raised, and about 30 companies have been created in Ukraine. The Incubators in Kyiv and L'viv are now self-supporting, under Ukrainian managers, and offer services to approximately ten companies. Four software factories are now developing and delivering software programs to the USA through a joint US-Ukrainian venture, Software Factory International, managed by a graduate of the L'viv incubator. First founded in the RPI Incubator, headquarters have now moved to Ukraine, thanks to improved communications with the United States, the Internet and E-commerce.
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From the initial efforts in 1991, the Ukrainian incubator development team continued to face many difficulties in Ukraine and in USA. In Ukraine, it was difficult to identify the potential sponsors and facilitators for the Incubators at the national and local level. Once these sponsors were identified and apparently convinced, or at least persuaded not to obstruct the project, they would disappear due to political upheavals. Their successors were uncommitted and often hostile to projects approved by their former political rivals. In the United States an effort was made to contact all possible sources of funds and assistance: business angels of Ukrainian descent, American-Ukrainian associations, government agencies such as USIS and USAID, foundations such as the Eurasia foundation, even multi-national companies, such as Apple. The US effort finally was discontinued due in large measure to the lack of congruence with the university value and reward system. The driving force for this joint venture in international cooperation was the shift from the administrative domain (government agencies and universities) to the entrepreneurial domain, that is two self-sustaining incubators, managed by entrepreneurs, and a for-profit technology transfer and commercialization company in the United States. As may be seen from the above seven cases, incubators in restructuring countries are a study in contrasts, each catering to its own potential entrepreneurs, in a given cultural milieu, conditioned by the available infrastructure and policy framework. The incubation process is a recent phenomenon, still evolving. Three-quarters of the incubators are less than six years old, but they are increasing rapidly. Rapid growth invites critical attention: the incubator concept is praised as a useful tool for creating enterprises and damned as an expensive fad that does little for economic development. Thus it is too early to collect, analyze and summarize reliable data on the performance and economic contributions of these incubators, as was done only in 1997 for US incubators.
Key Success Factors We have developed the key success factors for incubators and related enterprise support systems in restructuring countries from two sources: (1) field experience of the authors in establishing new incubator programs in 20 restructuring countries, (2) application and adaptation of US experience and best practices to restructuring countries.
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The determinant factors that contribute to the ultimate economic, social and political success of a new business incubator evolve with the four stages through which the incubator develops from the initial design to sustained operation, as shown in Table 2. Experience indicates that in restructuring countries, which earmarked investment and working capital, the preparatory steps (A and B) take about 6±9 months; further 2 or 3 years may be needed to establish a self-sustaining incubator (steps C and D). Without patient and continuing support from the state and community over the whole program cycle, developing sustainable performance and having positive impact on economic development will become difficult.
Assessment of Effectiveness Hitherto empirical evidence to support the effectiveness or ineffectiveness of incubators in restructuring countries was still lacking. The UNDP / UNIDO / OAS ± sponsored assessment of the role of business incubators has provided the basis for examining implications and impact in the difficult environments (Lalkaka 1997b). The task is difficult in the industrializing countries, given both the infancy of incubators and the apparent lack of either local will or resources to mount the required systematic data collection activity. Incubator performance can be assessed against its specific mission and objectives. Profiles of incubators in an entire country can only give a broad impression at one point in time. Such a ``snapshot'' is insufficient for the assessment of a number of disparate dynamic processes operating in unique local environments. A serious evaluation of benefits and costs should include: . Enterprises created by incubator and in-
. .
. .
creased success rate through the incubation process, measured by numbers of firms incubated and number of discontinued businesses Jobs generated in the incubator, measured by employment years through the end of year 3 Jobs and economic activity created by companies after leaving the incubator (graduates), measured by employment years and value added or sales through the end of year 6 Public (subsidy) investments in establishment and initial operations Research commercialized through development work by firms at the incubator, measured in numbers of projects and economic activity
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Table 2. Key Success Factors for Incubators in Restructuring Countries A. In the preparatory process: . Reconnaissance surveys to selected locations during which potential stakeholders are briefed frankly on probable benefits and costs of starting and sustaining an incubator . Local consultants who are familiar with local conditions . Careful identification of a strong sponsor to take local implementation responsibility . Resolution of issues concerning feasibility, particularly analyses of the entrepreneurial pool of potential tenants, linkages to universities, the support services network, the availability of suitable (vacant) building space, and financial cash flow estimates . Commitment by state agencies at the central, provincial, and city levels to provide policy and financial support for investment as well as initial operation expenses. B. In the implementation process: . Forming a strong management board with advisory groups . Appropriate legal persona for the incubator . Careful selection, training at home and abroad, proper remuneration of managers . Screening of the technical business and market potential of tenants . Prudent capital expenditures on building renovation and furnishing . Promotional campaign to mobilize community support . Sound international technical assistance to supplement local skills C. The start of initial operations requires: . Access to equity, credit and royalty facilities by tenants . Involvement of private sector, through subcontracting and other arrangements . Continuing programs for improving management skills of incubator staff and tenants . Links to other SME programs and support systems in the country . Exchanges of information and bench marking through incubator associations D. The sustainability of incubator operations calls for: . Proactive pursuit of business opportunities at home and abroad . Imaginative ways of raising income through corporate memberships, appropriate fees for securing finance, equity/royalty in tenant companies . An objective evaluation of the incubator experience, and replication as warranted . Political stability, macro-economic policy structure and regulatory framework that encourage entrepreneurship and stimulate the market for new goods and services.
. Surveys of tenant assessment of assistance . .
.
.
received, measured in response rate and evaluation of specific activities Sustainability of the incubator, measured by revenue and cost performance to plan, including break-even as appropriate Taxes and other ``social'' contributions measured by property, income, employment and other direct tax revenues attributable to incubator, tenants and graduates Capacity building and changes in mindset, enhanced culture of research ± industry linkages and entrepreneurship development Changes in state policies to enhance support for private entrepreneurial activity.
Only some of the above loops can be quantified in an initial review (and reality is far more complex than depicted). But consciousness among sponsors on improved
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characterization and performance measurement, can be expected to result in better explication of the benefits and impacts of this and alternative modalities. These measures have to be applied at the time tenantbusinesses generally graduate from the incubator (say average 3 years) and reach a level of maturity (say at least another 3 years after graduation). Finally, the above benefits need to relate to real costs, measured as benefit/cost ratios or as a discounted cash stream.
Planning Strategically for the Future The business incubation industry is two decades old in the United States and Europe, but less than half as old in restructuring countries. It certainly should learn from mistakes of SME support systems of the past,
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and re-define its role for the difficult times ahead. The discernible trends for enterprise support systems, including incubators, are outlined below, although there is no clear consensus on where the industry is heading. The technology orientation, so evident in industrializing countries, will continue. The galloping developments in informatics, communications, biotechnology, robotics, space and advanced materials will provide new opportunities. Of particular interest to restructuring countries are the recent explosions of the Internet, E-commerce and all related services. The world is now becoming a ``global village'' with immediate on-line access to information retrieval and processing wherever it is located. Computing and communication costs are decreasing continually. This fact opens up new possibilities for worldwide E-commerce by entrepreneurial firms in restructuring countries, provided these comply with the professional, technical, quality and ethical standards now prevalent in the industrialized countries. Tech-related enterprises can be expected to grow rapidly, calling for the more strategic services of an ``Innovation Center.'' Concurrently, there are emerging opportunities for blending advanced techniques with traditional processes, as in agriculture, textiles, energy conservation and environment protection. Stronger linkages will be needed to technology sources and users, to universities, corporations and public research, with locations in physical and structural proximity to technology parks and industrial estates. Special purpose incubator designs are emerging for women entrepreneurs (in Jordan), and for single-disciplines such as software (in India), agri-business (in Indonesia) and biotechnology (in Brazil). A bottom-up regional development focus for the future will call for better use of local agri-based resources and skills, higher value added in light engineering and chemicals, garments and artisanal goods, for both export and domestic markets. Creation of incubator hubs with satellite systems will provide scale economics, wider outreach and lower costs. Innovative systems such as the franchising of incubator technology itself will emerge. The ``third generation incubator'' will operate both within walls and outside through outreach, providing both pre-incubation and post-incubation survives. With regard to financing incubator development, some governments, as in China and Malaysia, have recognized the need for providing the initial funds as a social investment. But many have yet to be persuaded that this is a proper use of public funds. The private sector has generally been absent from
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the incubator scene, with the notable exception of Federation of Industry Sao Paulo (FIESP) which has started and runs some 20 incubators. Corporate involvement usually focuses on mentoring of individual entrepreneurial tenants, sub-contracting of goods and services, spin-offs for special intrapreneurial activities. Once the incubator has established credibility, participation can be through equity investment and know-how licensing at tenant companies. The vagaries of future state support budgets will put pressure on attaining financial sustainability, through enhanced professionalism, performance bench-marking, increased private sector involvement and creative resource mobilization. These trends will impose greater responsibilities on the incubator managing board, and the management and staff. The incubator professional for year 2000 will have to be technologically versatile, totally computer literate, with higher-end financial management, marketing and inter-personal skills and full immersion in community affairs. This renaissance person, more likely a woman, will have to be fully accredited and better remunerated. The emerging International Business Incubator will serve both indigenous and international small companies. Incubators and their tenant-businesses will have to link up within countries and reach out across borders, in mutual self-interest. National associations of business incubators and technology parks have been operating in Mexico, Brazil, China and now in Malaysia, Egypt, Indonesia, Russia, Hungary, Poland and Czech Republic. Such associations may federate within multi-country regional groupings, such as NBIA in North America, EBN in Europe, ADT in Germany and the former Soviet Union, or in a global international association. While growth of incubator numbers in industrial countries is slowing down, expansion in industrializing and re-structuring countries will continue at the rate of 10±15 percent annually, that is, one new incubator added each week until the present 500 incubators double in the next five years. Such growth will come from countries which are now establishing incubators and variants. Candidates include: Egypt, Morocco, Tunisia, Syria, Palestine, Lebanon, Jordan, South Africa, Kenya, Senegal, Tanzania, Zimbabwe, India, Pakistan, Sri Lanka, Vietnam, Slovenia, Myanmar, Thailand, Iran, Colombia, Ecuador, Albania, Bulgaria, Romania, and several central Asian countries. Further, some countries such as China plan significant expansion of their programs, while in others, major
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enhancements of existing operations are underway, such as in Brazil, India, Turkey, Malaysia, Mexico, and Uzbekistan. In conclusion, the future calls for enhanced professionalism in incubator design and operation, including development of specialist-managers, creative forms of financing, and bench-marking of performance as we have seen is happening in industrialized countries. Also, incubators everywhere will continue to operate under increased pressure to achieve economic sustainability as government funding for such operations looks increasingly unreliable.
C. Principle:
Lessons Learned
1. Practice:
Lessons have been learned, sometimes the hard way, on supporting the start, survival and successful growth of technology ventures in the restructuring countries. The existing park and incubator operations in some Asian countries and the trends towards convergence in China, Malaysia, Uzbekistan and Taiwan point to the driving forces which make for success. Good practices from the international incubation experience indicate policy guidelines that governments and stakeholders should endorse and the adaptations they should make to mobilize these driving forces, as outlined below. Fundamental principles of successful business incubation (Rice and Matthews 1995) and suggested adaptations to restructuring countries are as follows. A. Principle:
Focus the energy and resources of the incubator on developing the companies within the incubator. Adaptation: New jo b s a n d ec on o m i c growth are created by companies, not by the incubator administration. In some countries the tendency is to spend most of the effort on preparing plans (which is relatively easy), rather than implementation with the companies (which is difficult). B. Principle: Manage the incubators as a business and develop a selfsustaining business operation. Adaptation: In restructuring countries, the funding by governments and donors is sporadic, and bureaucrats are not business oriented. The Incubator Director should be an entrepreneur with proven experience.
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Develop a sophisticated array of services and programs targeted to the needs of the companies. Adaptation: This principle is a corollary of A above. For restructuring countries these services and programs may first come from international organizations, but should be rapidly transferred to the local staff.
Enhanced professionalism needed
These principles are the basis for the following ten good practices and their adaptation to restructuring countries.
Adaptation:
2. Practice: Adaptation:
3. Practice: Adaptation:
4. Practice:
Adaptation:
5. Practice: Adaptation:
Commit to the core principles of business incubation as first step. In order to avoid misunderstandings and conflicts, the core principles must be clearly explained to all the stakeholders of the incubator and their agreement and commitment obtained as early as possible Collect and assess key information to decide whether the incubator is feasible or not. In many countries, information is often incomplete and biased. It also may be overoptimistic, in order to ``sell'' the project and obtain funds. Structure the incubator to be financially self-sustainable after initial support. In most situations, financial sustainability is difficult to achieve unless anchor tenants and state subsidies are obtained for the first 5 years. Structure the organization to minimize governance and maximize assistance to incubator companies. In some countries there is a tendency to grow bureaucracy and provide poor service. The concept of incubation as a nurturing and value-adding process must be pursued from the start. Engage stakeholders to help companies and support incubator operations. Most entrepreneurs in restructuring countries are good at networking, but this process should be also managed by
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6. Practice:
Adaptation:
7. Practice:
Adaptation:
8. Practice:
Adaptation:
9. Practice:
Adaptation:
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enlisting possible academic, government, private and international support. Recruit staff who will manage the incubator as a business and a director who has the capacity to help companies grow. As was done in Ukraine, there could be ``twin'' directors of an incubator, a foreign expert and a local manager. The latter would take over as soon as ready. Training of incubator staff would be done at comparable, well-established incubators, and locally by trainers familiar with the best practices. Choose a location and building that will enable the incubator to generate sufficient revenue and support business incubation. The building should be of quality, conveniently located and well equipped (telephone exchange, computers, copiers, faxes, satellite communications) in order to attract international or national anchor tenants, who will subsidize the incubator companies. Select companies that provide revenue and have the potential to grow and create jobs in knowledge-based, value-added ventures. The incubator director must resist political pressure from stakeholders to recruit companies that do not meet these criteria. Business plans and the personality and reliability of the entrepreneurs should be rigorously evaluated. A marketing effort is needed to recruit international and national anchors. Customize the delivery of assistance and address the developmental needs of each company. The incubator staff will be mostly local in order to understand the specific needs of the companies, but will be trained in the good practices abroad. International advisors may also assist the companies and monitor the work in the startup period.
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10. Practice:
Engage in continuous evaluation and improvement as the incubator progresses and the needs of client companies change over time. Adaptation: Careful monitoring of progress should be done monthly by the staff and by the board. Deviations from the plan should be promptly identified and corrected. Importantly, the effectiveness, impact, outreach and sustainability of the incubator should be critically evaluated by sponsors and management.
Conclusion Business incubation and enterprise support systems have expanded rapidly the world over, with the growing recognition that modern small businesses are now the real engines of economic progress. But the expansion in support centers, particularly in business incubators, has been at even faster rate in the restructuring countries. While difficult to quantify, their social and economic impacts are now becoming manifest in the transition economies as well as in industrializing countries. Nevertheless, the quality and value added by these systems show great variations from country to country and even with the same country. The next step will be to benchmark the results obtained, by comparing incubator and tech parks within this group of countries and with established incubators and parks in industrialized countries. It can be said that the incubation process has been more art than science. Now as this modality has entered its second decade, the `why' behind the `how' and `what' is beginning to be researched. In most country situations, the diverse methods of creating and growing enterprises have to be brought together through the convergence of the driving and nurturing agencies, including venture capital and knowledge bases such as universities and research parks. Without such flexible and integrated response to the challenge of globalization, the managed work-space and support systems may lose their effectiveness, their relevance, and their very reason for existence.
Note 1. A shorter version of this paper was presented at the Eighteenth Annual Entrepreneurship Research Conference, Gent, Belgium; May 1998.
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References Abetti, P.A. (1992) Planning and Building the Infrastructure for Technological Entrepreneurship. Int. J. Technology Management, Special issue, 7, Nos. 1/2/3, 129±139. Abetti, P.A., Hirvensalo, I. and Kapij, M.I. (1998) Multicultural Entrepreneurial Ventures. Frontiers of Entrepreneurship Research, in print. Abetti, P.A. and Rice, M.P. (1995) Planning and Building the Infrastructure for Technological Entrepreneurship ± Part III ± Field Studies in Ukraine. Frontiers of Entrepreneurship Research, 248±260. Abetti, P.A. and Savoy, R. (1991) Management Training of Technology Entrepreneurs. International Journal of Continuing Engineering Education, 1, 364±367. Donor Committee for Small Enterprise Development (1998) Business Development Services for SMEs ± Preliminary Guidelines for Donor Funded Interventions, World Bank. Eisenhardt, K.M. and Forbes, N. (1984). Technical entrepreneurship: An international perspective. Columbia Journal of World Business, Winter, 31±38. Guedes, M. and Filartigas, G. (1998) Survey of Brazilian Business Incubators. Belo Horinonte, Brazil: ANPROTEC. Harper, M. and Finnegan, G.I. (1998) Value for Money ± Impact of Small Enterprise Development?, Oxford: IBH Publishing Co. Hisrich, R.D. (1998) Sustaining Innovation and Entrepreneurship in Transition Economies. Paper presented at IMOT VII Conference, Miami, Fl., February. Hisrich, R.D. and Grachev, M.V. (1993) The Russian Entrepreneur. Journal of Business Venturing, 9, 487±497. Htun, N. (1997) Foreword in Lalkaka, R. Supporting the Start and Growth of New Enterprises, New York: United Nations Development Programme. Jin, Z., Yim, P.P. and Mason, R.M. (1998) Dealing with Cross Cultural Differences: The Innovative Deployment of Internet Groupware Technology. Paper presented at IMOT VII Conference, Miami, Fl, February. Kapij, M.I. and Abetti, P.A. (1997) An Entrepreneurial Venture Teaming Multi-Cultural Groups: A Case Study of Software Factory International Ltd. Management of Technology VI, 1162±1171. Koskinen, A. and Virtanen, M. (1998) SME Support Policy in Finland: An Evaluation of SME Policy, Programs and Instruments. Proceedings of the Conference on Growth and Job Creation in SME's, Milkkeli Finland, January, pp. 310±329. Lalkaka, R. (1997a) Supporting the Start and Growth of New Enterprises. New York: United Nations Development Programme. Lalkaka, R. (1997b) Lessons from International Experience for the Promotion of Business Incubation Systems in Emerging Economies, Vienna, Austria: UNIDO.
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Lalkaka, R. and Bishop, J. (1996) Business Incubators in Economic Development: an Initial Assessment in Industrializing Countries. United Nations Development Programme. Lalkaka, R. and Shaffer, D. (1999) Nurturing Entrepreneurs, Creating Enterprises and Technology Business Incubation in Brazil, Proceedings, International Conference on Effective Business Development Services, Rio de Janeiro. Levie, J. (1993) Can Government Nurture Young Growing Firms? Quantitative evidence from a Three Nation Study, Frontiers of Entrepreneurship Research, 198±211. McMullan, W.E. (1988) Entrepreneurial Support Systems: An Emerging Scientific Frontier. Journal of Development Planning, 18, Winter, 31±38. Moenaert, R.K., DeMeyer, A. and Clarysse, B.J. (1994) Cultural Differences in New Technology Management. In Souder, W.E and J.D. Sherman Managing New Technology Development, New York: McGraw Hill, pp. 287±314. Molnar, L.A., et al. (1997) Business Incubation Works. Athens, OH: NBIA Publications. National Business Incubator Association (1996a) 10th Annual Survey Report. Athens, Ohio: NBIA. National Business Incubator Association (1996b) A Comprehensive Guide to Business Incubators. Athens, Ohio: NBIA. OECD (1997) Local Development and Business Incubators: Experiences on Enterprise and Job Creation. Rice, M.P. and Matthews, J.B. (1995) Growing New Ventures, Creating New Jobs. Westport, CT: Quorum Books. Tiedemann, C. and Lalkaka, R. (1998) Managing Business Incubators for Financial Sustainability. Proceedings, International Incubation Conference, Hong Kong. Timmons, J.A. (1988) New Venture Creation, 3rd edition, Homewood, IL: Irwin. Tornatsky, L.G., et al. (1995) The Art and Craft of Technology Business Incubation. Athens, OH: NBIA Publications. Vescenyi, J. and Hisrich, R.D. (1990) Entrepreneurship in the Hungarian Economy. Frontiers of Entrepreneurship Research, 492±503. Vesper, K.H. (1983) Entrepreneurship and National Policy. Chicago, IL: Heller Institute for Small Business Policy, No. 3.
Rustam Lalkaka is the President of Business and Technology Strategies in New York, NY, USA and Senior Consultant to the United Nations Development Programme. Pier Abetti is a Professor of Management of Technology and Entrepreneurship at the Lally School of Management and Technology, Rensselaer Polytechnic Institute, Troy, NY, USA.
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Function-Oriented Creative Group Problem Solving Patrick Sik-wah Fong This paper presents the concept of Value Management (VM) ± a creative group problem solving technique that has been in use for 50 years and is still gaining in popularity and momentum. The differences between creative problem solving and value management processes are examined. Function analysis ± the element that makes VM different from other traditional problem solving methods is examined in great detail. The paper reviews the use of function analysis to define the objectives of a product, project or service. In doing so, unnecessary costs will be removed and better designs or decisions can be made. Since a VM study will capture the input of a wide range of stakeholders, including end-users of products, services and facilities, planners, designers and other decision-makers, this group problem solving technique should have a higher degree of acceptance and implementation rate. A real life case study has been used to illustrate the group dynamics and processes involved in a value management study.
Introduction
Synergistic potential of group
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The rapidly changing competitive environment is altering the landscape of today's business world. As a result, a manager's role is becoming more challenging and demanding. Managerial decisions have an influence on the success of an organization. Given today's intense competitiveness, decisions have to be made faster to keep up with increased local, national and global competition. For this reason, interactive and participative management styles which allow people to discuss suggestions for improvements, get involved in the decision-making process, and participate as a group member whose ideas and suggestions are valued and welcome, are becoming more important nowadays. Many factors have contributed to the considerable attention given to groups and their increased use of decision-making during recent years. One is that groups possess a synergistic potential which allows them to operate beyond the capabilities of a given member on certain types of tasks. The interaction between group members and their creative potential allow groups to reach creative solutions of better quality than
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those produced by an individual working alone (Van Gundy, 1984). Ad hoc teams, groups of individuals brought together for a specific task then disbanded upon completion of that task, have long been an aspect of organizational and cross-organizational operations. One very successful use of ad hoc teams is known variously as Value Management (VM), Value Engineering (VE), or Value Analysis (VA). Teams are assembled to represent various disciplines, departments, stakeholders, etc. These teams follow a set of methods which allow them an integrated view of the design, project, product or service, and help them to develop creative new alternatives, many of which involve synergy across the boundaries of disciplines, departments and stakeholders.
Creativity and Value Management Definitions of creativity have evolved to include three central ideas: (1) work (the product of some endeavor), (2) transformation (associating unrelated ideas or thoughts), and (3) output (creative results). Koestler (1964) proposed that instead of random # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
FUNCTION-ORIENTED CREATIVE GROUP PROBLEM SOLVING
associations, creativity involved the deliberate connecting of two previously unrelated matrices of thought to produce a new insight or invention. Creativity is important to the success of every business. It can help generate useful ideas for tackling problems in everyday situations. Value management is a systematic problem-solving technique that is extremely useful for resolving issues in an organization. By identifying the primary function of every element of the design, product, project or service, unnecessary costs would be eliminated, and existing designs or decisions could also be improved. Function analysis, the basic foundation of value analysis, was introduced by Lawrence D. Miles of the General Electric Company in 1947. It came into being at the same time as Value Analysis (VA), and has continued to develop within the framework of the value methodology. VA and function analysis continued to be developed and implemented by the manufacturing industry until 1963, when they were introduced into construction industry by Al Dell'Isola. The function concept was developed to identify the functions and remove any unnecessary costs of a product or system that are not relevant to the required functions. As a result, performance was improved or maintained, and costs were reduced. Its success spread throughout the country, and its application in other industries was encouraging. Value management is now widely used in North America, Europe, Japan, Australia and Hong Kong.
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Creative Problem Solving Process vs. Value Management Process Parnes et al. (1977) describe a step by step process of creative problem-solving which alternated divergent and convergent thinking in a series of phases. Value management takes a broader approach to problem solving than many other techniques, and includes a number of qualitatively different components. As a prescription, not only does it lay out steps for an individual or group to follow when approaching a problem (the ``Job Plan''), it also addresses issues such as team selection. It also specifies ways to think about the problem and its constraints using the concept of Value and in the method of Function Analysis. Figure 1 compares the processes involved in creative problem solving and value management.
The Value Management Process Value management consists of several elements; one of them is the Job Plan. Job Plan is a systematic value management approach with five phases: Information, Function Analysis (or Analytic), Creative, Evaluation, and Presentation. Many versions of the job plans have been proposed by different authors, but they are essentially the same. A multidisciplinary team of experienced personnel forming a value management (VM) team would be brought together in a workshop to analyze a project. They would conduct a VM study following the five phases of the Job Plan (Figure 2).
Creative Problem Solving Process
Value Management Process
Fact Finding
Information
Evaluation
D
D Acceptance Finding
Creative
D
D Solution Finding
Function Analysis (Analytic)
D
D Idea Finding
D
D Problem Finding
Presentation
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What are Functions? Function analysis is the element that makes VM different from other traditional problemsolving methods. The whole process of VM is based on function analysis. So what is ``function''? ``Function is the basis purpose of an item or an expenditure. It may also be a characteristic that makes the item work or makes it sell'', or it simply means ``anything that makes a product sell or work'' (Zimmerman and Hart, 1982). Function is, according to Kelly and Male (1993), ``. . . a characteristic activity or action for which a thing is specifically fitted, used or for which something exists''. ``Function, as used in the term `function analysis', means simply, `what something does' where the `something' is a product, process, system or service or an individual component of a product, process, system or services'' (Barton and Knott, 1994).
According to Akiyama (1991), ``functions can be classified from a variety of perspectives''. The different types of functions and their relationships are shown in Figure 3.
i. Use Functions and Esteem Functions As Akiyama (1991) says, `use functions' are functions that involve ``the purposes or goals for which products are used''. Generally, ``the functions relating to the internal mechanisms of products, their parts or materials'' are use functions. `Esteem functions' intend ``to give sensory satisfaction to the product user''. They are concerned with artistic or decorative design, such as the form or color of products.
ii. Basic Functions and Secondary Functions According to Miles (1989), basic functions are ``those functions for which the customer buys the device or service'', while secondary functions are ``those functions required to cause or
Information Phase & Secure facts, determine costs on current specifications and requirements.
Functional Analysis Phase (Analytic Phase) & Define function, evaluate functional relationships and cost these functions. Where possible and relevant, identify customer attitudes concerning functions.
Creativity Phase & Establish positive thinking and develop creative ideas in a team setting.
Evaluation Phase & Refine and combine ideas, establish costs on all ideas, develop function alternatives and evaluate by comparison.
Presentation Phase & Present proposals that resolve the study issues and motivate action.
Figure 2. Five-Phase VM Job Plan
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Functions
Use functions
Basic functions
Esteem functions
Secondary functions
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Necessary functions Unnecessary functions
Source: Akiyama, 1991
Figure 3. Function Types and Their Relationships
allow the designer's choice of means for accomplishing the basic functions to do so effectively''. In other words, basic functions describe the output of the product in terms of the user's need. Secondary functions, however, support the basic function(s) and allow them to occur.
iii. Necessary Functions and Unnecessary Functions Necessary functions, according to Akiyama (1991), are functions that are ``demanded by the customer or linked to those demands''. Unnecessary functions refer to functions that ``can be eliminated by changes in the current design'' or which ``improvements in the current design would make unnecessary''.
Function Analysis As Barton and Knott (1994) suggest, function analysis is ``a process for identifying what things actually do in a process, product, system or service that meet the needs of the user. It expresses the functions with associated performance criteria in a succinct manner and provides information on the links or relationships between them''. In other words, it is a powerful technique for analyzing the performance and usefulness of a product or service. It assumes that there is a need for a product, and specifies how these needs are met by a design. Function analysis sets value management apart from other cost reduction techniques. In simple problems, simply agreeing on the function may produce a needed insight, but in most problems, it is examining the hierarchy and system of functions which add up to total value which produces the big surprises and advantages. There is another name for function analysis: the `Functional Approach'. Some authors may
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even use `Functional Analysis' to refer to it, but readers should realize that `Functional Analysis' might also refer to a totally different technique used in mathematics.
The Processes of Function Analysis In function analysis, the first step is to divide a project into quantifiable elements. The function of each element would then be identified in two words, a verb and a measurable noun (Table 1), giving the value team an analysis of each subsystem. After identifying the function of each element, VM team members would assign worth to each function. ``Worth is the least cost for performing a function'' (Zimmerman and Hart, 1982). This generates many alternatives to the original design. The group would then compare the overall system cost and the sum of the worth for the system when performing basic functions only. This is actually a useful, heuristic problemsolving technique. ``A heuristic is a guiding principle or `rule of thumb' used in solving problem. It would be helpful in some narrowly selecting problem space'' (Weiten, 1995). `Problem space' refers to the set of possible ways to a solution. The heuristic's methods are by forming a subgoal and changing the presentation of a problem. Instead of tackling the problem as a whole, breaking the problem into many smaller parts is an effective and efficient problem-solving method.
Why Use Function Analysis? The merit of function analysis is that by dividing the whole system into many subsystems, each subsystem becomes a subgoal of the design problem. This can ease difficulties in solving the problem. As the element
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Table 1. Verbal Model of Function Analysis (Partial List) Object of Function Definition (Product or Service) clock fountain pen fuse binder
Verb
Noun (Function)
indicate decorate release store cut off hold together classify
time wrist ink ink excess current documents documents
Source: Akiyama, 1991
becomes smaller, the considerations for it are much fewer than the whole system, so the chance of finding a solution is increased. You also solve the problem more quickly, as by solving one of the elements, you have found part of the solution to the whole problem. Simon and Reed (1976) suggested that when subjects were not obvious, providing subgoals helped the subjects to solve the problems much more quickly. This gives you more time to develop alternative ideas for other important problems. These methods can also improve our understanding of the product or the project. Generally, when we have a problem, we only focus on the aspects which we think are important, but by breaking the project into small elements, we can look at the problem from different angles and in a much deeper way. And, by identifying the basic and
secondary functions of the elements, we have a better understanding of the project, and can remove any bias. One of the functions of VM is identifying any unnecessary costs, as this is generally responsible for the poor value of a design. Through identifying the basic and secondary functions of the project, we can completely understand its main function. All other functions and uses are actually unnecessary, and do not contribute any costs; their existence is actually due to the biases of the designers. The verb and noun description of a function provides the team members with a wide scope of thinking which improves the creativity of the product or project. The two-word description helps us to visualise them, easing the thinking process. As we want to identify the basic function of the element, we simplify
Table 2. Product Problem-Solving and the Need for Function Analysis Shortcomings of Current Problem-Solving Approach
Function Analysis for Problem-Solving
Focuses on improvement without analysis Relics on haphazard analyses
Is accurate; focuses on function analysis Is based on systematic function analysis of products Is based on systematic function analysis of products Is based on function analysis of product-use goals Is based on function analysis of product's essence
Relies on ad hoc analyses Is based on analyses of physical product attributes and conditions Is based on analyses of results and appearances Source: Akiyama, 1991
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the concept by using a verb and a noun only. The simplicity of the expression makes the objective very clear, when as the first thing we have to do is identify the objective, giving us a direction towards the goal. It also creates fewer constraints on our thinking, and we can convert the basic description into a number of pictures. ``It is easier to learn a concept if there are only one or two relevant attributes or only a few irrelevant attributes than if there were several. It is easier to learn a concept if the relevant attributes are salient or obvious'' (Vernoy and William, 1991). Poor design usually comes about because there is so much irrelevant information that it affects the designers way of thinking. One more advantage is that if everyone can understand the function, they would be more motivated to participate in the creative process.
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ming and these other techniques is that FAST is function-oriented and not time-oriented. Figure 4 displays the skeleton of a FAST diagram.
Applications and Limitations Value management has been applied in all walks of life for the past fifty years; from designs to products to procedures, and from software to hardware. The limit of its applications rests in a person's imagination. However, there are two areas where value management should not be applied, marriage or relationships. Value management has been incorporated successfully with other techniques such as Quality Function Deployment (QFD) or Business Process Re-engineering (BPR).
Function Analysis System Technique ± (FAST diagram)
Case Study
FAST is an acronym for Function Analysis System Technique. The FAST diagram is a powerful value management technique which (1) shows the specific relationships of all functions to each other; (2) tests the validity of the functions under study; (3) helps identify missing functions; and (4) broadens the knowledge of all team members about the project. At first glance, FAST appears to be similar to a PERT or flowchart. However, the basic difference between FAST diagram-
In this value management study, it was important to ensure that all project stakeholders' needs were considered in making a final choice of the most favoured option for a redevelopment project in Hong Kong. For reasons of confidentiality and brevity, only certain portions of the value management study have been reproduced. Therefore this case study does not represent a full value management report but highlights the important aspects.
Figure 4. Skeleton of a FAST Diagram # Blackwell Publishers Ltd 1999
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The preferred plan to redevelop the existing site had been investigated for some time with no consensus resolution attained. It was also the wish of the client to get the best development potential out of this project. Before the workshop, most of the project team members were pre-occupied with the notion that the site had to be developed in a certain way in order to shade the development from facing a funeral parlour, which meant bad ``feng-shui'' in Chinese culture. Consequently, it might downgrade the value of those premises facing that side.
4. Programme for fast tracking and best time for land premium discussion.
No-no Parameters (These are the areas considered unsuitable for discussion in the value management workshop.) 1. Extended discussion on hotel/non-domestic location 2. Funding sources
Participants Client A large property developer in Hong Kong with a subsidiary operating ferries service. The existing site actually belonged to the ferry company.
The workshop team was carefully selected to ensure all internal and external project stakeholders were represented. This ensured that the decision making was fact based and provided the best possible input of ideas for the session. The list of participants is shown in Table 3.
Project Objectives To achieve a comprehensive development site composing of retail, residential and hotel/ office/service apartment to maximise profits and improve the company's public image.
Scope of the Project 1. Geographical parameters Northern Boundary defined by an existing road Eastern Boundary defined by an existing road Western Boundary defined by a vacant site Southern Boundary defined by two streets 2. Topographical parameters Four blocks of industrial buildings (around 12 storeys) on the eastern part of the site. 3. Temporal parameters Building Plans by June 1998 Phase 1 foundations start August 1998 Phase 2 demolition start April 1999 Phase 2 foundations start October 1999 Phase 1 pre-sale January 2000 Phase 1 completion March 2001 Phase 2 completion December 2001 4. Financial parameters Target development cost will not exceed HK$2 billion.
Workshop Objectives 1. Identify class of development. 2. Identify retail type and suitability of hotel. 3. Review design of the foundation location and type.
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Workshop Duration One day of intensive 'retreat' decision-making. The facilitators followed the following sixphase job plan (Table 4).
Information Phase Following the identification of the strategic parameters, nine of the project stakeholders were invited to present key functional aspects relating to the project which have been examined so far to raise the awareness of all participants of the major issues. The topics were: 1. 2. 3. 4. 5. 6. 7. 8. 9.
Project Parameters Land Premium Issues Architectural Aspects Building Services Structural Aspects Foundation Construction Top-down Method of Construction Sales and Promotion Estate Management
Function Analysis Phase Using the function analysis approach, the workshop team came up with eight criteria as being the important functions of this development.
Idea Generation Phase Using the brainstorming technique generated a total of 63 ideas.
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Table 3. List of Participants Organisation
Title
Ferry Operator Ferry Operator Ferry Operator Ferry Operator Property Developer Property Developer Property Developer Property Developer Property Developer Property Developer Property Developer Estate Management Estate Management Estate Management Consulting Structural Engineer Consulting Structural Engineer Architect Architect Contractor Contractor Consulting Quantity Surveyor Consulting Quantity Surveyor Consulting Services Engineer Ferry Operator University Academic Property Developer
Chairman Group General Manager Corporate Finance Officer Director & General Manager General Manager Deputy General Manager Assistant Project Manager General Manager Deputy General Manager Sales General Manager Sales Manager Coordination Assistant GM QS Assistant General Manager Coordination Project Manager Engineering Manager Chief Engineer Architect Director Architect Director ± Foundations Division Senior Project Manager QS Director QS Director E&M Deputy Managing Director Co-Facilitator ± Value Management Co-Facilitator ± Value Management Assistant to Facilitators
Evaluation Phase The brainstorming session used the results of the criteria setting as the focus. The workshop team was divided into three groups to examine the functions. In all, there were 63 ideas generated in this way. These were then prioritised as P1 (worthy of immediate analysis), P2 (worthy of further analysis if time allowed) or X (drop it). A summary of the P1 items is listed in Table 5.
Evaluation Criteria ± Paired Comparisons The workshop team set eight criteria as being the important functions of this re-development. Paired comparisons were carried out between each to establish importance. These are listed below in Table 6. The paired comparison revealed that the proposed development did not have to be specifically tied in with the ferry operator's image or have a link with ferries in the same way the company's pier development would.
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Whilst ``maximise profits'' was regarded as a project given, the remaining six criteria functions were given to the workshop team to develop ideas for achieving them.
Development Phase All the P1 ideas were assessed and themes assigned. This was discussed and reassigned until the following grouping was reached: A. B. C. D. E.
Design Brief Time / Programme Design Detail Financial / Development Cost Sales / Marketing
The workshop team divided into three groups to study the first three categories and to further develop solutions.
Action Plan Phase The P1 ideas were then sorted and the workshop team drew up an action list (Table 7).
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Table 4. Value Management Workshop Job Plan PHASE
ACTIVITY
INFORMATION
. . . . .
FUNCTION ANALYSIS
. Criteria Setting
IDEA GENERATION
. Brainstorming . Small Group . Large Group
EVALUATION
. Rating of Ideas . Grouping of Ideas
DEVELOPMENT
. Development of ideas
ACTION PLAN
. Presentation of developed ideas . Group discussion . Action statement
These were assigned to stakeholders to follow up with a confirmed timescale for delivery as follows. Action plans with target completion dates were developed at the end of the workshop so that each discipline was asked to investigate in greater depth on the viability of different ideas proposed.
Discussions The workshop was found to be informative, creative, constructive and synergetic. It can help to build up the team spirit for the continuous cooperation in this project. The workshop concluded with significant changes such as . omitting the basement, . substituting the hotel with a mixed non-
domestic complex, and
. deciding that the development should
proceed as one phase but with two stages.
The idea of bad ``feng-shui'' because of the funeral parlour was at the end overcome by substituting the hotel with a mixed nondomestic complex, as people are not so concerned about their work environment as their living environment.
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Project Parameters Objectives SWOT analysis Critical Issues Presentations
It is found that the participatory approach in group problem solving is represented by participation of all internal and external project stakeholders. The sense of ownership of the project also drives the commitment towards it. At the end, the goals set will become achievable. In addition, the exploitation of group dynamics in a benign sense is of great benefit in the effective running of the project. One of the ways to harness these group dynamics is to ensure a systematic approach in running the workshop. The role of the facilitator as an external agent is very important in effective group problem solving as stakeholders find it at ease with a neutral person. Value management as a fast track consensus and group problem solving technique has its benefits. Function analysis can be used as a facilitative device to structure creative thinking. It structures debate about the reality to be evaluated and structures thought around the ways in which that reality can be realized. The idea generation stage is the point in the workshop where creative thinking abounds. It is up to the facilitator to facilitate as many ideas as possible, and challenge old assumptions that are brought out in the information
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Table 5. List of P1 Ideas No.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28
Description
Screen Code
Replace hotel block with clubhouse / shopping arcade / E&M rooms / residential blocks/ car parks with single aspect design Develop a Telecommunication Centre instead of hotel No basement No hotel (save fitting-out cost) Minimise flat size Maximise no. of seaview units Diversify unit size mix Provide office units Convert to multi-storey car park Frozen design as early as possible Determine phasing of development at early stage Explore modern technology/technique to speed up construction Identity best use of site Buy the funeral parlour Tax Planning No phasing to minimise cost Fix time schedule and commencement dates as soon as possible Proper programming of concurrent activities Early pre-sale Pre-contract removal of existing piles Shorten construction period Create a unique identity for the development Identify competitor's provisions Identity regional market demand Provide market analysis Reduce transfer structure Standardization of design Reduce basement area to avoid existing obstructions
stage, e.g. the funeral parlour in this case study. A variety of creative thinking technique can be used. The reason for brainstorming being used most frequently is due to its popularity and simplicity. As long as the project stakeholders feel comfortable and the technique can generate as many different ideas as possible, there is no reason why other creative thinking techniques should not be used. In this case study, a high volume of ideas was generated to improve the project or meet the functions. However, only a few selected high quality ideas will evolve which produce ``added value'' to the stakeholders within the context of the project. Function analysis has already been suggested as a basis for generating stimulus words and to provoke the
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P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1 P1
brainstorming session. In this way, although lots of ideas can be generated, all ideas are at least in some way relevant to the basic needs of the project and are not totally ``off-the-wall'' ideas.
Summary Function analysis is undoubtedly the most important component of value management. In the absence of function analysis, value management is merely cost reduction. However, many VM practitioners fail to understand the principle behind function analysis, simply applying the technique in a mechanistic manner, which leads to failure. Used with other strategies, function analysis is a
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Table 6. Paired Comparison CRITERIA (1) A B C D E F G H
RAW SCORE (3)
CRITERIA RANK (4)
7 0 6 5 2 3 3 2 28
25.0% 0.0% 21.5% 17.9% 7.1% 10.7% 10.7% 7.1% 100%
Maximise profit Improve the company's public image Minimise development cost Minimise time Provide a quality development Optimise development mix Optimise layout and provision Simplify structural design
PAIRED COMPARISON (2)
A
B
C
D
E
F
G
H
A
A
A
A
A
A
A
B
C
D
E
F
G
H
C
C
C
C
C
C
D
D
D
D
D
E
F
G
E
F
F
H
G
G
powerful tool for improving existing designs or decisions, especially in an organizational context, whether they be products, services, policies, administrative procedures, or buildings. As a problem solving technique, VM has all of the advantages of creative problem solving: emphasis on different problem-solving stages, deliberate divergent thinking, and flexibility in applying other techniques. Value and function analysis are also powerful ways to analyze the many different values and requirements of a complex problem and bring a diverse group to a shared understanding and common language. The greatest power of VM comes when a problem requires the diversity of knowledge
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that only a multi-disciplinary group can give. VM then allows the development of a shared, insightful view of the problem, and a language to discuss it, causing the synergy of creativity and implementation to be more powerful than many other techniques. Function analysis is recognized as a powerful technique in the identification of the prime function requirement of a project. The success of any VM study is based on the process of function analysis, which in turn largely depends on the timing of the study, the knowledge, experience and attitudes of the participants, the leadership of the team, client participation, group dynamics, and so on. However, the degree of the effect of these factors has not yet been determined.
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Table 7. Action Plans for VM Study Team (1)
1
Description
Screen Code
Group Code
Action By
P1
A
Architect /PM
3 weeks
P1
A
Architect /PM
3 weeks
P1 P1 P1 P1 P1 P1 P1 P1 P1
Architect /PM Architect /PM Architect /PM Architect /PM Architect /PM Architect /PM Architect /PM PM Architect /PM/ RSE/HKF Architect/RSE/ E Man DONE Client Client DONE PM
3 3 3 3 3 3 3 6 6
P1 P1 P1 P1 P1
A A A A A A A A A/C/ E A/C/ E A/D B B C C
P1
C
PM
5 weeks
P1
C
PM/Sales
company policy 1 month Future
19
Replace hotel block with clubhouse / shopping arcade / E&M rooms / residential blocks/ car parks with single aspect design. Develop a Telecommunication Centre instead of hotel. No basement No hotel (save fitting-out cost) Minimise Flat size Maximise no. of seaview units Diversify unit size mix provide office units Convert to multi-storey car park Frozen design as early as possible Determine phasing of development at early stage Explore modern technology/ technique to speed up construction Identity best use of site Buy the funeral parlour Tax Planning No phasing to minimise cost Fix time schedule and commencement dates as soon as possible Proper programming of concurrent activities Early pre-sale
20 21
Pre-contract removal of existing piles Shorten construction period
P1 P1
C C
22
Create a unique identity for the development Identify competitor's provisions Identity regional market demand Provide market analysis Reduce transfer structure Standardization of design Reduce basement to avoid existing obstructions
P1
D
RSE covered by Idea 12 ALL
P1 P1 P1 P1 P1 P1
D D D E E E/C
Sales Sales Sales Architect / RSE Architect /PM X
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
23 24 25 26 27 28
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P1
Time Scale
weeks weeks weeks weeks weeks weeks weeks weeks weeks
6 months 2 months 2 months 5 weeks
to consider 3 months 6 months 6 months 2 months 2 months no basement
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References Akiyama, K. (1991) Function Analysis: Systematic Improvement of Quality Performance. Productivity Press, Cambridge, Mass., USA. Barton, R. and Knott, J. (1994) The Centrality of Function Analysis in Value Management. IVMA Annual Conference 1994, 1±13. Kelly, J. and Male, S. (1993) Value Management in Design and Construction: the Economic Management of Projects. E. & F.N. Spon, London, UK. Koestler, A. (1964) The Act of Creation. Dell, New York, USA. Miles, L.D. (1989) Techniques of Value Analysis and Engineering, McGraw-Hill, New York, USA. Parnes, S.J., Noller, R.B. and Biondi, A.M. (1977) Guide to Creative Action. Charles Scribner's Sons, New York, USA. Simon, H.A. and Reed, S.K. (1976) Modeling Strategy Shifts in a Problem-Solving Task. Cognitive Psychology, 8, 86±97.
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Van Gundy, A.B. (1984) Managing Group Creativity. American Management Association, New York, USA. Vernoy, H. and William, V. (1991) Psychology in Action. Wiley, New York, USA. Weiten, W. (1995) Psychology: Themes & Variations. Brooks/Cole Publishing Company, London, UK. Zimmerman, L.W. and Hart, G.D. (1982) Value Engineering: A Practical Approach for Owners, Designers, and Contractors. Van Nostrand Reinhold, New York, USA.
Patrick Sik-wah Fong is Assistant Professor, Department of Building and Real Estate, The Hong Kong Polytechnic University, Hong Kong.
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Book of the Quarter Reviewed by Tudor Rickards Edited by P Llerena Cohendet, H. Stahn and G. Umbhauer, The economics of networks: Interaction and behaviours, Berlin: Springer, 1998, 330 pp, ISBN 3 540 64699 X, (no index), hback DM159.00, £61.00, $96.00.
T
his scholarly work contains a range of reports on networks, and has been the product of what is clearly itself a network of economic modellers. The network was supported by a grant from France Telecom-CNET and largely conducted from the Louis Pasteur University Strasbourg and CNRS. One of the contributors, Alan Kirman, neatly outlines why networks have become such a hot topic. The conventional economic models have economic agents `make their decisions independently of each other as a function of some generally available market signals such as prices. Thus the only way in which agents interact is through the price system. Yet direct interaction between agents is an intrinsic part of economic organization' (Kirman, p. 17). He goes on to outline the difficulties of aggregating micro-behaviours to map on to macro-economic concepts. Thus networks may be a way of dealing with some of the most troublesome and important aspects of economics. Once we direct our attention to the properties of networks, we have to revisit the question of systems equilibrium. Conventional market economics has developed and extended from the basic market equilibrium model (`markets sort themselves out sooner or later'). Network theory has the luxury of setting out with an open mind regarding the existence and nature of systems equilibria. The implications are new possibilities in a range of very important topics practically and theoretically. One of the editors, Professor GiseÁle Umbhauer indicates the theoretical issues. She first indicates that the concept of networks `refers both to the structure of agents' interaction and to the economic property of positive externalities (Umbhauer, p. 1). She further notes that networks deal with a range of interdependencies and hetero# Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
geneities so that `an agent's well-being, and further his decisions, depend on the individuals he is directly linked with' (p. 2). (We note that economic man still has no evidence of an economic female partner.) From such a starting point, the researchers have set out to study how economic consequences may be impacted by networked agent interactions. A host of models are possible, depending on the interests and assumptions of (a) the networked agents; and (b) the economic modellers. Thus we have versions of Polya Urn approaches, `cascade models', percolation theories, standardization and learning conjectures. The richness of the models and outcomes will be of interest to the theoretically inclined. I will concentrate on the implications. The first question of practical implication is whether networks tend to lead to a convergence of innovations or a divergence. If divergence, we are reassured that creativity and resource-based competences' can `make a difference'. These preliminary results suggest that there are forces that permit the survival of diversity `even if it is not efficient'. These forces are demonstrable when there is a concentration or localization effect. (As far as I can see, this offers another way into understanding the nature of innovation clusters, already supported by empirical evidence). The researchers have the option of setting assumptions regarding structure and network behaviours, and testing for diversity. The other approach is to find conditions under which diversity survives. The book examines interactions and macrostructures; local interaction, learning and diversity; behaviour, externalities and the emergence of networks. From the viewpoint of an interested outsider, I found much to admire and respect. The issues do have practical relevance. The work is well-
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grounded (by that I mean it seems to build out from a carefully constructed and articulated set of assumptions). Yet, I found the gap between models and practice still frustratingly wide. For example, an analysis of how industries may become `locked in' to a given technology seems to avoid the most important issues in the necessary simplifying assumptions. The adoption of the QWERTY typewriter, or (`light') water nuclear reactors
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in the United States, beg the question of what is an inferior technology (difficult enough) and the question of what is an inferior decision (even more difficult). Nevertheless, in these as in other matters, a rich set of speculations has been addressed and modelled. The book will make a valuable contribution to the shelves of a serious researcher into innovation at the level of networks.
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Book Reviews Sutton, John (1998) Technology and Market Structure: Theory and History, MIT Press 676 pp, ISBN 0-262-19399-X, £33.50.
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arly reviews of Sutton's book have been so overwhelmingly positive that any comments from this reviewer may be rather redundant. It is clear from these reviews that many industrial economists consider that this book will be amongst the most influential books in the field for many, many years. Moreover, as one other index, it is interesting to note that the ESRC-sponsored UK Network of Industrial Economists recently held a conference at London School of Economics devoted simply to discussion of Sutton's book, with several major international contributors. This conference was an unprecedented sell-out. So what is it about the book that makes it so influential even within a few months of publication? The analysis of technology and market structure is an old theme in industrial; economics, and the questions raised by Sutton have been examined before by many pioneers in the field. It would seem difficult to find much new to say on the subject, and yet Sutton appears to have done so. What is it about the book that has generated such excitement? A part of the answer is Sutton himself. For some time a leading game theorist from London School of Economics, one of the major schools world-wide, Sutton has become also over the last 10 years or so a leading empirical economist in this field of industrial economics. His earlier book with MIT Press, Sunk Costs and Market Structure, was a landmark because it represented one of the first substantial efforts to confront game theory with systematic empirical evidence. This marked Sutton apart from many if not most other game theorists. The present book continues in that vein. Another part of the answer is the quality of the analysis itself. Those traditionalists who advocate a classical education argue that it even if it is not overtly vocational, it still provides an unsurpassable foundation for any career. In the same way, economists from the mainstream have often argued that even if some theory is rather abstract, and without # Blackwell Publishers Ltd 1999. 108 Cowley Road, Oxford OX4 1JF and 350 Main St, Malden, MA 02148, USA.
obvious empirical application, an economist trained in that tradition has the ideal preparation for real empirical work. This reviewer would want to reserve judgement on the last argument, but certainly it is always exciting to see empirical evidence sifted and reinterpreted from a different theoretical perspective. Sutton brings the highest standards in theory together with high standards in empirical analysis, and the result is very impressive. A further part of the answer is that Sutton has helped to solve what some would say is a bit of a crisis in game theory. For fifty years, game theory has been a prominent part of economic theory ± now, without doubt, the most prominent ± and feelings about it remain mixed within the profession. Substantial resources have been devoted to the advancement of game theory, and some impressive results have appeared. And yet it has left many outside that particular branch of economics feeling cold. Many empirical economists, in particular, have scepticism about game theory that borders on something else. Why? Partly because game theory, perhaps more than any other branch of the subject, has left economics open to the critique that (to quote Peter Wiles):1 ``The main thing that is wrong with economics is its disrespect for fact.'' Game theory has for the most part, and until recently, proceeded in splendid isolation from applied economics. In fairness to game theorists, this is not their problem alone. As Sutton's book makes clear, many of the results of game theory are not immediately usable in empirical work because they depend on variables that are generally unobservable. Sutton's 'bounds approach', on the other hand, is an important advance, because it derives theoretical results that are valid for a wide class of game theoretic models, and hence helps to make game theory applicable, or even testable. This is, to my mind, a very important reason why the book is attracting such interest. Sutton has shown how to get game theory out of the impasse.
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There are however two puzzles about the book, which deserve comment. The first is about the empirical methodology. If game theory is economic theory at its most rigorous, then econometrics is applied economics at its most rigorous. Some readers might be surprised then to find that the main empirical methods used in the book are historical and data description, rather than heavy duty applied econometrics. But actually that is not so surprising. Many years ago ± in the nineteen thirties, to be precise ± the founding fathers of the Econometric Society considered that mathematical economic theory and econometrics were natural partners. But since the nineteen sixties, these two areas have diverged, and when theorists do empirical work they tend to use less formal methods than do applied econometricians. From my perspective, it is entirely healthy that ``softer'' empirical work is being legitimated in this way. It corrects an imbalance in the priorities of mainstream applied economics, and that has to be good for us all. The second puzzle will strike those applied economists familiar with the earlier tradition of primarily empirical, and theoretically less sophisticated work on these particular industries and technologies. How original is Sutton's empirical contribution? At the risk of courting controversy, I would say that much of it is not especially original. But that is not the point of his book. Rather, the purpose is to make game theory operational, and to reexamine some quite well known empirical stories from a critical theoretical perspective. That is done uniquely well.
To conclude, are the traditionalists right about classical education? Is game theory the ideal preparation for empirical work? I shall stick my neck out and say, ``no, it is not''. This is the inevitable view of an empirical economist who considers that theory is important, but that preoccupation with one theory is unhelpful. I believe that those who are too close to game theory are blinded to insights that would be seen by those who take softer, and perhaps evolutionary perspectives, and I believe that the record of applied economic studies of innovation supports this assertion. Nevertheless, Sutton's book is as good an example as you will find of what can be achieved when economists bring theory together with a broad panoply of empirical evidence. If Sutton's book teaches economists to abandon the artificial and dysfunctional separation between theory and empirical, that must be good in my view. As many of the readers of this article will be non-economists, what is in it for them? I think that the best way of summarising this book is that it is a very significant document about the reinvention of economics. It represents a very big step for economics, even if it doesn't look such a big step to the non-economist.
Note 1. P. Wiles ``Epilogue: The Role of Theory'' in Wiles, P. and Routh, R. (eds.) Economics in Disarray, Oxford: Basil Blackwell, 1984, p. 293.
G.M. Peter Swann
Price, If and Shaw, Ray (1998), Shifting the patterns: breaching the memetic codes of corporate performance, 400 pp, Index and bibliography, sback, ISBN 1 85252 253 4 Management Books 2000 LTD, Chalford, Glos., UK, £14.99. This book offers a philosophy of organizational change. It challenges an orthodoxy, if we take as orthodoxy `what they teach you at business schools about organizational change', or `what most business managers understand about organizational change'. The coherent theme within the book is an approach to understanding complexity, and the forces that lead to replication of organizational behaviours. The forces are described as memetic, with a meme having replicative properties in common with the gene. A meme exercises replicative powers in much the way that process philosophers such as Whitehead and Berlin (and earlier, Neitzsche) considered
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that ideas replicated themselves. Berlin was particularly concerned with the mechanisms through which Fascist ideas replicated through the intermediaries of dictators and the apparatus of State control. More recently, a generation of counter-current thinkers in the 1970s rediscovered opposition to conventional rationalism. The `new age' thinkers came together and borrowed ideas from ancient religions and leading edge sciences of physics and mathematics. Sexual, racial, and political orthodoxies were challenged. All this was going on before computers had begun their amazing magical shrinking, and before the internet's connectivity revolution.
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I was reminded very much of the energy and passion for change found in the writings of the physicist and sage, Fritjof Capra, particularly in his book The Tao of physics, written a quarter of a century ago. Capra was among the first scientists (a physicist) to offer ways of understanding uncertainty and complexity, and relating the models to social and organizational issues. More recently we have had a new generation of complexity models, of which the one by Steven Hawkins (A brief history of time: from the big bang to black holes) has become famous (if not particularly well understood). Another science Nobel laureate, Francis Crick, has also become interested in notions of individual and cosmic consciousness that have some overlap with the theme of complexity management. More recently, however, there is a school of complexity management that has discovered a new twist to the transcendental work of the 1970 `third agers'. Price and Shaw appear to be standard bearers for this new school. They acknowledge Capra, but only for his more recent text (The web of life). Other acknowledged influences are Peter Senge, and (interesting for readers of CAIM) Edward De Bono. But the most potent of their influences are those writers such as Richard Dawkins who model organizational replication after the most potent biological metaphor of our time, the genetic metaphor, and the `new Darwinism' of Stephen Gould. I am conscious that I have been trying to put this book into a context ± to make the strange familiar. Price and Shaw would possibly see this as no more than evidence of the power of my memetic structuring. I am forced to seek and to see the old in terms of the new. That conclusion, I suggest, is one
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that is shared by researchers into organizational creativity since the work of Bill Gordon on synectics. Indeed, I found a great deal in the book that was derived through reference to the central thesis of memetic replication and that could also have been derived from reference to writers on organizational creativity. De Bono is of course, a shared influence. Various articles on paradigms and paradigm shifting have also appeared in these pages. I do not think that creativity and complexity theory are competing paradigms. They seem to have too great a respect for the same shared values of collaboration, constructive conflict resolution, and anti-deterministic modes of thought for that. However, I am increasingly of the view that such high-level abstractions as creativity, and complexity theory (with or without the memetic theory attached) are more philosophical than empirically grounded. The value, as the authors say somewhere, lies in what the reader does with the work. Which brings me to the reviewer's obligation to offer opinion on who should read the book, and why. The book will appeal to those who enjoy mental excursions into the nature of the psyche and the cosmos. The style is personal rather than impersonal; eclectic yet informed. I suspect it will bring consolation to the organizational rebel rather than transform the views of a majority of organizational executives or researchers into organizational life. (To be fair, the authors imply as much). It is, however, very reasonably priced, which should appeal to organizational rebels and conformists alike. Tudor Rickards
Murphy, Emmett C. (1997) Leadership IQ, John Wiley & Sons, UK, hardback, 286 pages, ISBN 04712-147-125, £19.99.
E.C. Murphy who is President of E.C. Murphy Ltd., a management consultancy firm, wrote this book. Dr. Murphy has been a consultant with Booz, Allen & Hamilton Inc. and an Associate Professor at the State University of New York, MIT and Syracuse University. To me, the first chapter is the most interesting part of the book, a veritable jumble sale of interesting ideas and examples from real life which underpins theoretical ideas. I would say that this chapter presents an opportunity for everybody to improve his or her leadership style, or rather life style. He
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starts this chapter by explaining the difference between celebrities and leaders. Then he has described seven guiding principles which are used by effective leaders (he calls these work-leaders). These principles are: 1. 2. 3. 4. 5. 6. 7.
Be an achiever. Be pragmatic. Practice Strategic Humility. Be Customer-focused. Be committed. Learn to be an optimistic. Accept responsibility.
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Dr. Murphy has conveyed the importance of these principles in a very effective way, especially by using limited numbers of words. On average he has explained each principle in 500 words. There are also excellent references in these 12 pages on the seven principles. After explaining the principles he has explained eight roles which he suggests leaders should apply to become effective leaders providing development `tools' for each. These eight roles and tools are: Role 1: The Selector Purpose: Select for the customer Tool 1: Focused Questioning Tool 2: Four Steps to selection Role 2: The Connector Purpose: Build and enhance relationships Tool 1: The Connection Ladder Tool 2: The Relationship Styles Grid Role 3: The Problem Solver Purpose: Produce results Tool 1: The Problem Transformer Tool 2: The Problem Analysis and Solution Worksheet Role 4: The Evaluator Purpose: Enhance individual performance Tool 1: The Key Principles of Effective Evaluation Tool 2: The performance Appraisal Worksheet Role 5: The Negotiator Purpose: Serve the customer by achieving consensus on what needs to be done
Tool 1: Tool 2:
The Customer Needs Analyzer The Consensus negotiating Guide
Role 6: The Healer Purpose: Mend the fabric of organizational life Tool 1: The Healing Needs Analyzer Tool 2: The Healing Guide Role 7: The Protector Purpose: Diagnose and respond to threats to organizational well-being Tool 1: The Risk Assessment Guide Tool 2: The Conflict Management Guide Role 8: The Synergizer Purpose: Create a whole greater than the sum of its parts Tool 1: Choice for Change Tool 2: The Seven-step Guide to Self-Improvement In subsequent chapters, the author has explained these eight roles by using a real life example which underpins theoretical ideas beautifully. At the end of this book the author provides ``The Leadership IQ Self-Assessment'' which is a comprehensive developmental assessment for individuals seeking to identify opportunities for self-improvement in both work and personal life. On the whole I would say it is a good read for practising managers, and worth spending money on the book. Faisal Q. Khokhar
Cook, Peter (1998) Best practice creativity, hardback 288 pp, references and general index, ISBN 0-566-08027-3, £45, Gower Press. Peter Cook has written a contribution to the relatively under-represented stock of books on organisational creativity from a non-American perspective. For some years, a network of practitioners around the world has been emerging to add a multi-cultural perspective to a field that owes so much to the contributions of American pioneers such as Guilford, Torrance, McKinnon and Alex Osborn. The author seems to have worked out his own beliefs with a passing knowledge of the history and ideas in currency within the field. For this reason, it is interesting to evaluate the ideas in the book against this backdrop.
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At times, the lack of knowledge produces ideas that may lead to unhelpful confusions. For example, there is an account of the four Ps of creativity. These are described as positivity, playfulness, passion and persistence. The confusion arises because one of the core concepts shared within the international network is that of the four Ps of creativity, namely person, process, product and press. Clearly, there may well be advantages in a new formulation that offers improvements over the older beliefs. This does not seem to be the case here. I am reminded of the valiant and long-extended struggle by Michael
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Kirton to replace prevailing concepts of innovators with his own notion of innovators as people with a particular cognitive style. On the other hand, there is a great deal of material that is described with energy and enthusiasm. The author has clearly assimilated a lot of ideas from others, and reworked them until they have become internalized. I believe that all creativity trainers and consultants are well advised to do exactly this. Their reported ideas then stand both as a personal document, and as an interpretation of a wider set of beliefs. The difficulty is that without knowledge of earlier work, the author remains in considerable doubt as to which of the ideas are likely to be new to the interested reader, and which are already wellknown. For example, he notes that each
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reader has to modify the ideas in the book according to his or her own circumstances. This is roughly what has been advocated for many years by workers such as Scott Isaksen, (Buffalo) Mim Basadur, (Toronto) and my own colleagues (Manchester), although the author seems unaware of these contributions to the field. A well-written book, likely to be of interest to trainers in organisations in which creativity has not yet been taken seriously. More experienced practitioners, trainers, and consultants may be inclined to examine it to see if there are a few `wrinkles' worth extracting from what is likely to be relatively familiar material. Tudor Rickards
Edited by Stern, C.W. and Stalk jr, G. (1998) Perspectives on strategy from the Boston Consulting Group, John Wiley & Sons, New York, 319 pp, $29.95, hardcover. This book presents a collection of insightful, thought provoking, managerially grounded contributions. These are reflections that emerge from day-to-day solutions to managerial problems that span from the 1960s to the early 1990s. Individual contributions, therefore, evolve hand in hand with Western economies turning from manufacturing- to service oriented base. Some articles in the 75 ``perspectives'' collection have been reprinted in top forums such as Wall Street Journal (1), New York Times (1) and Harvard Business Review (3). Of these, 29 ``perspectives'' (40%) were authored by BCG's founder (Bruce D. Henderson) and the rest (46) by other prominent members of BCG's consultant corps (including 7 from one of the editors to the volume). Each section aims to illustrate contemporary themes on business policy such as: . unique contributions made by BCG (such
as the experience curve and the strategic environment matrix); . stalemate (i.e. generic strategies for mature markets); . management wise (i.e. key practices and virtues of company leaders and the dentralisation/control decision); . achieving competitive advantage (which considers whether competition is a stable or a ``dynamic'' encounter, value chain enhancement, an increasing emphasis on core capabilities as the basis for business strategy); and
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. the economics of market positioning (i.e.
whether to define businesses in terms of supply dimensions or demand attributes).
However, there are some problems in the aggregate. Overall coherence is reduced because of incomplete definitions. This irregular use of terminology through the discussion could perhaps be linked to the unsystematic (random) study of ideas across time. The end result is that the collection of ``perspectives'' fails to develop synergy. Themes are often difficult and tedious to follow. Lack of central focus, therefore, suggests readers are better served through piece meal selection of contributions. Browsing through the titles has greater potential to make reading interesting and stimulating than the rigorous review of the contributions. Hence, this book is probably best suited to complement a business policy course by exposing students to some managerial insights (as a previous book by B.D. Henderson is currently out of print 1). Alternatively, the text could be useful for practitioners willing to develop a swift grasp of specific subjects in corporate strategy.
Note 1. Henderson, Bruce D. (1979), Henderson on Corporate Strategy, Cambridge (Mass.): Abt Books
Bernardo Batiz-Lazo
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Edited by Dingli, Sandra (1998) Creative thinking: towards broader horizons, softback, 245 pp, no index, ISBN 99909-45-08-X, Malta University Press, Valetta, no price available. This book reports the proceedings of the third international conference on creative thinking, each of which has been hosted by the University of Malta. The conferences attract a wide range of practitioners and academics interested in creativity. Malta has several excellent marketing advantages as the location for such an event. It receives the tireless support of Edward de Bono. The University also commits to the event. And if that is not enough to make other locations a little envious, Malta is blessed with a superb climate. The book contains contributions from people whose names will be familiar to a number of readers of Creativity and Innovation Management. Some gave memorable contributions to conferences organized by the European Association for Creativity and Innovation. These contributors included old
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friends from the USA such as Bill Sturner and Dan Couger (who died shortly after the last Malta conference). European names included Edward de Bono, Igor Byttebier, Jan Buijs, and Gillian Ragsdell. The conference themes span educational and commercial contexts, at the levels of the individual, team, and organisation. The case materials included one from a company based in Malta (BrandstaÈtter) that makes a nice example of a highly creative European company. The book will contribute to a valuable archive of practical contributions to our understanding of creative processes. More information can be obtained from
[email protected]. Tudor Rickards
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